As the leading provider of regulatory technology solutions to the financial services industry, RegEd will exhibit its enterprise compliance platform at the 2021 National Society of Compliance Professionals (NSCP) National Conference in National Harbor, Md., on Nov. 8-10.
The annual NSCP National Conference offers dozens of sessions covering topics that are relevant to investment advisers, broker-dealers, private funds, and investment companies, and has been recognized as one of the most comprehensive educational offerings within the securities compliance industry. This year, “the only conference that’s ‘for compliance, by compliance,’” will focus on “the practical solutions to empower yourself and your compliance program.” The conference agenda includes sessions about the new SEC investment adviser marketing rule, the U.S. Department of Labor fiduciary rule, and protecting vulnerable clients, as well as regulatory reviews from the SEC and FINRA.
RegEd representatives will be on-site during the conference to highlight the firm’s innovative enterprise compliance solutions:
Advertising Review: Along with its Submission Intelligence and Intelligent Review capabilities, RegEd Enterprise Advertising Review offers a streamlined user experience, complex hierarchy management, advanced indexing and searching, and FINRA AREF integration. Its robust capabilities have been proven across scores of large-firm implementations and can be configured according to a firm’s work processes, providing financial services firms and banks with best-in-class functionality to power their marketing, advertising, and customer communications review processes.
RegEd Enterprise Advertising Review reduces review time by more than 50%, and in some cases, by close to 80%. Scores of leading financial services firms and banks have relied on Enterprise Advertising Review to review more than 3 million marketing, advertising and customer communications. RegEd will exhibit Enterprise Advertising Review at Booth #28 at the 2021 NSCP National Conference. Learn More.
Branch Audits: Enables firms to fully plan, schedule, conduct, resolve and report on branch audits. Significantly reduces manual and paper-driven processes, creating a seamless and efficient end-to-end process for branch audit reviews. Learn More.
Conflicts of Interest: Integrated solutions that enable firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues among the firm’s registered population. Includes expanded, industry-leading capabilities to manage Gifts, Gratuities & Contributions. Learn More.
Onboarding, Licensing, and Registration: RegEd’s Enterprise Xchange Onboarding, Licensing, and Registration solution, implemented in more than 150 financial services firms, boasts the most advanced automation in the industry, enabling cost-efficiencies for organizations and ensuring producer satisfaction with all L&R processes. Powered by an extensive compliance rules engine, Enterprise Xchange enables firms to seamlessly manage and track representatives’ licensing and registration, compliance, and education requirements. Learn More.
RegEd will be exhibiting at the conference and can be located at Booth #16 and Booth #28 (Enterprise Advertising Review) in the main exhibit hall Gaylord National Hotel in National Harbor. It will also host a “Cappuccino & Compliance” networking opportunity on the morning of Nov. 9.
For more information on RegEd or its attendance at the 2021 NSCP National Conference, please call 800-334-8322 or email firstname.lastname@example.org.
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation, and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please schedule a consultation.