VP, Platform Product Management
Senior Product Manager
In December 2020, the Securities and Exchange Commission (SEC) adopted reforms to modernize rules governing investment adviser advertisements and compensated referral arrangements with solicitors. These amendments were the first significant revisions to the rules in decades. The amendments are intended to reflect changes in technology, the expectations of investors seeking advisory services, and the evolution of industry practices. The amended and consolidated rule went into effect on November 4, 2022 and its adoption has had significant implications for compliance teams.
This session features an expert panel that provides insight into complying with the new SEC Marketing Rule. During the session, panelists present a series of case studies to illustrate the potential pitfalls and tips on achieving effective compliance with the rule.
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.