Speakers
Natasha Hurt
Senior Manager of Regulatory Services
NASAA
Margie Webber
Director, Regulatory Compliance
RegEd
Open Forum Discussion with NASAA
Overview
Do you have questions regarding NASAA’s Investment Adviser Representative Continuing Education (IAR CE) program? Did you know that IARs who fail to satisfy the IAR CE requirement for two consecutive reporting periods may fail to renew?
This open forum discussion was hosted with NASAA’s Natasha Hurt, Senior Manager of Regulatory Services, where she answered attendees questions surrounding IAR CE. Industry, regulators and IAR CE providers were all welcome to join this discussion.
About RegEd
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.