Check here for content from industry and RegEd subject matter experts.
Video: Achieving a Unified Compliance and Credentialing Technology Vision
This presentation, featured at the 2021 FINRA Annual Conference, focuses on the benefits of a unified compliance technology ecosystem and how it can deliver significant efficiencies, stronger compliance oversight and increased user satisfaction, while instilling a culture of compliance.
Featured Article: Best Practices for Annual Compliance Questionnaires
Want to learn more about RegEd’s Annual Compliance Questionnaire and best practices utilized by our existing customers? This article features some best practices to consider if you are newly implementing your ACQ or if you are revising your ACQ for this calendar year.
Executive Brief: Xchange Onboarding, Licensing and Registration
Download this executive brief to learn about Xchange, RegEd’s Enterprise Contracting, Licensing and Registration solution, and how it provides unified onboarding, licensing and registration that is powered by an extensive compliance rules engine.
Executive Brief: Enterprise Advertising Review for Banks
Download this executive brief to learn how RegEd’s Advertising Review drives the highest levels of efficiency and delivers extraordinary value for the investment, enabling banks to handle projected volume growth without compromising review quality or turnaround.
Video: Enterprise Gifts, Gratuities and Contributions Management
RegEd’s Enterprise Gifts, Gratuities and Contributions Management is the industry’s most advanced software solution for managing the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions to readily identify conflicts of interest.
Webinar: FINRA’s 2021 Examination and Risk Monitoring Program Report: Understanding the Report and Implications for Your Compliance Program
This webinar features an expert panel from RegEd and Eversheds Sutherland (US), who provide analysis of the 2021 Report on FINRA’s Examination and Risk Monitoring Program, as well as practical insight to help firms shape their compliance and business operations. The session also discusses the implications of the report for enforcement and examination activities.
Webinar: Advertising Regulation: Understanding and Preparing for the SEC’s Newly Adopted Modernized Marketing Rule
On Tuesday, Dec. 22, 2020, the Securities and Exchange Commission (SEC) announced it had finalized reforms to modernize rules that govern investment adviser advertisements and compensation to solicitors, the first significant revision to the rule in decades. This webinar features an expert panel who provides insight into the details of the rule, how it will impact the industry, and what firms can do now to prepare.
Executive Brief: Advertising and Customer Communications: The Compliance Factors All Firms Need to Consider
Download this executive brief to learn how RegEd’s Advertising Review drives the highest levels of efficiency and delivers extraordinary value for the investment, enabling firms to handle projected volume growth without compromising review quality or turnaround.
White Paper: Broker-Dealer and Bank Branch Audit Management: Ensuring Risk Mitigation
More firms are turning to specialized workflow management technology to enable themselves to efficiently plan, schedule, conduct, resolve and report on branch audits.
Webinar: Regulatory Change Management: The State of Insurance Regulation and Compliance Best Practices in a Pandemic World
This webinar features an expert panel that provides an overview of the current state of insurance regulation, including the impact that COVID has had on the volume and nature of regulation, as well as hands-on best practices for ensuring closed-loop compliance. The session also features an industry perspective on how one leading insurer is applying technology to streamline the management of regulatory compliance.
Webinar: Maximizing Value From Your Branch Office Exams During Covid-19 and Beyond: A Hands-on Perspective
This webinar featured Sander J. Ressler, Managing Director of Essential Edge Compliance Outsourcing Services, LLC, who provided an overview of current trends in the industry, ongoing impacts related to the pandemic, and a forward-looking view as to how firms are likely to continue to advance their programs.
Celent Report: Keeping a Grip on Employee Conduct and Conflicts of Interest
This report, authored by Neil Katkov, PhD, Head of Risk and Compliance at Celent, provides an overview of the current landscape, as well as the best practices, processes and technology that leading firms employ to optimize compliance and reduce risk.
Celent Report: Insurance Agency Licensing and Compliance: New Models for New Times
This report, authored by Karlyn Carnahan, CPCD, Head of Insurance at Celent, provides an overview of the different challenges faced by insurers, agencies, and call centers in the compliance process, and details some of the factors to consider when deciding whether to purchase technology designed specifically to manage the compliance process — or whether to consider managed services.
Webinar: Driving L&R Efficiencies to Create Competitive Advantage
Licensing and Registration technology has materially advanced over the last few years. The most efficient licensing centers manage by exception, enjoy high agent / rep satisfaction and exceed their key performance metrics year over year. Learn how these licensing operations have integrated just-in-time processing, business process automation, data reconciliation and data integration with critical path internal and external systems to enable an entirely new level of efficiency.
Webinar: Keeping a Grip on Employee Conduct and Conflicts of Interest
Employee conduct risk and conflict of interest (COI) is a crucial area for financial institutions due to the reputational and regulatory risks. Employee COI is a complex area involving multiple roles, policies, and regulators. Unchecked, employee COI and unethical sales practices can rise to the level of enterprise risk with the potential for significant regulatory actions, fines and reputational risk.
This webinar featured an expert panel who offered insight into important industry trends, best practices, and what organizations should do to minimize non-compliance risk.
Client Success Stories: Managed Services
Hear the real-world experience of Arthur J. Gallagher, and learn how they have enabled cost efficiency, enhanced broker satisfaction and reduced risk through partnership with RegEd.
Webinar: NIPR and Producer Licensing during COVID-19
Karen Stakem Hornig, CEO of NIPR, discusses important updates related to current and planned NIPR licensing and registration initiatives.
Webinar: RegEd Regulatory Update: State-mandated training developments and state pandemic relief updates
Brandi Brown, SVP of Regulatory Affairs at RegEd, shares insight into the state-mandated training developments and state pandemic relief updates.
Webinar: Driving L&R Efficiency: Client Success Stories
Hear the real-world experience of leading insurance carrier and distributor firms, and learn how they have enabled efficiency, enhanced advisor / agent satisfaction and reduced risk while evolving their licensing and registration operations to a best practice standard.
Fireside Chat: A Unique Perspective on Licensing and Registration Operations
This fireside chat features two of the industry’s most seasoned L&R experts, who have had their finger on the pulse of the industry for 50 years combined. They will share observations, insights and best practices gained in working with scores of insurance carriers and distributors around their implementation of innovative technology and processes.
Webinar: Branch Audit Management: Enforcement Trends, Regulatory Developments and Best Practices in a Pandemic World
This webinar featured an expert panel that provided an overview of relevant regulatory developments in this area, including the latest on how it is being viewed in light of the pandemic, as well as a practical industry perspective on how one leading firm is applying technology best practices to streamline the management of branch exams.
Webinar: Insurance Agency Licensing and Compliance: New Models for New Times
This webinar looked at the different challenges faced by insurers, agencies, and call centers in the compliance process. We laid out some of the factors to consider when deciding whether to purchase technology designed specifically to manage the compliance process — or whether to consider managed services.
Webinar: Leverage Third Party Integrations and Web Services to Streamline Marketing and Compliance Workflows
This session reviews the RegEd Advertising Review solution and it’s advanced capabilities for third party integration and web services, which significantly reduce manual intervention in the review process and turnaround time from asset creation through submission and approval.
Webinar: Gifts and Entertainment Compliance: Important Regulatory Developments and Best Practices in a Dynamic Environment
This webinar featured an expert panel who provided an overview of relevant gifts and entertainment rules and regulations, including the latest on how this area is being viewed by regulators in light of the pandemic, as well as a practical industry perspective on how one leading firm is applying technology best practices to streamline this critical compliance process.
Video: RegEd Advertising Review for Banks
Learn why two of the top three banks in the US trust RegEd’s Advertising Review solution to streamline the end-to-end processes for marketing and advertising compliance review.
Webinar: Advertising Regulation: An Update on the SEC’s Proposed Rule Changes
The webinar features an expert panel that offered insight into the details of the advertising rule proposal, how it might change based on industry comment, and what firms can do to prepare.
Webinar: FINRA, SEC and State Securities Enforcement Trends
This webinar features a panel of compliance and legal experts who discuss the recent FINRA and State Securities enforcement trends.
Case Study: CUNA Mutual Group
Download this Case Study to learn how RegEd’s Enterprise Compliance Questionnaires Solution Enables CUNA Mutual Group to Maintain Effective Compliance Oversight Amid COVID-19 Pandemic.
Virtual Roundtable: Broker-Dealer Compliance Challenges During the Pandemic: Best Practices and Views to the Future
This webinar features a panel of Chief Compliance Officers and compliance leaders to discuss the crisis confronting our industry and its impact on distribution, operations and compliance programs. Panelists shared both challenges and best practices.
Webinar: Getting Up to Speed on the New NAIC Best Interest Rule
This webinar features Jason Berkowitz, Chief Legal & Regulatory Affairs Officer for the Insured Retirement Institute (IRI), who covers the most pressing questions surrounding the NAIC best-interest standard that was added to the Suitability in Annuity Transactions Model Regulation.
Whitepaper: Regulatory Relations and Examination Management: A Primer for Banks
Download this whitepaper for a primer on common challenges for large banks, and learn how fit-for-purpose technology helped a Top 20 bank significantly streamline their regulatory relations and examinations processes.
Webinar: An Overview of Standards of Conduct in the Financial Services Industry
This webinar highlights the enduring trend of regulators focusing on establishing standards of conduct intended to preserve the best interest of investors, increase transparency in the advisor/client relationship, and clarify fiduciary responsibilities.
White Paper: Marketing and Advertising: The Compliance Factors All Banks Need to Consider
Download this whitepaper to learn how banks can speed time to market with an efficient review process that satisfies the increasingly rigorous demands of regulators.
Report: 2019 XCELENT Customer Base Award
Download this authorized excerpt of the report to learn how RegEd Xchange clients assessed system functionality, customer service experience and other essential criteria.
Webinar: Navigating NY Reg 187’s Best Interest Standard
This webinar provides an overview of the NY Regulation 187, what it will mean for insurers, and how new RegEd courses can help insurers meet its demands.
Video: RegEd Regulatory Relations and Examination Management for Banks
Learn how RegEd helps banks drive the highest levels of efficiency across all regulatory relations and examination management processes.
Video: RegEd Marketing and Advertising Compliance Review for Banks
Learn how RegEd helps banks streamline the end-to-end processes for marketing and advertising compliance review.
Webinar: Blueprint for an Effective, Efficient & Agile Policy Management Program
This webinar aims to provide a blueprint for attendees on effective policy management in a dynamic business, regulatory, and risk environment where attendees will learn policy management governance and process that can be applied across the organization at either an enterprise or a department level.
Webinar: SEC Regulation Best Interest: What You Need to Know
Join RegEd and Eversheds Sutherland (US) for an overview of Reg BI and insight into what you should expect from the recent rulemaking. The session featured Ben Marzouk, Brian Rubin, and Issa Hanna from Eversheds Sutherland.
Video: RegEd Solutions for Banks
Learn how RegEd helps banks identify highly effective and cost-efficient strategies to manage compliance across the enterprise.
Video: RCA 2019 Session – FINRA, SEC and State Securities Enforcement Trends
In this session, current and former FINRA enforcement staff discussed FINRA enforcement priorities and methodologies, and examined lessons from recent cases that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.
Video: Client Testimonial – Regulatory Change Management
Molly Akin, AVP Corporate Compliance & Ethics at Ohio National Life Insurance Company, on how RegEd’s Regulatory Change Management solution has streamlined the end-to-end process of tracking and managing relevant regulatory changes in her organization.
Webinar: A Love Letter to BDs: FINRA’s Annual Risk Monitoring and Examination Priorities Letter
Join RegEd and Eversheds Sutherland (US) for an overview of FINRA’s 2019 Priorities Letter and insight into how firms might interpret its content to shape their compliance and business operations to align with FINRA’s regulatory focus.
Webinar: Streamlining Marketing and Advertising Compliance in the Financial Services Industry
Streamlining Marketing and Advertising Compliance will provide insight into the current regulatory climate impacting marketing and advertising in the financial industry.
Webinar: State Model Acts: What You Need to Know
An examination of state model acts and the regulatory landscape as it relates to topics such as senior and vulnerable adult protections, cyber risk management, standard of care, FinTech and InsurTech.
Video: Enterprise Advertising Review
Advertising Review presents a single, integrated solution that streamlines advertising and customer communication submission, review, collaboration and approval, speeding time to market.
Executive Brief: RegEd Company Overview
Founded in 1994, RegEd is a leading provider of Enterprise Compliance Management, Compliance Education and Licensing and Registration solutions to the financial services industry.
Executive Brief: Enterprise Compliance Management for Banks
RegEd’s Enterprise Compliance Management Platform enables banks to effectively and efficiently meet compliance obligations and proactively manage their compliance program.
Webinar: The SEC’s Proposed Standard of Conduct Rules and Forms for Broker-Dealers and Investment Advisers
An overview of the April 2018 SEC rules and guidance governing the fiduciary duty and standard of conduct.
Case Study: Enterprise Advertising Review
The evaluation committee determined that RegEd’s Advertising Review, an industry-leading enterprise solution, would enable the company to mirror their existing compliance workflows.
Executive Brief: Enterprise New Product Approval for Banks
The RegEd Enterprise NPA solution is built on RegEd’s market-leading enterprise workflow management platform that has been implemented by the nation’s largest banks.
Executive Brief: Enterprise Advertising Review
Streamline the End-to-End Management of Advertising and Customer Communications Compliance
Executive Brief: Enterprise Audit Management
RegEd’s industry-leading Audit Management solution enables firms to fully plan, schedule, conduct, resolve and report on branch audits.
Case Study: Global, Enterprise Conflicts of Interest
U.S.-based, tier-one global financial services firm with retail and institutional customers and more than 40,000 employees worldwide, sought to implement a single solution their compliance program.
Case Study: 1st Global
Learn how 1st Global partnered with RegEd to drive a company-wide initiative to strengthen their compliance program through the introduction of advanced compliance and operations technology.
Webinar: Making Your Conflicts of Interest Compliance Program Defensible
An overview of relevant regulatory and industry trends, as well as how the evolution of technology has impacted the ability of firms to maintain an efficient and effective conflicts management program
Executive Brief: RegEd Regulatory Change Management
RegEd Regulatory Change Management facilitates a workflow enabled, closed-loop process that provides firms with everything they need to be aware of, comply with, and demonstrate compliance.
Webinar: NAIC Market Regulation Update and Market Conduct Exam Best Practices
Discussion of NAIC market regulation standards, important trends, critical priorities, and best practices to mitigate risk and minimize the negative impact of exams that occur.
Executive Brief: Proactive Conduct Risk Management
SCORE installs a powerful compliance control center that enables firms to proactively identify and calculate non-compliance and sales practice risk across their employee population.
Video: RegEd SCORE Risk Control Center
Learn how SCORE delivers a clear view of compliance requirements and risks, at the enterprise level or specific to the employee.
Executive Brief: Leveraging RegTech to Create Compliance and Competitive Advantage
Leveraging RegTech, the compliance function can evolve from a reactive cost center to a proactive value creator – one that has a positive impact on business performances.
Case Study: Market Conduct Exam Management
RegEd partnered with the client to streamline and automate their market conduct exam program management via the CODE Enterprise Platform.
Webinar: Pay-to-Play: Understanding the Impact of Recent Enforcement Actions on Your Firm
Discussions in the developments in pay-to-play regulation and the potential impact of recent enforcement actions on your firm.
Webinar: The Evolution of Branch Audit Management: Leveraging Technology to Keep Pace in a Dynamic Regulatory Landscape
An overview of relevant regulatory and industry trends, as well as how the evolution of technology has impacted the ability of firms to maintain an efficient and effective Branch Audit program.
Case Study: Enterprise Compliance Management for Insurance Companies
Download ROI Snapshots to learn how three leading insurance companies utilized RegEd’s Regulatory Change Management solution suite to dramatically improve enterprise compliance.
Webinar: Current Regulatory Issues Concerning Outside Business Activities
FINRA’s supervision of Outside Business Activities (OBAs) discussion includes OBA requirements, exam trends, and best practices.
Webinar: Documenting Effective Onboarding Due Diligence
FINRA’s review of firms’ supervisory procedures, as well as insight into the ways that technology can enable firms to eliminate inefficiencies in the onboarding process.
Webinar: Examining the Regulatory Focus on Gifts, Gratuities, and Pay-to-Play
Discussion includes the changing regulatory environment and best practices for Gifts, Gratuities and Non-Cash Compensation and Pay-to-Play.
Webinar: Navigating the Complexity of COI Compliance for Firms Large and Small
How to efficiently manage conflicts of interest for broker-dealers, investment advisers, insurers, and other financial services.
Webinar: Eliminate Inefficiencies in the Onboarding Process
Efficient onboarding, including integrated background investigation and configurable workflows that automate FINRA submissions and fulfillment of licensing, registration and compliance requirements.