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Compliance Management

RegEd.com|  Updates|  Compliance Management

SEC’s 2020 Examination Priorities Demonstrate a Continued Focus on Conflicts of Interest, Including Outside Business Activities

SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued its examination priorities for 2020. According to the report, OCIE will continue its focus on the protection of retail investors, including seniors and those saving for retirement. Examinations in these areas will include reviews of disclosures relating to fees, expenses, and conflicts of interest.

“Registered firms must effectively implement controls and systems to ensure disclosures are made as required and that a firm’s actions match those disclosures… Examinations will relatedly focus on registered firms’ disclosures and supervision of outside business activities of its employees and associated persons, and any conflicts that may arise from those activities.”
– 2020 Examination Priorities, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

Do you have the right tools in place to manage conflicts of interest?

RegEd’s fully integrated Conflicts of Interest Management solution suite enables firms to seamlessly monitor, identify and remediate conflicts of interest and code of conduct issues. The solution captures a full audit trail of requests, approvals, exceptions and remediation, and provides ready documentation for internal and external regulatory reporting.

The solution suite, including Outside Business Activities, leverages RegEd’s powerful platform capabilities to enable comprehensive monitoring, task management, alerts and sophisticated hierarchy management.

Read more about RegEd’s Conflicts of Interest solution suite.

Read more about RegEd’s Outside Business Activities solution.

RegEd Appoints Derrick D. Cobey as Chief Technology Officer

Technology strategist and product development veteran to drive the continued advancement of RegEd’s enterprise compliance and credentialing solutions.

RegEd, the market-leading provider of enterprise regulatory compliance solutions to banks, broker-dealers, insurance companies and brokers, is pleased to announce its appointment of Derrick D. Cobey to the role of Chief Technology Officer (CTO). In this role, Cobey will direct RegEd’s technology strategy and drive continuous innovation across RegEd’s broad compliance and credentialing solutions portfolio.

“As client expectations for technology-enabled efficiency continue to evolve, a chief technology officer that is an innovation agent with highly disciplined execution is critical to our continued success” said John M. Schobel, RegEd CEO and Founder. “Derrick brings extensive knowledge of product engineering, technology strategy, SaaS solutions development and systems architecture and design, in combination with a successful track record of delivering enterprise software solutions that are competitively distinguished, to RegEd. His proven ability to execute technology and product transformation strategies and drive highly disciplined SLDC practices will help ensure RegEd’s continued success.”

Cobey is a highly accomplished technology and business leader with more than 20 years of software development and SaaS solution experience.  He joins RegEd from hCentive, where he was Chief Product Officer and General Manager, Government Solutions. At hCentive Derrick was responsible for the company’s overall strategic direction and day-to-day operations on a global level.  In his prior career, Derrick was the Chief Technology Officer for Mediware Human Services (now WellSky), Senior Vice President of Product and Solutions Engineering at PeopleClick (now PeopleFluent) and the Vice President of Product Engineering at JPMorgan Chase.  During his time at these companies, he led globally distributed teams in engineering SaaS solutions and fast-growth enterprise software.

“I’m thrilled that Derrick has joined RegEd at this exciting point in our growth,” continued Schobel. “Derrick’s technology expertise and proven track record in roles at high-growth companies make him an excellent fit to continue to drive RegEd’s culture of innovation, and I’m confident that he’ll make material contributions to RegEd’s future.”

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. For more information, please visit www.reged.com.

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FSI OneVoice 2020

RegEd CEO and Founder to be a Featured Presenter at FSI OneVoice 2020

John M. Schobel will present on the topic of driving efficiency and effectiveness in branch exams and field audits.

RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Financial Services Institute (FSI) OneVoice conference in San Diego, CA, January 27-29, 2020.

RegEd Founder and CEO, John M. Schobel, will present on Improving Branch Exams on Tuesday, January 28th at 1:30 PM. The session will cover how branch exams and field audits can be made more beneficial and impactful for both the firm and the registered representative. The session will review the topics to cover in the exam as well as evaluate how to best approach compliance issues and create an open dialogue.

John M. Schobel, Chief Executive Officer at RegEd, commented, “The need for a holistic view of compliance and risk is the key driver causing industry firms to consolidate compliance technology in favor of an enterprise approach. RegEd’s enterprise compliance platform and wide breath of compliance solutions, including Branch Audit Management, enable our clients to establish a central compliance portal that provides their advisor and employee population with a full view of compliance requirements and status while providing the firm with the critical views needed to reduce overall risk for the firm.”

The FSI OneVoice conference is an educational forum for broker-dealer home office executives. This year’s event will offer more than 30 sessions on topics surrounding compliance, supervision, operations and technology. Presenters and panelists include regulators, senior executives from leading financial services firms and industry subject matter experts.

RegEd will be an exhibitor and sponsor at the conference, and will showcase enterprise solutions that enable firms to ensure a culture of compliance in today’s rapidly evolving regulatory environment:

Branch Audit Management: Enables firms to fully plan, schedule, conduct, resolve and report on branch audits. Streamlines the audit process and improves efficiency of the firm’s audit program.

Gifts, Gratuities and Contributions Management: Expanded capabilities enable global enterprise gifts and entertainment tracking and management, including: automated contact management, threshold tracking, automated alerts, and more.

Enterprise Advertising Review: Enable a workflow-driven process to streamline advertising and customer communication submission, review, collaboration and approval, speeding time to market for review items.

Registration and OBA: Streamline registration compliance across the enterprise, including end-to-end OBA tracking and reporting. Integrations automate filing and reconciliation of amendments and background investigations.

RegEd representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss solutions that enable broker-dealers and other financial services firms to meet compliance requirements and proactively manage their compliance program.

The RegEd conference exhibit will be located at booth #509 in the conference’s main exhibitor hall at the Sheraton San Diego Hotel & Marina. For more information on RegEd or its attendance at the FSI OneVoice conference, please call 800-334-8322 or email sales@reged.com.

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. For more information, please visit www.reged.com.

RegEd Recognized as a Leading Compliance Technology Provider by CIO Review and Banking CIO Outlook

The annual awards acknowledge companies that are at the forefront of providing compliance and risk solutions while significantly impacting their industries.

RegEd, the leading provider of compliance technology to insurance companies, broker-dealers and banks, today announced that CIO Review and Banking CIO Outlook, prominent publications for information technology executives, have selected RegEd as one of the 20 Most Promising Compliance Technology Providers and one of the Top 10 Risk and Compliance Solution Providers for 2019.

CIO Review and Banking CIO Outlook produce an annual list of providers that are at the forefront of providing compliance and risk solutions to the financial services industry. The goal of the awards is to spotlight companies with a proven track record in effectively delivering compliance solutions, while enabling decision makers in financial institutions to stay well-informed on industry trends through research and evaluation of the vendor marketplace.

RegEd CEO & Founder John M. Schobel said, “RegEd provides solutions that propel operational efficiency, enabling firms to cost-effectively comply across core compliance functions.” He continued, “RegEd is honored to receive these awards and to be recognized as a leader in our market. And we’re grateful to CIO Review and Banking CIO Outlook for enabling industry participants to make informed, evidence-based decisions when choosing the technology that is so integral to their business.”

To learn more about RegEd and its industry-leading compliance platform, visit RegEd.com.

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. For more information, please visit www.reged.com.

RegEd Appoints Glen Jasionowski as Chief Revenue Officer

RegEd, the market-leading provider of enterprise regulatory compliance solutions to banks, broker-dealers, insurance companies and brokers, is pleased to announce its appointment of Glen Jasionowski to the role of chief revenue officer (CRO). In this role, Jasionowski will direct RegEd’s enterprise sales strategy and execution to meet and exceed growth objectives.

“Glen brings extensive knowledge of enterprise software and the financial services industry, in combination with a successful track record of consultative client engagement, to RegEd,” said John M. Schobel, RegEd CEO and Founder. “His proven ability to execute growth strategies in the compliance management software industry will help ensure RegEd’s continued success.”

Jasionowski is a highly accomplished sales and business leader with significant experience in leading sales organizations through transformation focused on sales enablement and customer success that delivers consistent revenue growth and client satisfaction. He joins RegEd from FIS, where he was Managing Director, Head of Global Major Accounts, owning the global sales and relationship strategy for enterprise financial services accounts including the largest global banks. At FIS Glen and his team drove consistent achievement of revenue and customer success goals. Prior to FIS, Glen spent a significant part of his career selling enterprise solutions at Experian with a focus on financial services.

“I’m thrilled that Glen has joined RegEd at this exciting point in our growth,” continued Schobel. “He’s a strong addition to our executive team and I’m confident that he’ll make material contributions to RegEd’s future.”

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. For more information, please visit www.reged.com.

RegEd Hosts Policy Management by Design Workshop in Chicago

Workshop featured internationally recognized pundit on governance, risk management, and compliance.

RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, hosted a Policy Management by Design workshop in Chicago, IL, on October 30, 2019.

Workshop attendees explored how defining the right process, information and technology architecture for policy management can create a structured approach to how the organization operates. Attendees were equipped to define a process lifecycle for managing policies, establish policy ownership and accountability, track policy attestation, and map policies to objectives, risks, controls, issues, and other GRC areas.

The full day workshop was led by GRC expert Michael Rasmussen, an internationally recognized pundit on governance, risk management, and compliance. Michael helps organizations improve GRC processes, design and implement GRC architectures, and select solutions that are effective, efficient, and agile. He is a sought-after keynote speaker, author, and advisor and is noted as the “Father of GRC” — being the first to define and model the GRC market in February 2002 while at Forrester Research, Inc.

GRC Expert Michael Rasmussen stated, “Policy management by design requires a structured approach in context of how the organization operates. This is done through defining the right process, information and technology architecture for policy management.” Rasmussen continued, “This workshop was the perfect opportunity for attendees to learn how using technology can enhance policy management processes and how critical it is in supporting your businesses GRC initiatives.”

For more information on future RegEd workshops, please contact events@reged.com.

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. For more information, please visit www.reged.com.

Key Takeaways: FINRA’s 2019 Report on Examination Findings and Observations

On October 16, 2019, FINRA published its 2019 Report on FINRA Examination Findings and Observations.  This report is a useful resource for firms to leverage to improve their compliance and risk management programs. 

One of the findings in the report pertains to failure to effectively monitor for and react to regulatory changes.  Firms are required to review regulatory changes against their supervisory systems, including their written supervisory procedures and training programs.  FINRA found that some firms did not adequately respond to recent regulatory changes such as FinCen’s new Customer Due Diligence (CDD) obligations and requirements around Financial Exploitation of Specified Adults among other recently adopted or amended rules. 

In addition, branch supervision and inspection programs were found to be inadequate at some firms. The following areas were specifically cited as supervisory and risk management gaps:

  • Failure to fully understand the activities that are taking place at branch offices, including the unique products and services offered at each branch location;
  • Failure to conduct periodic inspections of non-branch locations;
  • Failure to determine relevant areas of review, taking into consideration the nature and complexities of product and service offerings or indicators of irregularities or misconduct;
  • Failure to reduce the inspections and reviews to a written report;
  • Failure to follow through with necessary corrective action.

Suitability once again made the Sales Practice and Supervision hit list. Specific findings included:

  • Inadequate supervision of product exchanges;
  • Failure to identify and respond to red flags;
  • Inadequate oversight around customer account information changes;
  • Failure to recognize unsuitable transaction patterns;
  • Inadequate supervision of trading activities (excessive trading or churning);
  • Inadequate training of supervisors;
  • Unsuitable options strategies to unsophisticated customers.

Digital communications made it into this year’s report.  FINRA specifically noted some firms that prohibit for business-related communications the use of text messaging, social media and collaboration applications such as Facebook, did not maintain a process to identify and respond to red flags around the use of the prohibited digital channel communications.  Red flags could have been detected through adequate customer complaint management, email monitoring, outside business activity (OBA) reviews as well as advertising reviews.  Some effective practices to manage digital communication were flagged, including: 

  • Establishing comprehensive governance structures by leveraging marketing, compliance and technology departments as well as third-party vendors;
  • Defining and controlling permissible digital channels though supervision; records retention; policies and procedures; blocking prohibited channels; restricting use of messaging and collaboration applications that limit the firm’s ability to retain records;
  • WSPs to manage the lifecycle of video content which includes live-streamed public appearances, scripted commercials or video blogs;
  • Training prior to providing RRs access to firm-approved digital channels;
  • Disciplining misuse of digital communications such as temporarily suspending or blocking channels and requiring additional training.

FINRA also shares a number of cybersecurity-related observations and best practices in their 2019 report in hopes of assisting firms with strengthening their cybersecurity programs. The report reminds firms to evaluate each of the best practices and controls described in the report. Highlighted best practices include:

  • Maintaining branch-level written cybersecurity policies to protect confidential data;
  • Implementing procedures to verify that branch office controls were implemented and are functioning adequately;
  • Documenting formal policies and procedures on vendor and third-party management that include onboarding, ongoing monitoring, off-boarding and disposal of sensitive client information;
  • Establishing and regularly testing written formal incident response plans that outline procedures to follow when responding to cybersecurity and information security incidents;
  • Establishing data protection controls such as encryption of confidential data (customer and firm information) whether it is stored internally or at vendor locations;
  • Ensuring system patching is timely applied;
  • Applying a ‘Policy of Least Privilege’ around access controls, by only granting access to systems and data when required and removing such access rights when no longer needed;
  • Implementing multi-factor or two-factor authentication controls for RRs, employees, vendors and contractors accessing firm systems and data from outside the organization;
  • Maintaining an inventory of critical information technology assets, including hardware, software, data in home and branch offices; legacy assets that vendors no longer support as well as corresponding cybersecurity controls to protect these assets;
  • Implementation of data loss prevention controls to protect sensitive customer information such as SSN, dates of birth, bank information, driver’s license numbers;
  • Training for RRs, personnel, third-party providers and consultants;
  • Implementation of change management procedures to document, review, prioritize, test, approve, manage hardware and software changes.

Training staff on how to implement firm business continuity plans (BCPs) was cited as a BCP best practice in addition to engaging in annual testing of the BCP.  Note:  FINRA is currently conducting a retrospective review of FINRA Rule 3270 ~ Business Continuity Plans and Emergency Contact Information.  See FINRA Regulatory Notice 19-06. 

These are just some of the numerous highlights from the 2019 Report on FINRA Examination Findings and Observations to take into consideration when assessing the adequacy and effectiveness of your firm’s supervisory and risk management operations.

Note: RegEd is not engaged in rendering legal, accounting or other professional services. If legal or other professional advice is warranted, the services of an appropriate professional should be sought.

About the Author

Margie Webber is the Director, Regulatory Compliance BD/IA at RegEd, Inc.

Related RegEd Solutions:

RegEd Advertising Review

RegEd Audit Management

RegEd Complaint Management

RegEd Education & Training

RegEd Incident Management

RegEd Outside Business Activities

RegEd Policies & Procedures Management

RegEd Regulatory Change Management

RegEd Thought Leader Awarded 2019 SILA Bruce Saenger Award

Award acknowledges a passion for insurance and/or securities related education topics.

RegEd, the leading provider of compliance technology solutions to the financial services industry, participated in the 2019 SILA National Education Conference in San Diego, CA on Sept. 15-18, 2019. During the conference Brandi Brown, RegEd Senior Vice President of Regulatory Affairs, was awarded the 2019 Bruce Saenger Education Award, which is presented to an individual who demonstrates a passion for insurance and/or securities related education topics including pre-licensing/pre-registration, continuing education, and professional development.

Brandi Brown, RegEd Senior Vice President of Regulatory Affairs, stated, “I want to offer sincere appreciation to the committee at SILA for selecting me as the recipient of this year’s Bruce Saenger Education Award. I cannot express how grateful I am to have been nominated by my peers for this award.” Brown continued, “At RegEd we have been avid supporters of SILA and their mission for decades and look forward to our continued partnership with the organization and its members.”

Outstanding individuals and organizations in the compliance industry are recognized and honored through the SILA Awards program. SILA Awards are presented annually at the National Education Conference to recipients who are nominated by their peers. The recipient of the Bruce Saegner Award demonstrates a passion for insurance and/or securities related education topics: pre-licensing/pre-registration, continuing education, and professional development. Bruce Saenger was a long time member of SILA who had a passion for the insurance industry in particular, education and professional development. Bruce actively participated in the SILA Education Committee and was subsequently elected to chair the Committee as Education Director. He shared his talents and passion for education with the SILA Foundation where he led the development of the current SILA Certification Program.

A number of RegEd compliance thought leaders and subject matter experts participated in sessions at SILA 2019. Margie Webber, Governance Chair on the SILA Board of Directors and a Senior Member of RegEd’s Regulatory Affairs Group, facilitated the Securities Open Forum discussion, led the NASAA Task Force meeting, and moderated the Legislative Update Panel. Kaitlyn Small, Regulatory Specialist at RegEd, was a panelist on the Navigating the Choppy Waters of Adjuster Licensing session and Michael Pouliot, SVP of Sales at RegEd, was a panelist on the The Impact of Technology on Insurance & Securities Distribution session.

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. For more information, please visit www.reged.com.

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RegEd to Participate in 2019 FINRA Advertising Regulation Conference and Host Client Advisory Board

Client Advisory Board will provide important forum for RegEd’s enterprise Advertising Review solution product roadmap and future innovation.

RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, including the industry-leading Advertising Review solution, announced its participation in the 2019 FINRA Advertising Regulation Conference in Washington, DC, on October 24-25, 2019.

FINRA’s Advertising Regulation Conference provides a forum to learn about practical changes and new developments involving communications rules, and the opportunity to gain guidance on the advertising standards from industry and FINRA experts. The comprehensive agenda is designed for new and experienced advertising professionals. Industry and regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulations. This year’s conference also includes opportunities to network with industry peers and meet one-on-one with Advertising Regulation Department staff during office hours and throughout the event.

 “In today’s evolving industry, managing the advertising review, approval and document management processes can present significant challenges for financial services firms,” stated Kevin Goodman, RegEd’s Advertising Review Product Manager. “The process must fully address compliance requirements pursuant to FINRA Rule 2210 and other customer communication regulations, while facilitating a seamless review process that enables all stakeholders to increase the quality and effectiveness of the firm’s marketing communications, while speeding time to market.”

Goodman continued, “The FINRA Advertising Regulation Conference provides an important forum for regulators, industry firms and solution providers, like RegEd, to engage in dialogue about evolving regulation and solving the related compliance and operational challenges.”

Prior to the start of the conference, RegEd will host its Advertising Review Client Advisory Board (CAB).  The CAB will focus on best-practice implementation of recent and upcoming enhancements to RegEd’s Advertising Review Enterprise solution, while providing an important forum for RegEd’s Advertising Review product roadmap and future innovation.

The RegEd booth #9 will be located in the main exhibit hall of the Renaissance Washington, DC Downtown Hotel. For more information on RegEd or its attendance at the 2019 FINRA Advertising Regulation Conference, please call 800-334-8322 or email sales@reged.com.

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. For more information, please visit www.reged.com.

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RegEd to Showcase Enterprise Compliance Solutions at 2019 NSCP National Conference

Enterprise solutions for managing compliance obligations associated with conflicts of interest, advertising review, branch audits, and licensing and registration will be showcased at the event.

RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce its participation in the 2019 National Society of Compliance Professionals (NSCP) National Conference in Baltimore, MD, on October 21-23, 2019.

The NSCP National Conference offers more than 80 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 conference agenda will focus on new regulatory developments, enforcement trends, compliance best practices, and the benefits of diversity and inclusion.

RegEd representatives will be on-site during the conference to highlight the firm’s innovative enterprise compliance solutions:

Advertising Review: Streamlines the end-to-end processes for advertising and customer communication submission, review, collaboration and approval, reducing time to market for marketing and sales initiatives. The solution fully supports SEC 17(a)-4 compliance. 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: Unified solution is powered by an extensive compliance rules engine, and enables firms to seamlessly manage and track representatives’ licensing and registration, compliance and education requirements. Data-reuse, automatic validations, and complex hierarchy management simplify onboarding across distribution channels. Learn More.

RegEd is exhibiting at the conference and can be located at Booth #8 in the main exhibit hall of the Hilton Baltimore. For more information on RegEd or its attendance at the 2019 NSCP National Conference, please call 800-334-8322 or email sales@reged.com.

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. For more information, please visit www.reged.com.

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