Each year, thousands of regulatory changes are made that could materially affect the insurance industry, and the number is rising. In any given year, more than 40,000 regulations—including legislative bills, administrative rules, bulletins, advisories, alerts, directives, and interpretive guidance—must be vetted to determine if they affect the business of insurance. According to RegEd’s internal research, there were about 2,400 new or revised state regulations enacted or adopted that directly affected the insurance industry in 2013. […]
Read MoreMore TagTag: Compliance Management
Compliance Management
Market Conduct Exams: Best Practices to Ensure a Smooth Process and Stay Under the Radar for Future Examinations
By David Sheehan and Rebecca Vasquez, Esq. For an insurance company, the key objective of a market conduct examination (MCE) is to avoid it. As regulators pay more attention to problem areas, behaving well in the marketplace in the first place mitigates the chances of being examined. The No. 1 defense against an unscheduled market conduct examination is a documented and well managed compliance program, and companies that follow a few best practices find they […]
Read MoreMore TagRegEd Appoints Ponce Kenton 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 Ponce Kenton to the role of Chief Technology Officer (CTO). In this role, Kenton will direct RegEd’s technology strategy and drive continuous innovation across RegEd’s Compliance, Licensing and Credentialing solutions portfolio. “As client expectations […]
Read MoreMore TagRegEd to Participate in 2022 SILA National Education Conference
The Diamond Sponsor will exhibit its next-generation Agency Contracting solution, which delivers a single solution for all distribution channels and enables rapid onboarding of agencies and agents to speed time to market. RegEd, the leading provider of compliance technology solutions to the financial services industry, including Xchange, the market-leading Enterprise Licensing and Registration solution, is proud to be a Diamond Level Sponsor of the 2022 SILA National Education Conference, held from Oct. 23-26, in Seattle, […]
Read MoreMore TagRegEd to Showcase Innovative Technology for Advertising Review at 2022 FINRA Advertising Regulation Conference
Attendees will have the opportunity to learn about the industry’s leading enterprise advertising compliance review solution, powered by advanced capabilities that integrate AI technology to drive speed to market and reduce risk. RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation at the FINRA Advertising Regulation Conference in Washington, DC, Oct. 20-21, 2022. FINRA’s Advertising Regulation Conference offers a comprehensive agenda […]
Read MoreMore TagRegEd to Exhibit Enterprise Compliance Solutions at 2022 NSCP National Conference
Attendees will have the opportunity to learn about the industry’s leading enterprise advertising compliance review solution, powered by advanced capabilities that integrate AI technology to drive speed to market and reduce risk. As the leading provider of regulatory technology solutions to the financial services industry, RegEd is a Platinum MemberAlly Sponsor and will exhibit its enterprise compliance platform at the 2022 National Society of Compliance Professionals (NSCP) National Conference in National Harbor, Md., on Oct. […]
Read MoreMore TagHighlights From the SEC Municipal Advisor Risk Alert
The SEC has provided a Risk Alert to remind municipal advisors of their obligations and to raise awareness among Municipal Advisors (“MAs”) of the most often cited deficiencies and weaknesses observed in recent MA examinations. Many of the same areas were covered in its 2017 Risk Alert, indicating that the SEC continues to note similar deficiencies as it did 5 years ago. Inaccurate or Incomplete Registrations and Filings The SEC found significant overlap in registration […]
Read MoreMore TagRegEd to Exhibit Next-Generation Agency Contracting Solution at 2022 InsureTech Connect Conference
Xchange Agency Contracting delivers a single solution for all distribution channels, enabling rapid onboarding of agencies and agents to speed time to market RegEd will present its next-generation Xchange Agency Contracting solution at the 2022 InsureTech Connect (ITC) Conference. Developed with input from some of the nation’s largest insurance companies, Xchange Agency Contracting significantly reduces the time to contract and appoint producers while providing a streamlined user experience. ITC Vegas is the world’s largest insurtech […]
Read MoreMore TagRegEd to Participate in 2022 AICP Annual Conference
Product Manager Billy Beal will be featured on an industry panel on the topic of effective consumer complaints management during the event Thought leaders from RegEd will participate at the upcoming 2022 Association of Insurance Compliance Professionals (AICP) Conference, which will be held in Miami on Sept. 18-21. RegEd is also a Bronze Level sponsor of the annual event. Conference attendees will learn about and discuss key issues facing compliance professionals at Property and Casualty […]
Read MoreMore TagRegEd to Showcase Enterprise Compliance Management Solutions at 2022 LIMRA Compliance and Financial Crimes Conference
The event will bring together senior insurance compliance professionals and industry thought leaders to discuss key issues facing the industry RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation at the LIMRA Compliance and Financial Crimes Conference in Indianapolis, IN, Sept. 7-9, 2022. LIMRA CFCC will host hundreds of insurance compliance and fraud professionals and offer more than 15 educational sessions […]
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