Attendees will learn how RegEd enables two of the top three banks, and dozens of financial services firms, to streamline marketing and sales compliance through the application of artificial intelligence and other advanced technologies RegEd, the leading provider of compliance technology to banks, broker-dealers and insurance companies, is pleased to announce its participation in the 2022 American Bankers Association Regulatory Compliance Conference. The event will be held June 21-24 in Orlando, FL. RegEd will feature […]
Read MoreMore TagTag: Compliance Management
Compliance Management
RegEd EVP Michael Pouliot to Speak on the Digital Transformation of Multi-Channel Agency Distribution at Reuters Future of Insurance Conference
Attendees will learn about key trends in the insurance industry, as insurers increasingly focus on delivering a fully digital producer experience to drive speed to market and competitive advantage RegEd, the leading provider of compliance and credentialing solutions to the financial services industry, will be a Gold Sponsor and contributor at The Reuters Future of Insurance USA 2022 Conference, to be held from June 14-15 in Chicago, IL. The conference is billed as “North America’s […]
Read MoreMore TagComplying with Pay-to-Play Rules in an Election Year
This year’s mid-term elections pose a compliance challenge for registered investment advisory (RIA) firms. When it comes to politics, investment advisers and their covered associates can be as passionate as any voters. But “pay-to-play” rules prohibit advisers from making political donations that many other voters could. SEC Rule 206(4)-5 considers it to be unlawful for investment advisers to provide investment advisory services for compensation to a government entity within two years after a contribution to […]
Read MoreMore TagRegEd to Sponsor the 2022 ARM Annual Educational Conference
Attendees will learn how RegEd enables leading financial services firms to streamline the rep and agent experience to gain competitive advantage RegEd, the leading provider of licensing and registration technology solutions to the financial services industry, is pleased to announce its participation in the upcoming 2022 Association of Registration Management (ARM) Annual Educational Conference, which will be held in Sarasota, Fla. from June 6-8. Attendees of the 2022 ARM Annual Educational Conference will learn about and […]
Read MoreMore TagRegEd Thought Leaders to Present at the 2022 IRI Annual Conference
Attendees will learn how RegEd enables leading insurers to streamline the producer experience and gain competitive advantage RegEd, the leading provider of compliance and credentialing solutions to the financial services industry, will be a sponsor at the 2022 IRI Annual Conference, held from May 18–20 in Washington, D.C. The IRI Annual Conference convenes representatives from the entire supply chain of the insured retirement industry. Attendees can expect to hear from inspiring and innovative keynote speakers […]
Read MoreMore TagRegEd to Exhibit Industry-Leading Advertising Compliance Solution at 2022 IAdCA Annual Conference
RegEd will present its Enterprise Advertising Review solution at the Insurance Advertising Compliance Association’s 2022 Annual Conference. The IAdCA conference offers insurance industry professionals an opportunity to network and gain insight and understanding of insurance advertising compliance issues and trends. Conference attendees will hear from subject matter experts and state departments of insurance on advertising filing procedures, potential advertising violations, state advertising regulations, and what is expected of companies doing business in those states. Attendees […]
Read MoreMore TagTop 5 Features from RegEd’s Enterprise Compliance Spring Release
RegEd recently rolled out dozens of exciting new features with our spring Enterprise Compliance platform release designed for financial services firms. Learn more about the top 5 features below! Industry’s Largest IAR CE Offering SCORM Compliant Courses GGC’s Contact Directory Enhancements Multiple Auditor Support Compliance Questionnaire & Advertising Review Self-Service Tools Industry’s Largest IAR CE Offering In January, RegEd launched our Investment Adviser Representative CE solution to meet the North American Securities Administrators Association (NASAA)’s […]
Read MoreMore Tag5 SEC Examination Priorities for 2022
The SEC’s Division of Examinations’ exam priorities for fiscal year 2022 include standards of conduct as well as issues related to technology and investment products. “The Division will prioritize examinations of several significant focus areas that pose unique or emerging risks to investors or the markets, as well as examinations of core and perennial risk areas. Their importance to investors and the markets, coupled with the seriousness and frequency of observations in prior years’ examinations, […]
Read MoreMore TagPreparing your 2022 Firm Element Training Program – Step Two: the Written Training Plan
Adam Schaub Vice President, Platform Product Management RegEd, Inc. FINRA Rule 1240 requires each of its member firms to conduct an annual evaluation and prioritization of its registered persons’ training needs, develop a written training plan, and implement and track completion of that plan. Our first article covered the Needs Analysis, and this article covers the second step, which is to develop your firm’s written training plan. Similar to our guidance on the Needs Analysis, if […]
Read MoreMore TagPreparing your 2022 Firm Element Training Program – Step One: the Needs Analysis
Adam Schaub Vice President, Platform Product Management RegEd, Inc. It is that time of year again when firms have wrapped up their 2021 CE programs and are ready to reflect and plan their 2022 programs. For many firms, this entails dusting off the 2021 Needs Analysis and Written Training Plan, and adjusting for the current year. If planning Firm Element is a new task for you, it is recommended that you create a framework that […]
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