Compliance Management Archives

RegEd to Feature Enterprise Solutions for Managing Regulatory Change Consumer Complaints and Market Conduct Exams at AICP Annual Conference 2017

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation in the Association of Insurance Compliance Professionals’ (AICP) Annual Conference 2017 in Seattle, WA, October 1-4, 2017. The 30th AICP Annual Conference will host over 400 insurance compliance professionals from Property and Casualty and Life and Health companies. The program will offer more than 60 educational sessions including the evolving regulatory environment, cybersecurity, market conduct, ethics, and the future of technology in compliance roles. Presenters and panelists include senior compliance executives from leading insurers, as well as […]

RegEd to Showcase Enterprise Compliance Solutions for Insurance Companies at ACLI Annual Conference 2017

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation in the American Counsel for Life Insurers (ACLI) Annual Conference 2017 in Orlando, FL, October 8-10, 2017. The conference brings together senior executives from life insurance and financial services companies to examine today's business and political issues. The program features general sessions with industry-expert speakers and over 20 breakout sessions addressing legal, investment/financial, reinsurance, compliance, retirement security, advocacy, and legislative and regulatory issues. Also in attendance will be senior representatives from associated industries and financial services associations. […]

RegEd Named SILA 2017 Organization of the Year

RegEd, the leading provider of compliance technology solutions to the financial services industry, including Xchange, the market-leading Enterprise Licensing and Registration solution, has been named the SILA Organization of the Year. The award was announced at the 2017 SILA National Education Conference in Orlando, FL on September 26, 2017. John M. Schobel, RegEd CEO & Founder, stated, "On behalf of RegEd, I want to offer sincere appreciation to the committee at SILA for selecting us as the Organization of the Year. We have invested greatly into our Enterprise Xchange platform over the last decade, and especially over the past 24 […]

RegEd to Feature Enterprise Compliance Solutions for the Banking Industry at the ABA Regulatory Compliance Conference 2017

RegEd, the leading provider of compliance technology to banks, broker-dealers and insurance companies, is pleased to announce its participation in the American Bankers Association Regulatory Compliance Conference 2017. The event will be held June 11-14 in Orlando, FL. RegEd will feature solutions that address critical compliance challenges for the banking industry, including key areas of regulator focus. “Banks must navigate economic headwinds, regulatory uncertainty and an increasingly unforgiving enforcement environment placing them under pressure to drive operational efficiency and install effective compliance oversight,” commented Debra Freitag, RegEd Chief Strategy Officer. “RegEd has partnered with leading banks to meet critical compliance […]

RegEd to Showcase Enterprise Compliance Solutions at FINRA Annual Conference

RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation at the 2017 FINRA Annual Conference in Washington, DC, May 16-18, 2017. FINRA's annual conference provides securities industry practitioners with guidance on regulatory priorities and addresses the compliance and regulatory issues investment advisers and broker-dealers face in today's evolving industry with interactive forums led by experienced industry veterans and regulators. RegEd's CEO & Founder, John M. Schobel stated, "The FINRA Annual Conference provides an important forum for regulators, industry firms and solution providers, like RegEd, to engage in dialog […]

RegEd to Showcase Enterprise Compliance Solutions at FSI OneVoice Conference

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 Francisco, CA, January 23-25, 2017. The FSI OneVoice conference is an educational forum for broker-dealer home office executives. This year’s event will offer more than 25 sessions on topics including DOL fiduciary rule compliance, cybersecurity, and managing regulatory change, regulatory exams and policies and procedures. Presenters and panelists include regulators, senior executives from leading financial services firms and industry subject matter experts. During the conference RegEd will showcase a […]

RegEd Selected as Best in Class Solution for 1st Global’s Enterprise Empowerment Initiative

RegEd, the leading provider of enterprise Compliance Management, Licensing and Registration and Compliance Education solutions, has announced a partnership with 1st Global, an independent wealth management partner to exceptional CPA firms, to be a part of the company’s Enterprise Empowerment Initiative (EEI). 1st Global recently announced a firm-wide overhaul of its technology infrastructure and RegEd solutions will serve as a key component for the initiative and drive efficiency across a range of critical business processes. After an extensive due diligence process, 1st Global selected RegEd to manage advertising compliance, registration renewal, firm element training, outside business activities reconciliation, personal securities […]

RegEd to Showcase Regulatory Change Management and Market Conduct Exam Management Solutions at AICP Annual Conference 2016

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation in the Association of Insurance Compliance Professionals’ (AICP) Annual Conference 2016 in Orlando, FL, October 25-28, 2016. The 29th AICP Annual Conference, an educational forum for Property and Casualty and Life and Health insurance compliance professionals, will offer more than 60 concurrent sessions including ethics, evolving cyber threats, market conduct, corporate governance, culture of compliance, and regulatory oversight. Presenters and panelists include senior compliance executives from leading insurers, as well as subject matter experts and industry regulators. […]

RegEd to Showcase Enterprise Compliance Solutions for Insurance Companies at ACLI Compliance and Legal Conference 2016

RegEd, the leading provider of compliance technology to the financial services industry, will highlight a set of enterprise compliance solutions at the upcoming ACLI Compliance & Legal Sections Annual Conference 2016, held July 11-13 in Boston, MA. The featured solutions enable insurers and other financial services firms to effectively and efficiently meet compliance obligations and proactively manage their compliance program. “Policies and Procedures and Regulatory Change Management are the backbone of a strong compliance program,” commented Debra Freitag, Chief Strategy Officer at RegEd. “Insurers in today’s regulatory climate must manage them holistically, to ensure that the organization’s polices and code […]

RegEd Announces Regulatory Exam Management Capabilities for CODE Enterprise Platform

RegEd, a leading provider of compliance technology solutions for the financial services industry, has announced the expansion of the Comply On Demand Enterprise (CODE®) platform to address the multitude of requirements associated with undergoing regulatory exams. Regulatory Exam Management leverages CODE’s enterprise workflow, task management, document management and reporting capabilities to enable firms to drive efficiency throughout the end-to-end exam process. “Undergoing regulatory examinations can be costly and time-consuming for financial services firms. With the pace of regulatory change accelerating, the increasing frequency and broadening scope of exams represent significant risk and a drain on resources for firms that fail […]

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