Compliance Management Archives

RegEd to Showcase AI-Powered Advertising Review Solution at 2024 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, Sept. 26-27, 2022. FINRA’s Advertising Regulation Conference presents an extensive agenda tailored for both newcomers and seasoned professionals in communications compliance and marketing. Attendees will benefit from interactive sessions led by industry and regulatory experts, focusing […]

RegEd to Participate in 2024 AICP Annual Conference

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is a proud Sponsor and participant in the 2024 Association of Insurance Compliance Professionals’ (AICP) Annual Conference in Indianapolis, IN, on Sept.15-18, 2024. This year’s AICP conference, themed “Shift into Overdrive: Join the Race for Regulatory Excellence,” will serve as a platform for industry professionals to explore and address the pressing challenges faced by compliance teams in Property and Casualty as well as Life and Health sectors. Attendees can look forward to engaging discussions with senior insurance compliance professionals, regulators, and thought leaders […]

Complying with Pay-to-Play Rules in an Election Year

Complying with Pay-to-Play Rules in an Election Year This year’s government 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 some 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 an ‘official’ of the government entity is made by the investment adviser or any of its covered […]

Is your regulatory branch inspection program prepared to support the new FINRA Remote Inspections Pilot Program and Requirements for Residential Supervisory Locations?

In January of this year, FINRA published Regulatory Notice 24-02 announcing the effective dates for the Remote Inspection Pilot Program (Pilot) and the Residential Supervisory Locations (RSLs). Those dates are now rapidly approaching and firms must make decisions on whether to participate in the Pilot Program this year and how to apply the RSL rule. A primary driver in the Pilot decision is whether the technology the firm uses will allow the firm to meet the tracking, findings, and reporting intricacies under the Rules. RegEd’s Branch Audit Management solution enables Pilot-participating firms to meet the new requirements. It also allows […]

RegEd’s AI-Powered Advertising Review Solution Surpasses 350,000 Users, Solidifying its Position as the Most Widely Adopted Solution Among Industry Leading Firms

Unprecedented user growth has been driven by continuous product innovation, including the integration of artificial intelligence, and widespread adoption among the largest financial institutions. RegEd, the leading provider of compliance solutions for financial services firms, has announced a significant milestone as its Advertising Review Solution reaches 350,000 users across more than 100 successful implementations. This achievement highlights RegEd’s unique ability to support the advertising compliance needs of the financial services industry at enterprise scale, with four of the five largest financial institutions in the US among its client firms. RegEd’s Advertising Review Solution is the industry’s preferred solution because of […]

RegEd to Showcase Enterprise Compliance Solutions at 2024 FINRA Annual Conference

Attendees will have the Opportunity to Learn How to Navigate Today’s Evolving Regulatory Landscape with RegEd’s Innovative Solutions at the can’t miss industry event. RegEd, the leading provider of compliance technology solutions for broker-dealers and financial services firms, is pleased to announce its participation in the 2024 FINRA Annual Conference in Washington, DC, from May 14-16, 2024. As a proud sponsor, RegEd will host a double kiosk, located at booth #36 in the M4 level exhibit hall, and a client welcome reception on Monday, May 13. The FINRA Annual Conference is an essential event for securities industry professionals, offering insights […]

RegEd’s Advertising Compliance Solution Surpasses 6 Million Submissions, Setting New Industry Milestone

RegEd’s Enterprise Advertising Review achieves new breakthrough in scale, fueled by continued adoption by the industry’s leading firms and groundbreaking product innovation. RegEd, the leading provider of compliance solutions for financial services firms, has announced a significant new milestone as its Enterprise Advertising Review Solution surpasses 6 million review submissions supporting more than 200 million review decisions. This new mark underscores RegEd’s unique ability to enable marketing and advertising compliance review processes at enterprise scale, with advanced capabilities including the integration of artificial intelligence (AI). RegEd’s innovation and continuous investment in Advertising Review has made it the choice for the […]

RegEd Launches Producer Management and Licensing Automation Technology Bundle for Midsized Insurers and Distributors

Tailored Offering From the Industry Leader Enables High Efficiency for Licensing Teams and a Frictionless User Experience for Producers and Admins, Enabling Scale for Growth. RegEd, the leading provider of producer management solutions for the insurance and financial services industry, has announced the launch of a technology bundle specifically calibrated for small and midsized insurers and distributors seeking to scale their producer support function along with a growing business. This comprehensive solution, powered by the industry-leading Enterprise Xchange, will meet the unique needs of growing firms, who benefit from an all-in-one approach to producer management technology delivered by a single […]

FINRA’s Targeted Exam Reveals Violations in Crypto Communications: What You Need to Know

FINRA recently released the results of its November 2022 targeted exam to review the practices of its member firms that actively communicate with retail customers concerning crypto assets and crypto asset-related services. As part of this targeted exam, FINRA reviewed over 500 such communications and identified potential substantive violations of FINRA Rule 2210 in approximately 70 percent of the communications. FINRA Rule 2210 requires that communications be fair and balanced and provide a sound basis for evaluating the facts regarding any product or service discussed. The Rule also prohibits claims that are false, exaggerated, promissory, unwarranted, or misleading, and prohibits […]

RegEd Launches ‘Compliance Control Center’ Technology Bundle to Deliver Best-In-Class Oversight for Midsized Broker-Dealers

New Offering From the Industry Leader Brings Together Compliance Management Capabilities Trusted by the Industry’s Largest Broker-Dealers and Delivers Them to SMBs and Growing Firms RegEd, a leading provider of compliance solutions for the financial services industry, has announced the launch of its Compliance Control CenterSM technology bundle. This comprehensive solution will meet the unique needs of SMBs and growing firms, who benefit from an all-in-one approach to compliance technology delivered by a single trusted partner. RegEd draws on its extensive experience serving the leading firms in the industry to bring together advanced compliance tools previously available only to the […]

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