Compliance Management Archives

RegEd Thought Leaders Recognized by SILA for Industry Leadership and Excellence

Two RegEd representatives have received nominations for the prestigious SILA President’s Award, while RegEd has been nominated for the SILA Organization of the Year Award RegEd, the leading provider of compliance technology solutions for the insurance and securities industries, today announced nominations for two accolades from the Securities & Insurance Licensing Association (SILA): the President’s Award and Organization of the Year Award. These nominations reflect RegEd’s unwavering dedication to the SILA cause and to advancing the role of licensing and registration in the financial services industry. The SILA Awards program celebrates exceptional contributions by individuals and organizations, based on nominations […]

RegEd Thought Leaders to Share Insights and Expertise at 2024 SILA National Education Conference

RegEd, the leading provider of compliance technology solutions for the insurance and securities industries, is proud to announce the participation of its industry subject matter experts at the upcoming 2024 SILA National Education Conference, where it will be a proud Diamond Sponsor, held from Oct. 20-23, in San Diego, CA. RegEd team members will be actively engaged in sessions and meetings throughout the conference, sharing their knowledge and insights on critical compliance and regulatory topics. RegEd will host a featured conference session during the conference, titled “How Smart Automation Can Drive Efficiency and Reduce Costs for Licensing Operations.” This informative session […]

RegEd to Showcase Next-Generation Producer Management Technology at the 2024 InsureTech Connect Conference

Xchange Producer Management delivers a unified solution to drive efficiency and automation across the end-to-end producer lifecycle, delivering a frictionless user experience that minimizes the compliance burden on distribution partners. RegEd, the leading provider of compliance technology solutions to the insurance and financial services industry, is proud to be a Silver Sponsor of the 2024 InsureTech Connect (ITC) Conference, held from Oct. 15-17, in Las Vegas, NV. During the conference, RegEd will showcase its Xchange Producer Management solution, which has been developed in partnership with the nation’s largest insurance companies. Jacob Spitzley, RegEd Director of Product Management, will present “Xchange: Transforming […]

It’s the Final Countdown…Get Your IAR CE Renewals Straight; Don’t be Late!

Happy Renewal Season!!! As year-end 2024 approaches, it’s a great time to review the Investment Adviser Representative Continuing Education (IAR CE) status for your associates required to satisfy this annual requirement. IARs who fail to satisfy their IAR CE requirement for two consecutive years risk being administratively terminated in jurisdictions that have implemented an IAR CE requirement unless they satisfy ‘at a minimum’ the full 2023 requirement before year-end 2024. Although not rocket science, there are some complexities around the unique nature of the IAR CE program that still creates some confusion for the industry. For example, it’s important to […]

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 […]

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