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 Investment Adviser Representative Continuing Education Model Rule. With over 25 courses initially launched, and new ones in the pipeline, we look forward to meeting, and […]
Continue readingMore TagTag: Compliance Management
Compliance Management
5 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, demonstrate the need for the Division to remain vigilant in these areas,” according to the 2022 Examination Priorities report released by the SEC on March […]
Continue readingMore 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 your prior year’s plan was successful, you can use that as your template for 2022. If planning Firm Element is a new task for you, […]
Continue readingMore 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 can be reused in subsequent years. FINRA’s Guide to Continuing Education Requirements has a basic outline of the expected areas that should be reviewed and considered by […]
Continue readingMore TagRegEd to Exhibit Industry-Leading Adjuster Licensing Solution at Self-Insurance Institute of America Spring Forum
RegEd will exhibit its Xchange for Adjuster Licensing and Enterprise Xchange Contracting, Licensing, and Registration solutions at the Self-Insurance Institute of America (SIIA) Spring Forum in Orlando, Fla., on March 30-April 1. The SIIA Spring Forum is billed as the largest event for senior-level self-insurance industry professionals in the first half of 2022. It will include educational sessions, group discussions, association task force reports, and a “focus group” participation opportunity. RegEd helps self-insurance companies and self-insured organizations comply with state adjuster-licensing requirements and reduces adjuster-licensing costs through its adjuster-licensing expertise and built-for-purpose enterprise technology. Powered by an extensive compliance rule […]
Continue readingMore TagRegEd’s Advertising Compliance Solution Tops 4 Million Submissions
Adoption by seven of the top 10 broker-dealers and dozens of other financial services firms drives RegEd’s Enterprise Advertising Review past new milestone Significant investment in R&D and product innovation for RegEd’s market-leading Enterprise Advertising Review has resulted in the most rapid adoption by leading financial services firms in the solution’s history. Total submissions increased by more than 35% in 2021, enabling the ad compliance solution to recently surpass 4 million submissions since its inception – only a year after it exceeded 3 million submissions. The rapidity with which Enterprise Advertising Review achieved its latest milestone affirms RegEd’s unique capacity […]
Continue readingMore TagSEC: Investment Advisers Can ‘Tailor’ Cybersecurity Policies and Procedures to Fit Their Business
Though the SEC has proposed requiring cybersecurity policies and procedures for investment advisers for the first time, it has also provided firms flexibility in addressing the general elements to be covered. “We recognize that there is not a one-size-fits-all approach to addressing cybersecurity risks. As a result, the proposed cybersecurity risk management rules would allow firms to tailor their cybersecurity policies and procedures to fit the nature and scope of their business and address their individual cybersecurity risks,” the SEC wrote in recently proposed cybersecurity risk management rules. Advisers and funds would also have to report any significant cybersecurity incidents […]
Continue readingMore TagRegEd Experts to Bring Licensing Insights and Regulatory Updates to SILA Heartland Chapter Meeting
RegEd will share best practices in licensing and registration and relevant regulatory updates with Securities & Insurance Licensing Association members. At Wednesday’s SILA Heartland Chapter meeting, Michael Pouliot, head of sales for RegEd’s Enterprise Xchange Contracting, Licensing, and Registration solution, will offer SILA members ways to drive licensing and registration efficiencies that create a competitive advantage. Also, Brandi Brown, senior vice president of regulatory affairs for RegEd, will give a regulatory overview to attendees. SILA’s members include licensing experts whose occupations encompass all aspects of insurance licensing and securities registration. “Licensing and registration regulations can be complex and are increasingly dynamic,” Brown said. […]
Continue readingMore TagFINRA Publishes 2022 Report on Exam and Risk Monitoring Program
The newly released 2022 Report on FINRA’s Examination and Risk Monitoring Program reflects an evolving securities industry. “Today’s securities industry landscape is highly dynamic in terms of business models, technologies, products, and compliance practices. This report looks at these significant changes through the lens of FINRA’s commitment to investor protection and market integrity so that firms’ compliance programs can benefit from our findings about emerging and ongoing issues,” stated Greg Ruppert, executive vice president, member supervision, in a press release announcing the release of FINRA’s 2022 exam report. Exam findings in key areas Focus areas highlighted in the report include: FINRA’s initial findings from its […]
Continue readingMore TagLeading Advisory Firm Names RegEd a ‘Dominant Provider’ in Report on Distribution/Compensation Management Systems
Aite-Novarica Group Cites ‘Strong Market Position and Momentum’ in Listing Leading Providers of DCM Solutions Aite-Novarica Group has listed RegEd as a dominant solution provider in the advisory firm’s most recent report on distribution/compensation management systems. Dominant providers “have strong market position and momentum” and “their solutions within the segment are well-known,” Aite-Novarica Group states in its report. RegEd’s Enterprise Xchange Contracting, Licensing and Registration solution is one of 12 DCM provider systems (encompassing onboarding, licensing and compensation systems) included in the Novarica Market Navigator™ report. “Decoupling DCM capabilities from core policy administration systems can be a strategic approach to […]
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