Conflicts of Interest Archives

RegEd to Showcase Enterprise Compliance Solutions at 2021 NSCP National Conference

As the leading provider of regulatory technology solutions to the financial services industry, RegEd will exhibit its enterprise compliance platform at the 2021 National Society of Compliance Professionals (NSCP) National Conference in National Harbor, Md., on Nov. 8-10. The annual NSCP National Conference offers dozens of sessions covering topics that are relevant to investment advisers, broker-dealers, private funds, and investment companies, and has been recognized as one of the most comprehensive educational offerings within the securities compliance industry. This year, “the only conference that’s ‘for compliance, by compliance,’” will focus on “the practical solutions to empower yourself and your compliance […]

RegEd will Present Enterprise Compliance Solutions for Banks at the ABA Regulatory Compliance Conference

RegEd will showcase its enterprise compliance platform for banks at the American Bankers Association’s Regulatory Compliance Conference, which will be held virtually from June 22-24. The National Conversation on Compliance will provide participants with in-depth regulatory analysis, benchmarking data from across the industry, and practical implementation strategies for current compliance challenges. The ABA Regulatory Compliance Conference includes sessions on timely topics such as: Leading Practices in Assessing and Mitigating UDAAP Risk Reviewing Your Compliance Policies and Procedures for the New Environment Customer Communications Compliance Navigating Virtual Examinations The Future of Regulation The conference will also include a virtual marketplace with […]

SEC’s 2020 Examination Priorities Demonstrate a Continued Focus on Conflicts of Interest, Including Outside Business Activities

SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued its examination priorities for 2020. According to the report, OCIE will continue its focus on the protection of retail investors, including seniors and those saving for retirement. Examinations in these areas will include reviews of disclosures relating to fees, expenses, and conflicts of interest. “Registered firms must effectively implement controls and systems to ensure disclosures are made as required and that a firm’s actions match those disclosures… Examinations will relatedly focus on registered firms’ disclosures and supervision of outside business activities of its employees and associated persons, and any conflicts that may […]

RegEd to Showcase Enterprise Platform Solution at 2019 FINRA Annual Conference

Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet compliance and registration obligations while presenting a unified enterprise view of requirements. Raleigh, NC, May 10, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation at the 2019 FINRA Annual Conference in Washington, DC, May 15-17, 2019. 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 […]

RegEd to Showcase Enterprise Compliance Solutions at 2018 NSCP National Conference

Attendees will learn how RegEd enables hundreds of clients to efficiently meet compliance obligations associated with conflicts of interest, advertising review, branch audits, employee risk monitoring, onboarding and licensing and registration RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce its participation in the 2018 National Society of Compliance Professionals (NSCP) National Conference in Atlanta, GA, on October 29-31, 2018. Recognized as one of the most comprehensive educational offerings within the securities compliance industry, the NSCP National Conference offers more than 60 sessions, covering topics that are relevant to investment advisers, broker-dealers, […]

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 Reaches New Milestone with More than 250000 Registered Reps Reporting Outside Business Activities and Compliance Disclosures Through its Enterprise Platform

RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, today announced that it has surpassed 250,000 registered reps reporting outside business activities and compliance disclosures through its enterprise platform, representing 50% of the registered rep population across firms with over 100 reps. The firm has achieved this milestone through its unique capacity to support complex hierarchies and multidimensional approval processes. RegEd’s Enterprise Outside Business Activities / Compliance Questionnaires solution is used by hundreds of industry firms, including 80% of the top 25 broker-dealers. A module of RegEd’s fully integrated Conflicts of Interest […]

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 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 Feature Solutions that Address Critical Compliance Challenges for the Banking Industry at ABA Regulatory Compliance 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 ABA Regulatory Compliance Conference 2016, held June 12-15 in San Diego, CA. The featured solutions enable banks to efficiently address critical compliance challenges, including several key areas of regulator focus. “RegEd has a long and proven track record as an enterprise technology provider to leading broker-dealers, investment advisors and insurance companies,” commented John Schobel, RegEd Chief Executive Officer. “We’re now focused on helping banks meet compliance challenges in many of the same areas that have enabled us […]

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