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

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 challenges with highly customized solutions that drive efficiency and support a culture of compliance.”

During the conference, RegEd representatives will highlight these and other solutions for the banking industry:

Advertising Review Management: Streamlines the end-to-end process for advertising and customer communication submission, review, collaboration and approval, speeding time to market for review items.

Branch Audit Management: Enables banks to fully plan, schedule, conduct, resolve and report on bank branch audits. The solution is fully configurable to reflect the bank’s specific organizational hierarchy and business processes.

Employee Conflicts of Interest Management: Including Gifts and Gratuities, Outside Business Activities, Personal Securities Accounts, and Political Contributions. Capture full audit trails of requests, approvals, exceptions, attestations and documentation.  

Policies and Procedures Management: Enables administration and oversight of the bank’s policies and procedures, including approval, distribution, attestation management and testing program management.

Regulatory Exam Management:  Streamline and automate the management of regulatory exams from the receipt of the “first day” letter, across all preparatory activities, through to the final response submitted to the regulator, significantly reducing the time and resource commitment required to support regulatory examinations.

RegEd is exhibiting at the conference and can be located at Booth 332 in the main exhibit hall of the Walt Disney World Dolphin Hotel. For more information about RegEd and its enterprise compliance solutions, please visit www.reged.com.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients across the financial services industry. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for banks, insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.  For more information, visit www.reged.com.

RegEd to Showcase Enterprise Compliance Solutions at FINRA Annual Conference

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 about critical compliance and operational challenges and the best practice approaches for addressing those challenges." 

Mr. Schobel continued, "Conflicts of interest continues to be high on the radar of multiple regulators and we expect to see changes to FINRA’s Gifts, Gratuities and Non-Cash Compensation rules as a result of their proposed amendments. RegEd has invested significantly in addressing industry challenges in this area, and we will showcase RegEd’s enterprise-grade Gifts and Entertainment solution at the conference.”

During the conference RegEd will highlight a number of enterprise compliance solutions that enable firms to instill a culture of compliance in today’s rapidly evolving regulatory environment:

SCORE® Compliance Dashboard: Aggregates data to present a real-time view of compliance and credentialing status and requirements, at the enterprise or employee level.

Global Conflicts of Interest Management: Monitor, identify and remedy conflicts of interest and code of conduct issues across the firm’s supervised and employee populations.

Enterprise Gifts & Entertainment Management: Revolutionary advanced capabilities enable global enterprise gifts and entertainment tracking and management, including Concur® integration.

Registration and OBA: Streamline registration compliance across the enterprise, including end-to-end OBA tracking and reporting. Integrations automate filing and reconciliation of amendments and background 
investigations.

Regulatory Change / Policies & Procedures Management: Delivers actionable regulatory updates and tracking of compliance obligations in a closed-loop process. Impacted policies are automatically identified.

RegEd representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss solutions that enable broker-dealers and other financial services firms to meet compliance requirements and proactively manage their compliance program.

The RegEd conference exhibit will be located at booth #25 in the conference’s main exhibitor hall at the Marriot Marquis Washington, DC. For more information on RegEd or its attendance at the FINRA Annual conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd, Inc. is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk. 

RegEd to Welcome Regulators and Notable Compliance and Operations Experts to its Annual Client Conference in Charleston, SC

RegEd to Welcome Regulators and Notable Compliance and Operations Experts to its Annual Client Conference in Charleston, SC

Compliance, licensing and registration, and operations professionals from the financial services industry will gather at the fifth annual RegEd Compliance Alliance (RCA) conference to share best practices, build critical knowledge across a range of topics, and interact with regulators and industry experts. The event will be held April 18-20 in Charleston, SC, and will be hosted by RegEd, a leading provider of compliance, education, and licensing and registration solutions to banks, broker-dealers, insurance companies and other financial services firms.

The conference includes substantive sessions, panel discussions and expert presentations on topics ranging from FINRA and SEC Enforcement Trends to Creating a Comprehensive Conflicts of Interest Program, and will open with a keynote by David Chaves, Supervisory Special Agent, FBI Securities. Mr. Chaves is a senior FBI Agent assigned to the New York division and has served as the securities fraud program manager for many of the most prominent securities cases prosecuted over the last decade. He is widely acknowledged as the chief strategist in handling complex white-collar investigations and for identifying corruption in the hedge fund industry. Mr. Chaves will speak on the topic of cybersecurity, which the FBI has identified as a top criminal priority, and offer expert insight into issues of cybersecurity resources, compliance, risk analysis, policies, procedures, pitfalls, response plans and best practices to help protect against cyber intrusions.

Other notable contributors to the conference program include:

  • Mitch Avnet, Founder and Managing Partner, Compliance Risk Concepts, LLC
  • Francois Cooke, Managing Director, ACA Compliance Group
  • Susan Light, Senior Vice President, Department of Enforcement, FINRA
  • Linda Riefberg, Special Counsel, Partner, Cozen O'Connor
  • Brian Rubin, Partner, Sutherland Asbill & Brennan LLP
  • Karen Stakem Hornig, Executive Director, NIPR
  • Other representatives from NIPR, FINRA and the NAIC

Stephanie Buchanan, RegEd Chief Client Officer, commented, “RCA 2016 represents a phenomenal opportunity for RegEd clients to engage with regulators, industry thought leaders, RegEd experts and their colleagues on the critical issues and challenges they face as a result of an increasingly demanding business and regulatory environment.”

For more details about the RegEd Compliance Alliance (RCA) conference or information on RegEd's compliance management, licensing and registration, and product education solutions, visit www.reged.com.

About RegEd 

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk. 

RegEd to Welcome Regulators and Notable Compliance and Operations Experts to its Annual Client Conference in Hilton Head SC

RegEd to Welcome Regulators and Notable Compliance and Operations Experts to its Annual Client Conference in Hilton Head, SC

Compliance, licensing and registration, and operations professionals from the financial services industry will gather at the sixth annual RegEd Compliance Alliance (RCA) conference to share best practices, build critical knowledge across a range of topics, and interact with regulators and industry experts. The event will be held May 1-3 in Hilton Head, SC, and will be hosted by RegEd, a leading provider of compliance, education, and licensing and registration solutions to banks, broker-dealers, insurance companies and other financial services firms.

The conference includes substantive sessions, panel discussions and expert presentations on topics ranging from FINRA and SEC Enforcement Trends to Creating a Comprehensive Compliance Portal and will open with a presentation from Jilenne Gunther, MSW, JD, Director of AARP BankSafe. Ms. Gunther is a well-recognized policy expert in BankSafe, financial exploitation, and consumer rights.  Her groundbreaking policy and research has been replicated in more than 40 states, and it has been cited in Senate hearings, CFPB advisories, GAO reports, Forbes, and Consumer Reports.  Ms. Gunther will speak on the topic of financial exploitation of vulnerable adults. During the session she will discuss the realities of the vulnerable 50+ adult population, the cost of exploitation and ways that the financial industry can work together to solve the problem.

Other notable contributors to the conference program include:

  • Susan Krawczyk, Partner, Eversheds Sutherland
  • Susan Light, Senior Vice President, Department of Enforcement, FINRA
  • Brian Rubin, Partner, Eversheds Sutherland
  • Karen Stakem Hornig, Executive Director, NIPR
  • Bill Swanstrom, Vice President, Registration and Disclosure, FINRA
  • Robin Traxler, Vice President of Regulatory Affairs & Associate General Counsel, FSI
  • Other representatives from NIPR, FINRA, NAIC and State Departments of Insurance

John M. Schobel, RegEd CEO & Founder, commented, “Regulation continues to expand, presenting new challenges for industry firms. RCA 2017 provides a forum for RegEd clients to engage with regulators, industry thought leaders, RegEd experts and their colleagues on the critical issues and challenges they face as a result of an increasingly demanding business and regulatory environment.”

 
About RegEd 

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk. 

RegEd to Showcase Enterprise Compliance Solutions at FSI OneVoice Conference

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 set of enterprise solutions that enable firms to ensure a culture of compliance in today’s rapidly evolving regulatory environment:

SCORE® Advisor Dashboard: Aggregates critical compliance data to present a real-time view of individual rep compliance / credentialing status and requirements.

DOL Fiduciary Rule Compliance Training: Comprehensive curriculum enables firms to effectively train employees and partners on the new and changed standards of the fiduciary rule.

Enterprise Gifts and Entertainment Tracking: Revolutionary expanded capabilities enable global enterprise gifts and entertainment tracking and management, including Concur® integration.

Regulatory Change/Policies and Procedures Management: Delivers actionable regulatory updates and provides tracking of compliance obligations in a closed-loop process. Impacted policies are automatically identified.

John M. Schobel, Chief Executive Officer at RegEd, commented, “In this regulatory climate it is more important than ever that firms have the tools in place to support a robust culture of compliance. We’re pleased to be a sponsor at this year’s FSI OneVoice conference, which will give us the opportunity to meet with our clients and introduce them to solutions that will enable them to effectively manage risk in 2017.”

RegEd representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss solutions that enable broker-dealers and other financial services firms to meet compliance requirements and proactively manage their compliance program.

The RegEd conference exhibit will be located at booth #120 in the conference’s main exhibitor hall at the Marriot Marquis San Francisco. For more information on RegEd or its attendance at the FSI OneVoice conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd, Inc. is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.

RegEd Announces Program for Sixth Annual Client Conference in Hilton Head Island SC

RegEd Announces Program for Sixth Annual Client Conference in Hilton Head Island, SC

RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce that the annual RegEd Compliance Alliance (RCA) client conference will be held in Hilton Head Island, SC, May 1-3, 2017.

RCA 2017 will provide executives and senior managers from Compliance, Risk Management, Legal, Governance and Operations, including Licensing and Registration professionals, with the unique opportunity to share best practices, build critical knowledge, and engage with regulators and industry experts.

The conference program is focused on the theme, Enabling a Culture of Compliance. “In this environment it’s not enough to ‘check the box’ on compliance obligations,” commented John M. Schobel, CEO & Founder of RegEd. “Regulators are increasingly evaluating firms on a deeper level, with an eye toward firm culture that goes beyond the letter of regulation. We’ve developed a conference program that will strengthen our clients’ ability to support and maintain a culture of compliance.”

Conference sessions will deliver the latest information and expert insights surrounding the industry’s evolving regulatory and compliance concerns in an educational and collaborative forum. Session topics will include FINRA, SEC, and State Insurance Department regulatory updates and enforcement trends; DOL fiduciary rule compliance; onboarding and contracting; conflicts of interest; and challenges, opportunities and best practices in managing regulatory change, policies and procedures, regulatory exams, and licensing and registration.

Registration is now open for the RegEd Compliance Alliance (RCA) Client Conference.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.

RegEd Compliance Thought Leaders to Participate in 27th Annual SILA National Education Conference

RegEd Compliance Thought Leaders to Participate in 27th Annual SILA National Education Conference

RegEd, the leading provider of compliance technology solutions to the financial services industry, including Xchange, the market-leading Enterprise Licensing and Registration solution, has announced its participation in the 2016 SILA National Education Conference in San Antonio, TX on Sept. 18-21, 2016.

The conference will provide an educational forum for attendees to address current industry challenges, discuss licensing and registration best practices, and build their overall compliance knowledge. John M. Schobel, RegEd CEO and Founder, stated, "RegEd has supported the SILA mission for over 15 years and is proud to be a SILA Platinum Sponsor. This year, we also have the distinct honor of being nominated for the SILA Organization of the Year Award. This nomination acknowledges leadership and dedication in continuous service to the licensing and securities industries. We’re thrilled to be recognized as a finalist.”

A number of RegEd compliance thought leaders and subject matter experts will participate in sessions during the conference. Margie Webber, Governance Chair on the SILA Board of Directors and a Senior Member of RegEd's Regulatory Affairs Group, will lead the Securities Open Forum discussion, and will moderate the panel, Assess, Secure & Respond: Data security and all that applies. Ann Robinson, Senior Vice President of Business Development at RegEd, will serve as a panelist for the session. Brandi Brown, Senior Vice President of RegEd’s Regulatory Affairs Group, will be a panelist for Securities: All About Annuities. Susan Boles, RegEd Senior Regulatory Compliance Analyst, will co-anchor the SILA Morning News and moderate a session focused on adjuster licensing. Boles will also be a lead panelist for Continuing Education – Bridging the Gap between Producer and Adjuster Requirements.

RegEd representatives will be onsite during the conference to highlight the firm’s innovative enterprise solutions for contracting/onboarding, appointment processing and credentialing management. Solutions for managing compliance with the DOL Fiduciary Rule will also be showcased. RegEd booths 4 and 5 will be located in the Lone Star Ballroom of the Grand Hyatt San Antonio.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.

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

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 of ethics are mapped to current regulatory requirements and are demonstrably effective.”

RegEd representatives will be onsite during the conference to speak with attendees about enterprise solutions for managing regulatory change, policies and procedures, and market conduct examinations:

Regulatory Change Management

Regulatory Change Management is a fully integrated solution that streamlines the end-to-end process of managing regulatory change throughout the organization. CODE facilitates a workflow-enabled, closed loop process that provides firms with everything they need to be aware of, comply with, and demonstrate compliance with all relevant regulatory changes. 

Policies and Procedures Management

Policies and Procedures Management provides an enterprise workflow, work-process and task management solution that enables comprehensive, end-to-end administration and oversight of all elements of the firm’s policies and procedures. This includes the policy approval process, policy distribution, attestation management, testing program management and deficiency and case management. The solution establishes a central control center for all policies and enables the firm to establish discreet policies based on role, function, department and entity.

Market Conduct Exam Management

Market Conduct Exam Management provides a highly configurable solution that enables firms to effectively prepare for and efficiently manage tasks related to market conduct exams. The solution installs best practices and drives efficiency across all exam management tasks, enabling firms to significantly reduce the time and resource commitment required during a market conduct exam.

Following the conclusion of the conference, RegEd will co-host the Policy Management by Design workshop with GRC 20/20, a leading industry analyst firm. The hands-on, educational workshop will provide attendees with a blueprint for creating and managing an effective, efficient, and agile policy management program.

For more information about RegEd and its enterprise compliance solutions, please visit www.reged.com.

About RegEd
RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk.

RegEd Announces Regulatory Exam Management Capabilities for CODE Enterprise Platform

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 to manage the process effectively,” commented Debra Freitag, Chief Strategy Officer at RegEd. “With CODE, firms can embed a streamlined, repeatable methodology for managing exams, from pre-exam preparation to fulfillment of post-exam remediation requirements.”

Regulatory Exam Management installs best practices and drives efficiency across all exam management processes, enabling firms to significantly reduce the time and resource commitment required during a regulatory exam. The solution delivers a highly configurable, workflow-enabled framework that facilitates management of data requests, examiner communication, remediation and other key elements of the exam lifecycle. CODE enables exam managers to centrally coordinate exam activities across the organization and provides a full audit trail of the firm’s remediation actions.

CODE enterprise platform capabilities provide robust workflow and task management, while integrated regulatory intelligence delivers actionable, relevant compliance requirements. The combination enables financial services firms to efficiently identify, track and fulfill compliance obligations, dramatically reducing the risk of non-compliance and related consequences.  Other CODE modules include Market Conduct Exam Management, Regulatory Change Management, Policies and Procedures Management, Consumer Complaint Management and Incident Management. CODE is fully configurable, scalable and extendable to enable companies to cost-effectively build on the initial investment as their needs expand and evolve.

RegEd to Feature Solutions that Address Critical Compliance Challenges for the Banking Industry at ABA Regulatory Compliance Conference 2016

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 to establish trusted partnerships with more than four hundred enterprise clients in the financial services industry.”

During the conference, RegEd representatives will highlight enterprise solutions for managing employee conflicts of interest, regulatory change, policies and procedures, and regulatory exams:

Employee Conflicts of Interest Management

RegEd’s Conflicts of Interest Management solution suite enables firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues among the firm’s employees and supervised individuals. The solution comprises five modules which can be implemented individually or together: Gifts and Gratuities, Outside Business Activities, Political Contributions, Personal Securities Account Management, and Conflicts of Interest Questionnaires.

Regulatory Change Management

Regulatory Change Management is a fully integrated solution that streamlines the end-to-end process of managing regulatory change throughout the organization. CODE facilitates a workflow-enabled, closed loop process that provides firms with everything they need to be aware of, comply with and demonstrate compliance with all relevant regulatory changes. 

Policies and Procedures Management

Policies and Procedures Management provides an enterprise workflow, work-process and task management solution that enables comprehensive, end-to-end administration and oversight of all elements of the firm’s policies and procedures. This includes the policy approval process, policy distribution, attestation management, testing program management and deficiency and case management. The solution installs a central control center for all policies and enables the firm to establish discreet policies based on role, function, department and entity.

Regulatory Exam Management

Regulatory Exam Management enables financial services firms to effectively prepare for and efficiently manage the myriad of tasks undertaken during the course of a regulatory examination. The solution embeds a streamlined, repeatable methodology for managing exams, from pre-exam preparation to fulfillment of post-exam remediation requirements, enabling firms to significantly reduce the time and resource commitment required during a regulatory exam.

About RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers.  RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk. 

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