As the year draws to a close, it’s crucial for Investment Adviser Representatives (IARs) and Investment Advisers (IAs) to be acutely aware of the Investment Adviser Representative Continuing Education (IAR CE) requirements and the consequences of non-compliance. This blog post aims to highlight key points on what needs to be considered as we approach year-end, focusing on CE compliance, potential administrative terminations, and strategies for addressing these challenges. Understanding the Risks of Non-Compliance with IAR CE Requirements Potential Administrative Termination for IARs Two-Year Backlog Risk: IARs who are behind on their IAR CE for two years face the risk of […]
Continue readingMore TagRegEd to Showcase Next-Generation Producer Management Solution at 2023 InsureTech Connect Conference
Xchange Producer Management delivers a single solution for all distribution channels, enabling rapid onboarding of agencies and agents to speed time to market. RegEd, the leading provider of compliance technology solutions to the financial services industry, including Xchange, the market-leading Enterprise Licensing and Registration solution, is proud to be a Silver Sponsor of the 2023 InsureTech Connect (ITC) Conference, held from Oct. 31-Nov. 2, in Las Vegas, NV. During the conference, RegEd will present its next-generation Xchange Producer Management solution, which was developed with input from some of the nation’s largest insurance companies. Jacob Spitzley, RegEd Director of Product Management, […]
Continue readingMore TagRegEd to Participate in 2023 AICP Annual Conference
RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is a proud Silver Level Sponsor and participant in the 2023 Association of Insurance Compliance Professionals’ (AICP) Annual Conference in Austin, TX, on Oct. 29 – Nov. 1, 2023. Conference attendees will learn about and discuss key issues facing compliance professionals at Property and Casualty and Life and Health companies. The event will bring together hundreds of senior insurance compliance professionals, regulators and industry thought leaders. “Breaking the Spell on Compliance and Discovering Your Magic” is the theme of this year’s AICP conference. […]
Continue readingMore TagRegEd’s Brandi Brown Appointed as Education Chair on SILA Board of Directors
RegEd, a leading provider of compliance and regulatory solutions for the financial services industry, is pleased to announce that Brandi Brown, Senior Vice President of Regulatory Affairs at RegEd, has been voted onto the Securities & Insurance Licensing Association (SILA) Board of Directors. Brown will serve as the Education Chair for a two-year term, commencing in January 2024. SILA is a highly respected industry organization dedicated to the promotion and enhancement of the professional growth of individuals and companies in the insurance and securities licensing industry. The Education Chair is a crucial position that plays an instrumental role in shaping […]
Continue readingMore TagRegEd Subject Matter Experts to Share Insights and Expertise at the 2023 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 esteemed subject matter experts at the upcoming 2023 SILA National Education Conference. 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 “The P&C Carrier and Insurance Broker of the Future: How Automation Can Drive ROI and Cost Efficiency for Licensing Operations.” This informative session will be presented by two of RegEd’s […]
Continue readingMore TagRegEd to Exhibit Enterprise Compliance Solutions at 2023 NSCP National 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. As the leading provider of regulatory technology solutions to the financial services industry, RegEd is a Platinum Member Sponsor and will exhibit its enterprise compliance platform at the 2023 National Society of Compliance Professionals (NSCP) National Conference in Dallas, TX, on Oct. 16-18. The annual NSCP National Conference offers dozens of sessions covering topics that are relevant to broker-dealers, investment advisers, private funds, and investment companies, and has […]
Continue readingMore TagRegEd Subject Matter Experts 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 industry’s most trusted provider of distribution management solutions, including onboarding, licensing, registration and data maintenance, 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, […]
Continue readingMore TagNavigating Regulatory Disparities: Broker-Dealer Branch Office Inspections
Introduction The financial services industry is constantly evolving, and regulatory bodies play a pivotal role in protecting investors as well as maintaining the integrity and stability of the markets. Recent enforcement events are at the center of a regulatory conundrum. Maine has sanctioned at least 28 broker-dealers so far this summer for failing to conduct annual onsite branch office inspections, drawing attention to the compliance challenges broker-dealers faced due to the lack of uniformity within the regulatory landscape. Maine isn’t the only state with an annual onsite branch office inspection requirement. The Regulatory Dilemma The heart of the issue lies […]
Continue readingMore TagRegEd Recognized as a Top Innovator in the InsurTech Sector as a Member of the 2023 InsurTech100
The annual list identifies the world’s most innovative providers in the insurance technology market that are helping insurers address their most pressing compliance and operational challenges. RegEd, a leading provider of compliance and credentialing solutions for the insurance industry, is proud to announce its inclusion in the 2023 InsurTech100 list. This annual ranking, published by specialist research firm FinTech Global, highlights the most innovative and transformative technology companies reshaping the insurance sector. In an era marked by rapid digital transformation and evolving customer expectations, insurance firms face an ongoing struggle to modernize their services. InsurTech companies have emerged as vital […]
Continue readingMore TagRegEd Thought Leader to Participate in Annual NAIC Insurance Summit 2023
Kaitlyn Small of RegEd will be leading an adjuster licensing session during the conference RegEd, the leading provider of compliance and credentialing solutions to the financial services industry, is a proud sponsor of the upcoming Insurance Summit 2023. The event, to be held September 11-14 in Kansas City, is presented jointly by the National Association of Insurance Commissioners (NAIC) and National Insurance Producer Registry (NIPR). The Insurance Summit stands as a beacon of collaboration and knowledge exchange within the insurance sector, combining the extensive resources of NAIC and NIPR. It serves as a premier conference for insurance professionals, providing an […]
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