Reports show trends on how well your firm did in the past, as well as what’s coming down the pike. These are key factors that drive success for the firm. Information provided by reports is especially important in today’s compliance environment, where it’s critical to be proactive instead of reactive. To make the most of RegEd’s Advertising Review reporting capabilities, follow these proven steps to improve your process. 1. Determine what's important to your firm Executives consider reporting vital to find answers to questions regarding their business. Start by asking questions at the top. When prototyping your reports, it’s important […]
Continue readingMore TagRegEd CEO & Founder to Speak at FSI Forum in Salt Lake City, Utah
John M. Schobel will speak as part of the event’s Executive Track, on the topic of innovation and automation in the financial services industry Financial services professionals will gather at the FSI Forum at the Grand America Hotel in Salt Lake City, Utah, on September 24-26 to discuss the foremost challenges facing advisors and executives in the industry. RegEd CEO & Founder John M. Schobel will speak at the event, on the topic of technology innovation and automation, and how technology will impact the industry in the future. The FSI Forum is an in-depth, issues-focused educational conference that includes both […]
Continue readingMore TagEfficiencies with Advertising Review’s Two-Way FINRA Integration
Firms filing their advertisements with FINRA know how time consuming and cumbersome the process can be. Not only does the firm need to review collateral based on internal processes, but they also need to organize and send firm-approved files to FINRA based on FINRA 2210. FINRA offers two ways to initiate the review process – either manually through their web portal, or by integrating with its Advertising Review Electronic Files (AREF) system. Since AREF was introduced with RegEd’s Advertising Review solution in 2010, firms had the ability to automate the sending process. As of the spring 2018 release, firms can […]
Continue readingMore TagThe Future of Customer Communications Compliance
We had a blast during the 2018 Advertising Review Client Advisory Board (CAB) meeting! A dozen of our clients and RegEd employees teamed up to review what’s coming down the pike for RegEd’s Advertising Review solution and the industry. During our nearly two-hour meeting, we discussed product features, played innovation games, and explored what the future of the industry could look like. See below for the top takeaways from this year’s session. Third-Party Integrations Over the past few years it has become more important than ever to have a fully holistic up- and down-stream review process. This includes connections with […]
Continue readingMore TagRegEd to Showcase Enterprise Platform Solution at 2018 FINRA Annual Conference
Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet obligations across compliance management, conflicts of interest, education, and licensing and registration processes RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation at the 2018 FINRA Annual Conference in Washington, DC, May 21-23, 2018. 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. The conference […]
Continue readingMore TagRegEd Hosts Seventh Annual-Client Conference in Fort Lauderdale FL
Sessions unite around empowering compliance and operations professionals to transform compliance from value protection to value creation by leveraging RegTech RegEd, the leading provider of compliance technology solutions to the financial services industry, hosted the annual RegEd Compliance Alliance (RCA) client conference in Fort Lauderdale, FL, April 16-18, 2018. RCA 2018 provided 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 theme of RCA 2018 was RegTech: Transforming Compliance from Value Protection to […]
Continue readingMore TagRegEd Announces Innovations in Branch Audit-Management Capabilities as Part of Enterprise Compliance-Platform
Increased automation, improved data management and simplified user experience streamline the end-to-end process of planning, conducting and resolving branch audits RegEd, the leading provider of Compliance Management, Licensing and Registration, and Education solutions to the financial services industry, has announced the rollout of an upgraded version of its industry-leading Enterprise Branch Audit Management. The release is the result of significant investment and ongoing technology innovation to enable greater levels of automation and improved data accuracy in firms’ branch audit and inspections programs. Branch Audit Management 4.0 incorporates more than three years of market input gained through continuous collaboration with more […]
Continue readingMore TagRegEd Hosts NAIC Market Regulation Update and Market Conduct Exam Best Practices Webinar for Compliance Legal and Risk Management Professionals in the Insurance Industry
RegEd, the leading provider of compliance and risk management technology to the insurance and financial services industries, presented the webinar, "NAIC Market Regulation Update and Market Conduct Exam Best Practices" on October 26, 2017. The session featured Randy A. Helder, Assistant Director of Market Regulation, National Association of Insurance Commissioners (NAIC), and RegEd regulatory and technology subject matter experts. Attendees included executives and senior managers from Compliance, Legal and Risk Management across the insurance industry. The webinar provided attendees with insight into select NAIC working groups, including the Market Conduct Examination Standards Working Group and the evolution of the Market […]
Continue readingMore TagRegEd Leading Provider of Compliance Technology Solutions to Participate in 2017 NSCP National Conference
RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce its participation in the 2017 National Society of Compliance Professionals (NSCP) National Conference in Washington, DC, on October 16-18, 2017. The NSCP National Conference offers more than 60 sessions, covering topics that are relevant to investment advisers, broker-dealers, private funds and investment companies. The conference agenda will focus on new regulatory developments, enforcement trends, regulatory examinations, compliance best practices and the practical implementation of compliance policies and procedures. “We’re in an increasingly complex regulatory climate with rigorous regulator expectations. As a result, we […]
Continue readingMore TagRegEd Features Solutions for Managing Regulatory Change Policies and Procedures Consumer Complaints and Branch Audits at NAFCU Regulatory Compliance Seminar 2017
RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers, banks and other financial services firms, is pleased to announce its participation in the NAFCU Annual Regulatory Compliance Seminar 2017, which was held in San Diego, CA, October 10-13, 2017. The NAFCU Regulatory Compliance Seminar brings together CEOs, CFOs, and compliance and operations professionals for a program that discusses industry hot topics, regulatory updates and proposed regulations. The conference program is tailored to provide an understanding of how to conquer the latest challenges in credit union compliance. This year’s program included sessions such as: New TRID Amendments, Current […]
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