Leading 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, […]

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SEC Cybersecurity Policy: New Rules for Investment Advisers Possible

The next evolution in SEC cybersecurity policy could come Wednesday when commissioners consider whether to propose new rules for registered investment advisers and investment companies. Commissioners will consider staff recommendations for addressing cybersecurity risk management for investment advisers and investment companies as one of the agenda items for their Feb. 9 meeting. The commission will also consider related amendments to certain rules regarding adviser and fund disclosures under the Investment Advisers Act of 1940 and […]

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RegEd Achieves Record Growth in 2021 Fueled by Product Innovation and New Enterprise Customer Acquisition

Industry’s leading provider of compliance, licensing, and credentialing automation, delivers record bookings and double-digit increase in revenue; Gears up for the future with further investment in advanced technologies. RegEd, the leading provider of RegTech solutions to broker-dealers, insurance companies, insurance brokers, and banks, today announced results from the most successful year in the company’s history. RegEd achieved record growth in 2021, highlighted by a 42% year-over-year increase in organic new annual recurring revenue (ARR) bookings […]

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RegEd Subject-Matter Experts to Share Regulatory Updates and Industry Insights at SILA Chapter Event

RegEd Representatives will Present at a Meeting of the Buckeye Chapter of the Securities & Insurance Licensing Association Raleigh, N.C., Jan. 25, 2022 —  RegEd will provide Securities & Insurance Licensing Association members with insights into the latest regulatory changes and trends, as well as opportunities, challenges and best practices impacting licensing and registration professionals in the financial services industry. At Wednesday’s SILA Buckeye Chapter meeting, Brandi Brown, senior vice president of regulatory affairs for […]

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FINRA CEO to SIFMA Audience: Protecting Investors and Addressing Workplace Evolution are Priorities for 2022

Investor protection remains atop FINRA’s priorities for 2022. “There will be a theme around retail-investor protection,” CEO Robert Cook said, during a recent webinar hosted by SIFMA. And FINRA will proceed with some existing initiatives as well as launch new efforts in 2022, he told SIFMA President & CEO Kenneth Bentsen, Jr., in a virtual Q&A session. FINRA will also revisit rules and regulations in light of changes brought about by the COVID-19 pandemic and […]

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FINRA Weighs Lasting Impact of Remote Work

FINRA is preparing for a “new normal” in which firms will work remotely even after the pandemic passes. For example, FINRA is considering changing how it defines “branch office” and “office of supervisory jurisdiction” for supervision and inspection purposes based on industry feedback. “Many” commenters that responded to a request for feedback on lessons learned during the COVID-19 pandemic urged the regulator to revisit the definitions under FINRA Rule 3110 because firms have shifted to […]

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FINRA Extends Remote Branch Inspections Until End of 2022

FINRA has proposed to extend temporary relief allowing firms to conduct their 2022 branch inspections remotely through year-end. If approved by the SEC, the extension of FINRA Rule 3110.17 would extend COVID-related branch office inspection relief that is now scheduled to end on June 30. “The proposed additional six-month extension would provide further clarity to firms on regulatory requirements and account for the time needed for many firms to carefully assess when and how to […]

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FAQs for IAR CE: What to Know About NASAA’s Investment Adviser Representative Continuing Education Model Rule

Three states have implemented investment adviser representative continuing education (IAR CE) requirements with a compliance date of Jan. 1, 2022. Investment adviser representatives now have until Dec. 31 to meet IAR CE requirements if they conduct advisory business in a state that has adopted the North American Securities Administrators Association (NASAA)’s Investment Adviser Representative Continuing Education Model Rule. As an approved IAR CE provider, RegEd answers some of the most common questions that IARs and firms […]

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SEC Examiners: Advisers Should Review Policies and Procedures for Calculating Advisory Fees

SEC examiners have recommended that investment advisers “review routinely, refine, and improve, as appropriate, their fee billing policies, procedures, and practices and address new risks as they are identified” to ensure that they are calculating advisory fees correctly. They also should review their disclosures to confirm that clients are aware of all fees and expenses and related material conflicts of interest, examiners have suggested. Examiners made the recommendations after identifying deficiencies related to the advisory […]

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SEC Urges Stricter Robo-Adviser Compliance

The SEC has suggested that investment advisers improve robo-adviser compliance by tightening policies and procedures for automated digital investment advisory services. The regulator gave deficiency letters to “nearly all” of the advisers whose robo-advisory services it recently examined, according to a new SEC risk alert regarding electronic investment advice. “The examinations conducted within the scope of this review resulted in a range of actions,” the SEC stated in the risk alert. “In response to the […]

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