SEC Continues to Update Rules for Investment Adviser Marketing

Investment adviser marketing has taken another step into the present now that the SEC has announced it is withdrawing or modifying over 200 staff letters and guidance statements related to the decades-old IA Advertising and Cash Solicitation Rules. Most of the no-action relief letters being withdrawn are related to issues that are now covered in the SEC’s modernized IA Marketing Rule. “It’s no wonder IAs have been so challenged under the old Advertising and Cash […]

Read MoreMore Tag

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 […]

Read MoreMore Tag

RegEd Expands Intelligent Capabilities for its Market-Leading Advertising Compliance Review Solution

RegEd’s Application of Advanced Technology Reduces Human Intervention in the Advertising Review Process by up to 70%.  RegEd has expanded the Submission Intelligence capabilities of its Enterprise Advertising Review solution, providing financial services firms and banks with best-in-class functionality to power their marketing, advertising and customer communications review processes.  Enterprise Advertising Review’s Lexicon Detection automatically flags problematic keywords and phrases using firm-customized business rules while Smart DisclosuresSM detects and confirms that submission items contain the […]

Read MoreMore Tag

RegEd Approved as Investment Adviser Representative Continuing Education (IAR CE) Provider

Compliance education leader will offer courses for North American Securities Administrators Association’s Investment Adviser Representative Continuing Education Model Rule RegEd has been approved to offer Investment Adviser Representative Continuing Education (IAR CE) courses for registered IARs subject to the North American Securities Administrators Association’s Investment Adviser Representative Continuing Education Model Rule. Content management vendor Prometric has approved RegEd as an IAR CE provider on behalf of NASAA. Designed to close a gap in CE needed […]

Read MoreMore Tag

RegEd to Participate in 2021 ARM Educational Conference

Thought leaders from RegEd will participate at the upcoming 2021 Association of Registration Management (ARM) Educational Conference, which will be held both in Sarasota, Fla., and virtually, from Oct. 11-13. RegEd is also a sponsor of the annual event. Attendees of the 2021 ARM Educational Conference, both in-person and virtual, will learn about and discuss issues and developments surrounding the registration and licensing functions for the securities and insurance industries. Attendees will benefit from in-depth […]

Read MoreMore Tag

RegEd to Participate in 2021 AICP Annual Conference

Thought leaders from RegEd will participate at the upcoming 2021 Association of Insurance Compliance Professionals (AICP) Conference, which will be held in San Diego on Oct. 3-6. RegEd is also a Bronze Level sponsor of the annual event. Conference attendees, both in-person and virtual, 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 […]

Read MoreMore Tag

RegEd to Exhibit at 2021 InsureTech Connect Conference

As the leading provider of regulatory technology solutions to the financial services industry, RegEd will exhibit its market-leading enterprise compliance platform at the 2021 InsureTech Connect Conference in Las Vegas. ITC Vegas is among the world’s largest InsureTech events – offering access to a comprehensive and global gathering of tech entrepreneurs, investors, and insurance industry incumbents. From Oct. 4-6, the industry will convene to showcase new innovations, to learn how to increase productivity and reduce […]

Read MoreMore Tag

State-registered Investment Advisers Lack Protections for Financial Abuse of Elderly

Recently released results from a sweep exam show that state-registered investment advisers must do more to prevent and address financial abuse of elderly investors, regulators say. “The results of this multi-state coordinated initiative show that investment advisers must make improvements in recognizing and reporting cases of suspected abuse,” said Lisa A. Hopkins, NASAA President and West Virginia Senior Deputy Commissioner of Securities, in announcing its findings of deficiencies in policies to protect seniors and vulnerable […]

Read MoreMore Tag

NASAA Pushes for More Protection for Senior Investors

The North American Securities Administrators Association (NASAA) urges legislators to enact more laws and take more steps to increase protection for senior investors. NASAA reiterates its ongoing concerns about the potential financial exploitation of seniors and vulnerable adults while also recommending additional protections in a recently released legislative commentary on NASAA’s Senior Model Act. “Through this legislative commentary, we hope to encourage states to continue to adopt report and hold laws based on the Model […]

Read MoreMore Tag

RegEd Launches Real-time ‘Clear to Sell’ for Agents

RegEd CLEARXchangeSM enables real-time validation of contracting, licensure, education/training, appointment and registration for an instant “clear to sell.” RALEIGH, N.C., September 17, 2021 — Agents can place compliant business faster with the newly released RegEd CLEARXchange, the financial services industry’s most comprehensive Clear to SellSM solution for eliminating “not in good order” (NIGO) transactions and improving agent and adviser satisfaction. RegEd CLEARXchange offers a frictionless path to placing business and paying commissions compliantly by automatically […]

Read MoreMore Tag

Posts navigation

1 2 3 4 5 6 7 14 15 16
Scroll to top