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State of Employee Conduct Management and Policy Governance

JOIN US:

We’d like to invite senior compliance, risk and ethics officers at large banks and financial services firms to an upcoming roundtable to discuss best practices in employee conduct management and policy governance. These informative, free events will be hosted by internationally renowned GRC expert Michael Rasmussen.

Register for an event near you:

New York City | Thursday, September 19 | 3:00 PM – 6:00 PM EDT | Register Now

Charlotte, NC | Tuesday, October 8 | 3:00 PM – 6:00 PM EDT | Register Now

Leading the way for change: Creating a culture of compliance

Upholding ethical standards and creating a culture of compliance has never been more important for U.S. banks, yet there continues to be headlines about ethical missteps.

According to Deloitte, banking and financial services is the least trusted sector globally. Meanwhile, since the financial crisis, banks have paid hundreds of millions of dollars in conduct-related fines. Cultivating good conduct and culture is crucial to winning back trust, satisfying customers, creating a sustainable business and improving the bottom line. Instilling a strong compliance culture and sales practice as well as conduct risk oversight is critical to engendering consumer trust and avoiding financial and reputational consequences.   

So how can financial institutions make sure they avoid potential ethics and compliance pitfalls? Organizations need to leverage technology that embeds internal process governance and enables oversight by compliance and risk stakeholders to drive accountability. Let’s take a look at some specific areas of sales practice and conduct risk management that banks should consider:

Advertising & Marketing Review: When we look at marketing and advertising as it relates to compliance, everything a bank states in customer communications must be properly vetted – whether it is in print, digital, or a face-to-face communication between a banker and a customer. Major U.S. regulatory agencies have cited sales practices and conduct as key areas of examination focus. Even a misstated word by a contact center employee, such as not disclosing all the required information about the terms of a loan, can be a compliance violation. Every item of printed material about a deposit product must include all of the disclosures required by multiple regulating agencies.

Further, disparate subcultures within an organization can have different – or even competing – attitudes when it comes to marketing promotions. This is why advertising and marketing practices need to be systematized in order to ensure that sales and marketing campaigns are launched compliantly.

Approvals, Disclosures & Attestation Management: Everyone must be aware of their ethical obligations as they pertain to their individual role; some have higher levels of compliance accountability than others. Employees must receive the appropriate approvals for a wide range of specific conduct, such as instances where gifts and entertainment are involved; personal trading; outside business activities; as well as making sure that individuals in certain roles (such as those selling securities products) are making the needed disclosures as required by the bank’s code of conduct and regulatory requirements.  

Technology can play a key role in routing approvals for such actions by systematizing processes pertaining to employee accountability and oversight of that accountability.

Even the slightest detail falling through the cracks could spell significant consequences for the bank.  Institutionalizing the process of obtaining approvals by incorporating workflow technology to route requests for approval, in a defined sequence, to the proper stakeholders is critical.

Attestations should also be automatically captured, recorded and stored to serve as a “single source of truth” for all employee approval requests and self-reported conduct. These records should be easily accessible in order to be responsive to regulator requests and examinations.

Audit trails are also an important byproduct of technology. These enable the bank to provide documentation to regulators and other stakeholders, further demonstrating a strong commitment to an ethical and compliance-driven culture.

Compliance surveys:  Self-assessment plays a key role in managing conduct risk. All personnel must demonstrate that they are aware of and complying with the institution’s code of conduct. This can be done with the use of both role-specific and organization-wide compliance surveys. 

Manual data-gathering around such surveys can be inefficient and prone to gaps; but utilizing technology that automates data collection, as well as analysis and reporting, ensures that there is always a clear view – and audit trail –  of all disclosures and “read and understood” attestations. Further, compliance officers can use this data to identify potential areas of conduct risk and prioritize remediation.

Policies and Procedures Management. Since the regulatory landscape is always changing, bank policies and procedures are frequently updated to reflect those changes. But relying on a manual process for creating, approving, managing and distributing policy updates can be fraught with risk. Knowing every employee, their role, what policies they must follow, and what their responsibilities are, can be a difficult task. Take branch policies, for example; everyone from tellers, to mortgage specialists to managers and all others working in a branch must understand the policies that pertain to their specific role in the branch and abide by them.

Managing policies and procedures in a centralized manner will ensure a single, consistent, and current set of policies and procedures throughout the bank. And, distributing those policies and procedures on a role-specific basis, greatly increases the opportunity for adherence.  Compliance officers can also rest easy knowing attestations have been collected from every employee for every policy or policy manual that was received.

At RegEd, we have focused on developing bank-purposed enterprise compliance technology that addresses critical sales practices, conflicts of interest and other code of conduct requirements including marketing and advertising review, organization-wide compliance surveys, approval, disclosure and attestation management solutions and policies management tools.

Don’t forget to register

These are just a few pressing items that are dominating the compliance space. Interested in learning more about the latest trends, challenges and operational best practices? Don’t forget toregister for an upcoming roundtable and the opportunity to network with like-minded compliance professionals.

Register for an event near you:

New York City | Thursday, September 19 | 3:00 PM – 6:00 PM EDT | Register Now

Charlotte, NC | Tuesday, October 8 | 3:00 PM – 6:00 PM EDT | Register Now

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Celent Recognizes RegEd with 2019 XCelent Customer Base Award

Award identifies RegEd’s Xchange as the leading solution in the distribution management space.

RegEd, the leading provider of compliance technology to insurance companies, broker-dealers and banks, today announced that Celent, a leading research and consulting firm, has awarded RegEd the 2019 XCelent Customer Base Award for its market-leading Enterprise Licensing and Registration solution, Xchange. The findings were published in the Celent Distribution Management System Vendors – North America report.

The XCelent Awards aim to assist financial institutions and technology providers in staying well-informed on industry trends by providing in-depth research and evaluation of the vendor marketplace and recognizing providers who excel in a set of defined categories. Celent uses extensive criteria in their methodology for assigning awards, including comprehensive analysis of the technology, client interviews and user feedback. RegEd’s Xchange was recognized with the Customer Base award, which is given to the leading solution in the market based on the widest adoption among the industry’s largest firms.

Mike Fitzgerald, Senior Analyst at Celent, said, “In judging the Customer Base award, Celent looks at multiple factors, including the number of insurers using a solution, the distribution of implementations across the size of firms, and use in different lines of business.” Fitzgerald continued, “This evaluation methodology recognizes not only the count of installations, but also considers their breadth and complexity. Companies recognized with the award, such as RegEd, are successful in varied environments in numerous insurers.”

RegEd CEO & Founder John M. Schobel said, “We are honored to receive this award and to be recognized as the leader in our market. The client testimony in the report affirms our ongoing investment in the Xchange solution and our dedication to continuously increasing the value that we deliver to our clients.” Schobel continued, “We are grateful to Celent for illuminating key industry trends, challenges and opportunities in this report, which enables industry participants to make informed, evidence-based decisions when choosing technology that is so integral to their business.”

RegEd’s Xchange Enterprise Licensing and Registration solution enables firms to seamlessly execute the complex processing requirements associated with managing and tracking representatives’ licensing, registration and compliance and product education credentials. For more information, please visit www.reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

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RegEd to Sponsor ACLI Compliance & Legal Sections Annual Meeting

Attendees will also have the opportunity to learn how RegEd enables clients to proactively manage their compliance programs to improve efficiency and reduce risk.

RegEd, the leading provider of compliance technology to the financial services industry, will be a supporting partner sponsor at the upcoming ACLI Compliance & Legal Sections Annual Meeting 2019, held July 15-17 in Fort Lauderdale, FL. RegEd representatives will be onsite during the conference to speak with attendees about enterprise solutions for managing regulatory change, consumer complaints, and market conduct examinations:

Regulatory Change Management. Facilitates a workflow-enabled, closed loop process that provides insurers with everything they need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes.

Consumer Complaint Management. Systematically capture, track and manage the resolution of consumer complaints.

Market Conduct Exam Management. Enables firms to effectively prepare for and efficiently manage tasks related to market conduct exams, significantly reducing the time and resource commitment required during a market conduct exam.

For more information on RegEd or its sponsorship at the ACLI Compliance & Legal Sections Annual Meeting, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

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RegEd to Showcase Enterprise Compliance Solutions for the Banking Industry at the ABA Regulatory Compliance Conference 2019

Solutions for managing employee code of conduct, regulatory relations and exams, policies and procedures, audits and other core compliance processes will be showcased at the event

Raleigh, NC, May 24, 2019 – 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 2019. The event will be held June 9-12 in New Orleans, LA. 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 bank-purposed solutions that drive efficiency and support a culture of compliance.”

During the conference, RegEd representatives will highlight these and other integrated, for-purpose solutions for banks:

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

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

Employee Code of Conduct Management: Including Gifts and Gratuities, Outside Business Activities, and Personal Securities Accounts. 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 Relations and Exam Management: Streamline and automate the management of regulatory relations and 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 representatives will be on-site to meet with conference attendees to understand their compliance challenges and discuss solutions that enable banks to meet compliance requirements and proactively manage their compliance program.

The RegEd conference exhibit will be located at booth #212 in the conference’s main exhibitor hall at the Hyatt Regency New Orleans. For more information on RegEd or its attendance at the ABA Regulatory Compliance Conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

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RegEd to Host NAIC Market Regulation Webinar for Compliance, Legal and Risk Management Professionals in the Insurance Industry

Educational Webinar Delivers Insight on Current Market Regulation Initiatives

Raleigh, NC, May 23, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of compliance and risk management technology to the insurance and financial services industries will host a webinar “NAIC Update and Important Trends in Insurance Company Market Conduct” on May 30, 2019. The session will be led by Randy A. Helder, Assistant Director of Market Regulation, National Association of Insurance Commissioners (NAIC). Attendees will include executives and senior managers from Compliance, Legal and Risk Management across the insurance industry.

The webinar will provide attendees with insight into current NAIC Market Regulation initiatives. The evolution of the Market Regulation Handbook will be covered in detail, as well as the Market Regulation Certification. In addition, the webinar focused on the Market Conduct Annual Statement (MCAS) as a catalyst for market conduct examinations.

Merlinda Johnson, Director of Insurance Regulatory Compliance at RegEd, stated, “We are happy to host this webinar and continue our support of the NAIC. Attendees will benefit from Mr. Helder’s insight surrounding NAIC market regulation objectives and priorities.” Johnson continued, “It is vital that the insurance industry continuously engage with regulators and remain current on evolving market conduct and regulatory initiatives. By doing so, industry participants can better mitigate the risk of being subject to market conduct investigations and examinations.”

Registration for the webinar is open. Please visit here to RSVP for the event.

For more information regarding RegEd’s Enterprise Compliance Management Solutions for Insurance Companies, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

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RegEd to Participate in Annual NAIC/NIPR Insurance Summit 2019

RegEd will showcase enterprise solutions for contracting/onboarding, appointment processing and credentialing management at the event

Raleigh, NC, May 22, 2019 – RegEd, the leading provider of compliance and credentialing solutions to the financial services industry, will showcase enterprise licensing, appointment and registration solutions at the upcoming Insurance Summit 2019. The event, to be held June 3-7 in Kansas City, is presented jointly by the National Association of Insurance Commissioners (NAIC) and National Insurance Producer Registry (NIPR).

The Insurance Summit combines NAIC and NIPR resources in a premier conference for insurance professionals to explore the future of insurance regulation. The conference will feature more than substantive 100 sessions covering areas such as financial solvency, producer licensing, market conduct and more. During the conference, RegEd representatives will highlight the firm’s innovative enterprise solutions for contracting/onboarding, appointment processing and credentialing management, including:

Alerts 2.0: The industry’s only fully automated licensing data reconciliation and management solution.

Onboarding / Contracting Automation: Eliminates manual oversight of the onboarding / contracting process.

Credentialing Validation: Real-time validations with order entry / trading systems and regulatory and industry gateways.

Smart Appointments: Enables straight-through appointment processing based on the firm’s unique business rules.

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

The RegEd conference exhibit will be located at booth #6 in the conference’s Royal Exhibit Hall at the Kansas City Marriott Downtown. For more information on RegEd or its attendance at the Insurance Summit conference, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

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RegEd and IRI Announce Partnership to Deliver Training to Help Industry Professionals Comply With New York Regulation 187

The new course will inform producers of their obligations under the regulation to act in the best interest of clients when recommending annuities or life insurance transactions

Raleigh, NC, May 13, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of Compliance Education and Product Training solutions for the financial services industry, has announced a partnership with the Insured Retirement Institute (IRI) to deliver a course to help meet New York Regulation 187 requirements.

The course, NY Reg 187: Suitability and Best Interest of Clients in Life Insurance and Annuity Transactions, informs producers of their obligations under New York Regulation 187 to act in the best interest of clients when recommending annuities or life insurance transactions. It discusses the process of determining suitability, the problem of conflict of interest, and disclosure to the client of the pros and cons underpinning a recommendation. The course discusses special rules related to replacement transactions and when a senior client is at risk due either to diminished capacity or financial exploitation.

“Producers must be equipped to comply with the new requirements of New York Regulation 187, and effective training in this area is critical to ensuring that the best interests of clients are being served,” commented Brandi Brown, Senior Vice President, Regulatory Affairs at RegEd. “We’re pleased to partner with IRI on this initiative to produce and deliver the course that will be the industry standard in meeting this requirement.”

RegEd delivers more than 1,250,000 CE courses and insurance certificates annually, as part of its Industry Training Platform. Firms rely on RegEd’s regulatory, compliance and education experts for their deep domain expertise and ability to consistently generate timely educational content that enables organizations to effectively adapt to changing requirements.

The course is now available on RegEd’s Industry Training Platform and targets these learning outcomes:

  • Discuss the fiduciary duties of care and loyalty and how these are related to your determination that a proposed sales transaction is suitable for your client;
  • List the situations in which Regulation 187 is applicable to recommendations of life insurance or annuity transactions;
  • Describe the types of client information you are required to collect in order to make a proper recommendation;
  • Explain what is required for a recommendation to be in the best interest of a client and how the analysis applies to both annuities and life insurance;
  • Discuss the special rules that apply to term life insurance and to in-force transaction for which new sales commissions are not paid;
  • Explain the special rules that apply to transactions in which an existing policy or contract is replaced by a new policy or contract;
  • Describe your obligations to protect senior clients in cases of diminished capacity or financial exploitation; and
  • Discuss insurer obligations both to verify that your recommendations are in your clients’ best interest and generally to supervise your adherence to the requirements of Rule 187.

RegEd representatives will be onsite at the IRI ACTION19 conference in Washington, DC, May 15-17. RegEd solution and subject matter experts will demo the new course on Friday, May 17th from 8:00 AM – 8:30 AM in the Continental Room at the Capital Hilton Hotel.

For more information on this new course or the RegEd Industry Training Platform, contact sales@reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

About IRI

The Insured Retirement Institute (IRI) is the leading association for the entire supply chain of insured retirement strategies, including life insurers, asset managers, and distributors such as broker-dealers, banks and marketing organizations. IRI members account for more than 95 percent of annuity assets in the U.S., include the top 10 distributors of annuities ranked by assets under management, and are represented by financial professionals serving millions of Americans. IRI champions retirement security for all through leadership in advocacy, awareness, research, and the advancement of digital solutions within a collaborative industry community.

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FINRA Annual Conference

RegEd to Showcase Enterprise Platform Solution at 2019 FINRA Annual Conference

Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet compliance and registration obligations while presenting a unified enterprise view of requirements.

Raleigh, NC, May 10, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation at the 2019 FINRA Annual Conference in Washington, DC, May 15-17, 2019.

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 will offer a variety of sessions related to current trends in technology, cybersecurity, risk management and much more.

During the conference RegEd will showcase its comprehensive platform capabilities and enterprise solutions, and discuss how it delivers the highest levels of efficiency, effectiveness and transparency across the enterprise, enabling firms to:

  • Consolidate vendors and applications to reduce complexity and overall cost of ownership.
  • Simplify the end-user experience to drive improved rep and user satisfaction.
  • Install enterprise-level reporting and dashboards for risk analysis to proactively identify negative trends, mitigate risk and demonstrate compliance.
  • Automate data entry, aggregation and reuse to reduce manual processes and human error.

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 #13 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 is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

Madelyn Matthews
919-653-5202
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RegEd Hosts Eighth Annual Client Conference in Fort Lauderdale, FL

Sessions united around best practices to tackle pressing challenges in today’s demanding business and regulatory environment

Raleigh, NC, April 15, 2019 – RegEd, the leading provider of compliance technology solutions to the financial services industry, hosted its eighth annual RegEd Compliance Alliance (RCA) Client Conference in Fort Lauderdale, FL on April 8th – 10th, 2019.

The 2019 RegEd Compliance Alliance provided CCOs, Compliance professionals, Licensing and Registration and other operations professionals, with the unique opportunity to build critical knowledge on industry hot topics, engage with regulators on the latest updates and trends, and discuss compliance developments with peers and RegEd subject matter experts.

The conference program included substantive sessions, panel discussion and expert presentations surrounding the industry’s evolving regulatory and compliance concerns. The program addressed topics such as data analytics and AI in the future of compliance, technology as a catalyst for cultural change, cybersecurity, and the state of regulation and managing regulatory change. Sessions provided attendees with the forums, best practices and tools needed to take on everyday challenges and the evolving requirements of compliance in the industry.

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

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

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RegEd to Participate in SIFMA C&L Annual Seminar 2019

Annual Seminar is the premier event for compliance and legal professionals in the financial services industry

Raleigh, NC, March 18, 2019 – RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Annual Seminar in Phoenix, AZ, March 24-27, 2019.

The SIFMA Compliance & Legal Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. The three-day seminar provides a unique opportunity for industry leaders and regulators to gather, network and collaborate. Attendees will benefit from over 60 in-depth breakout sessions and noted keynote speakers, participants will be emerged in the latest industry developments and best practices.

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:

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

Gifts, Gratuities and Contributions Management: Expanded capabilities enable global enterprise gifts and entertainment tracking and management, including: automated contact management, threshold tracking, automated alerts, and more.

Enterprise Advertising Review: Enable a workflow-driven process to streamline advertising and customer communication submission, review, collaboration and approval, speeding time to market for review items.

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.

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 in the conference’s main exhibitor hall at the JW Marriott Phoenix Desert Ridge. For more information on RegEd or its attendance at the SIFMA C&L Annual Seminar, please call 800-334-8322 or email sales@reged.com.

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.

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