Moderator

Panelists

John M. Schobel
Founder & CEO
RegEd

Amy Webber
President & CEO
Cambridge Investment Research

Dave Kloster
President
Thrivent Investment Management

Broker-Dealer Presidents Roundtable

Overview

Senior business leaders from top broker-dealers discuss some of the challenges and opportunities facing the industry in the context of these changing times.

Topics discussed include regulation, operating models, distribution and sales processes, data and digitization, product changes, and service model enhancements.

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.

 

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