SVP, Regulatory Affairs
Manager, Registration, Disclosure & Qualifications
Director, CRED Continuing Education Services
New Developments Related to Mandated Industry Training
Listen to an update on the current training and continuing education landscape impacting the training programs of insurers, broker-dealers and investment advisers. Iowa Insurance Commissioner, Doug Ommen provides an update on the NAIC Suitability in Annuity Transactions Model Regulation (#275) and its FAQ; Natasha Hurt, NASAA’s Manager of Registration, Disclosure & Qualification, provides an update on the NASAA Model Rule on Investment Adviser Representative Continuing Education; and FINRA CRED Director, Patricia Monterosso provides an update on FINRA’s Continuing Education Programs.
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.