Director, Regulatory Compliance BD/IA
Wisconsin Department of Financial Institutions – Division of Securities
Director, CRED Continuing Education Services
Principal Product Manager – Education
Securities Education Update
This webinar features an update on the current training and continuing education landscape impacting the training programs of broker-dealers and investment adviser firms.
Hear from RegEd Regulatory Affairs, as well as regulators and industry subject matter experts, as they discuss an important range of topics including new Investment Adviser Representative CE requirements and Firm Element training. This webinar also provides an overview of RegEd’s industry-leading IAR CE solution.
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.