Year: 2019

Workshop featured internationally recognized pundit on governance, risk management, and compliance. RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, hosted a Policy Management by Design workshop in Chicago, IL, on October 30, 2019. Workshop attendees explored how defining the right process, information and technology architecture for policy management can create a structured approach to how the organization operates. Attendees were equipped to define a process lifecycle for managing policies, establish policy ownership and accountability, track policy attestation, and map policies to objectives, risks, controls, issues, and other GRC areas. The full […]

Award acknowledges a passion for insurance and/or securities related education topics. RegEd, the leading provider of compliance technology solutions to the financial services industry, participated in the 2019 SILA National Education Conference in San Diego, CA on Sept. 15-18, 2019. During the conference Brandi Brown, RegEd Senior Vice President of Regulatory Affairs, was awarded the 2019 Bruce Saenger Education Award, which is presented to an individual who demonstrates a passion for insurance and/or securities related education topics including pre-licensing/pre-registration, continuing education, and professional development. Brandi Brown, RegEd Senior Vice President of Regulatory Affairs, stated, “I want to offer sincere appreciation […]

Client Advisory Board will provide important forum for RegEd’s enterprise Advertising Review solution product roadmap and future innovation. RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, including the industry-leading Advertising Review solution, announced its participation in the 2019 FINRA Advertising Regulation Conference in Washington, DC, on October 24-25, 2019. FINRA’s Advertising Regulation Conference provides a forum to learn about practical changes and new developments involving communications rules, and the opportunity to gain guidance on the advertising standards from industry and FINRA experts. The comprehensive agenda is designed for new and experienced […]

Enterprise solutions for managing compliance obligations associated with conflicts of interest, advertising review, branch audits, and licensing and registration will be showcased at the event. RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce its participation in the 2019 National Society of Compliance Professionals (NSCP) National Conference in Baltimore, MD, on October 21-23, 2019. The NSCP National Conference offers more than 80 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 securities […]

The event will bring together senior insurance compliance professionals, regulators and industry thought leaders to discuss key issues facing the industry. RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation in the Association of Insurance Compliance Professionals’ (AICP) Annual Conference 2019 in Denver, CO, Sept. 22-25, 2019. The 32nd AICP Annual Conference will host hundreds insurance compliance professionals from Property and Casualty and Life and Health companies. The program will offer regulator roundtables and more than 70 educational sessions including the evolving regulatory environment, fiduciary standards, […]

RegEd subject matter experts will contribute to multiple conference sessions and will be considered for awards in recognition of leadership and service to the Industry. RegEd, the leading provider of compliance technology solutions to the financial services industry, including Xchange, the market-leading Enterprise Licensing and Registration solution, will participate in the 2019 SILA National Education Conference in San Diego, CA on Sept. 15-18, 2019. The conference will provide more than 40 substantive sessions and an educational forum for attendees to address current industry challenges, discuss licensing and registration best practices, and build their overall compliance knowledge. A number of RegEd […]

Attendees will 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, is pleased to announce its participation at the 2019 CEFLI Annual Conference & Compliance Leadership Forum, held September 11-13 in Nashville, TN. 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 […]