RegEd, a leading provider of compliance and regulatory solutions for the financial services industry, is pleased to announce that Kaitlyn Small, Manager of Regulatory Compliance at RegEd, has been appointed as the new Chair of the SILA Adjuster Licensing Subgroup (SALS) steering committee. The SILA Adjuster Licensing Subgroup (SALS) serves as the premier platform for adjuster licensing education and awareness. With a steadfast commitment to offering comprehensive and accurate information, SALS caters to both Company and Independent adjusters, covering all facets of the Adjuster Licensing domain. Kaitlyn Small has been a member of the SALS steering committee since 2019, demonstrating […]
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RegEd Launches Producer Management and Licensing Automation Technology Bundle for Midsized Insurers and Distributors
Tailored Offering From the Industry Leader Enables High Efficiency for Licensing Teams and a Frictionless User Experience for Producers and Admins, Enabling Scale for Growth. RegEd, the leading provider of producer management solutions for the insurance and financial services industry, has announced the launch of a technology bundle specifically calibrated for small and midsized insurers and distributors seeking to scale their producer support function along with a growing business. This comprehensive solution, powered by the industry-leading Enterprise Xchange, will meet the unique needs of growing firms, who benefit from an all-in-one approach to producer management technology delivered by a single […]
Continue readingMore TagFINRA’s Targeted Exam Reveals Violations in Crypto Communications: What You Need to Know
FINRA recently released the results of its November 2022 targeted exam to review the practices of its member firms that actively communicate with retail customers concerning crypto assets and crypto asset-related services. As part of this targeted exam, FINRA reviewed over 500 such communications and identified potential substantive violations of FINRA Rule 2210 in approximately 70 percent of the communications. FINRA Rule 2210 requires that communications be fair and balanced and provide a sound basis for evaluating the facts regarding any product or service discussed. The Rule also prohibits claims that are false, exaggerated, promissory, unwarranted, or misleading, and prohibits […]
Continue readingMore TagRegEd Launches ‘Compliance Control Center’ Technology Bundle to Deliver Best-In-Class Oversight for Midsized Broker-Dealers
New Offering From the Industry Leader Brings Together Compliance Management Capabilities Trusted by the Industry’s Largest Broker-Dealers and Delivers Them to SMBs and Growing Firms RegEd, a leading provider of compliance solutions for the financial services industry, has announced the launch of its Compliance Control CenterSM technology bundle. This comprehensive solution will meet the unique needs of SMBs and growing firms, who benefit from an all-in-one approach to compliance technology delivered by a single trusted partner. RegEd draws on its extensive experience serving the leading firms in the industry to bring together advanced compliance tools previously available only to the […]
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