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RegEd Announces Regulatory Exam Management Capabilities for CODE Enterprise Platform

RegEd, a leading provider of compliance technology solutions for the financial services industry, has announced the expansion of the Comply On Demand Enterprise (CODE®) platform to address the multitude of requirements associated with undergoing regulatory exams. Regulatory Exam Management leverages CODE’s enterprise workflow, task management, document management and reporting capabilities to enable firms to drive efficiency throughout the end-to-end exam process. “Undergoing regulatory examinations can be costly and time-consuming for financial services firms. With the pace of regulatory change accelerating, the increasing frequency and broadening scope of exams represent significant risk and a drain on resources for firms that fail […]

RegEd to Feature Solutions that Address Critical Compliance Challenges for the Banking Industry at ABA Regulatory Compliance Conference 2016

RegEd, the leading provider of compliance technology to the financial services industry, will highlight a set of enterprise compliance solutions at the upcoming ABA Regulatory Compliance Conference 2016, held June 12-15 in San Diego, CA. The featured solutions enable banks to efficiently address critical compliance challenges, including several key areas of regulator focus. “RegEd has a long and proven track record as an enterprise technology provider to leading broker-dealers, investment advisors and insurance companies,” commented John Schobel, RegEd Chief Executive Officer. “We’re now focused on helping banks meet compliance challenges in many of the same areas that have enabled us […]

RegEd Revolutionizes Producer and Adjuster Licensing Maintenance with Fully Automated Credentialing Data Management Solution

RegEd, the leading provider of Licensing and Registration technology solutions to the financial services industry, today announced that it has launched Alerts 2.0, a module of its Xchange Enterprise Licensing and Registration solution. Alerts 2.0, through integration with the NIPR Producer Database (“PDB”), will significantly expand the range of data for which firms can receive automated change notifications and systematized, timely reconciliation of changes with the firm’s back-end database. “Maintaining accurate, up-to-date individual and agency information can quickly become overwhelming for insurers and distributors. With the sheer volume of daily updates, it’s impossible to maintain current records across the firm’s […]

RegEd to Showcase Innovations in Insurance Licensing Appointment and Onboarding Technology at NIPR Insurance Summit 2016

RegEd, the leading provider of compliance and credentialing solutions to the financial services industry, will highlight recent additions to its licensing, appointment and registration solutions portfolio at the upcoming Insurance Summit 2016. The event, to be held May 16-20 in Kansas City, is presented jointly by the NAIC and NIPR. “Events like the Insurance Summit give us the opportunity to engage with our customers and the industry, to understand and anticipate changes to their business needs,” commented Stephanie Buchanan, Chief Client Officer, RegEd. “That interaction is invaluable to the ongoing innovation that’s required to ensure that our solutions continue to […]

Regulators and Industry Experts Address Key Trends and Challenges at Fifth Annual RegEd Compliance Alliance Conference

Financial services compliance, licensing and registration, and operations professionals assembled at the fifth annual RegEd Compliance Alliance (RCA) conference to share best practices, build critical knowledge across a range of topics, and engage with regulators and industry experts. The event was held April 18-20 in Charleston, SC and was attended by more than 150 representatives from financial services firms, regulatory agencies, consultancies, and law firms. The conference focused on issues and topics of critical concern for the attendees, including: The DOL Fiduciary Rule and its potential impact on the industry: The recently issued rulemaking expands the definition of “fiduciary” to […]

RegEd Completes 3 Million Submissions on Compliance Questionnaires Solution

RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, today announced that its Compliance Questionnaires solution has achieved the milestone of processing 3 million submissions, enabling its broker-dealer clients to efficiently manage their compliance programs. Today, Compliance Questionnaires is used by more than 400 enterprise clients, including 80% of the top 25 broker-dealers. RegEd’s Compliance Questionnaires is an enterprise application and part of RegEd’s Compliance and Audit Management platform. As a core module addressing FINRA compliance regulation, Compliance Questionnaires leverages the platform’s robust workflow engine, enabling firms to design complex workflows that […]

Leading GRC Analyst Evaluates RegEd’s CODE Enterprise Platform for Regulatory Change Management and other Core Compliance Functions

RegEd, a leading provider of compliance technology to the financial services industry, has published an Analyst Report from GRC 20/20 Research, an independent analyst of governance, risk management, and compliance solutions (GRC). The report, authored by Michael Rasmussen, President of GRC 20/20, offers an objective evaluation of the CODE enterprise platform based on an extensive technical capabilities assessment and in-depth interviews with RegEd clients. The report describes CODE as delivering "an integrated and harmonized architecture to manage compliance in the context of today’s demanding requirements," and commends RegEd’s subject matter expertise as indicative of an “intimate understanding of regulatory change, […]

RegEd to Showcase Solutions That Enable a Culture of Compliance at the 2016 NSCP National Conference

RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce its participation in the 2016 National Society of Compliance Professionals (NSCP) National Conference in Washington, DC, on October 16-19, 2016. The NSCP National Conference offers more than 70 sessions, covering topics that are relevant to investment advisers, broker-dealers, private funds and investment companies. The conference agenda will focus on new regulatory developments, enforcement trends, regulatory examinations, compliance best practices and the practical implementation of compliance policies and procedures. There will also be a significant focus on the recent DOL fiduciary rule and its […]

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