Webinar: Year-End Compliance Considerations for Broker-dealers and Investment Advisers
As we approach the end of 2024, ensure your year-end compliance checklist is complete. Watch this informative webinar where RegEd product and subject matter experts, along with experts from Essential Edge Consulting, guide you through recommended compliance updates and best practices for the end of this year and beyond.
Whitepaper: 2024 The State of Regulatory Change in Insurance and Financial Services Whitepaper
Managing regulatory changes is a critical challenge for insurance companies as they sift through thousands of changes per year to identify those that impact their business. Companies must then determine how to respond, ensure that they have effectively implemented required changes, and ultimately demonstrate compliance.
Though keeping up with regulations has always been difficult due to the lack of uniformity in rules among states, managing changes has become even more challenging in recent years. In surveying compliance leaders at large insurance companies, RegEd found that respondents worry about the strain their teams must bear because of the accelerating pace and increasing complexity of regulation.
Article: Reasons to Consider a Retail Education Solution
There are several reasons why a firm might prefer a retail continuing education offering over a larger enterprise solution. Each option has its own set of advantages and disadvantages, and the decision depends on the specific needs and circumstances of the firm. In this article, we explore some reasons a firm might opt for a retail continuing education offering.
Whitepaper: Midsized Broker-Dealer Compliance Trends
RegEd conducted a survey to shed light on the compliance landscape among midsized broker-dealers within the U.S. financial services industry. In this white paper, we provide valuable insights into current trends and practices, serving as a benchmark for the industry and providing firms a resource to use in refining their own compliance strategies.
Webinar: How AI Can Revolutionize Advertising Compliance and Accelerate Market Readiness
Recorded live at the 2024 RegEd Engage Annual Conference, the session delves into how AI is unlocking unprecedented efficiencies in the advertising compliance review process, significantly expediting campaign launches. This session covers the real-world applications of AI and cutting-edge technologies within the advertising review workflow, offering insights into how these innovations streamline operations, enhance accuracy, and accelerate the path to market for advertising campaigns.
Webinar: Winning the Battle for Talent: Best Practices to
Attract and Retain Top Producers
Recorded live at the 2024 RegEd Engage Annual Conference, this engaging session commences with an overview of the prevailing challenges confronting insurers and broker-dealers in the realms of agent and representative retention, talent acquisition, and acceleration of market readiness. Attendees gain valuable insights into the complexities of maintaining a competitive edge in today’s dynamic marketplace. Following the initial overview, we transition to a dynamic panel discussion featuring client and industry leaders who share proven strategies and best practices, followed by a Q&A session. This interactive segment aims to equip firms with actionable solutions to secure and nurture top talent, ensuring sustained business growth.
Webinar: 2024 FINRA, SEC and State Securities Enforcement Trends
Recorded live at the 2024 RegEd Engage Annual Conference, this panel of compliance and legal experts discuss FINRA, SEC and state regulators’ enforcement priorities and methodologies, and examine lessons from recent cases and examination sweeps that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding. The panel also discusses proposed rulemaking by the various regulators and its impact on the future enforcement landscape.
Webinar: Marketing Compliance in the Financial Services Industry
Among the greatest challenges faced by banks, broker-dealers, insurance companies and other financial services firms is to rigorously review sales and marketing materials for compliance with firm and regulatory requirements, and do so in an efficient process that supports sales and marketing initiatives in a timely manner. This webinar features Neil Katkov, PhD, Director of Risk at Celent, and RegEd Product Management leaders who provide an overview of the different challenges faced by the financial services industry in regards to marketing and advertising compliance. The webinar also details some of the factors to consider when deciding on advanced technology to manage your advertising and marketing compliance process.
Whitepaper: The State of Branch Office Inspections
To gain insight into the current state of branch examination programs among mid-sized and large U.S. broker-dealers, RegEd partnered with Essential Edge, a trusted compliance consulting and outsourcing firm, to undertake a comprehensive survey. Respondents for this study were Compliance and Audit leaders within the broker-dealer firms, representing a diverse cross-section of the industry.
Blog Post: Top 5 Strategic Priorities for P&C Insurance Executives in 2024
As the P&C insurance industry braces for these multifaceted challenges and opportunities in 2024, it becomes imperative for executives to focus on specific strategic areas. The industry’s ability to evolve, adapt, and innovate in response to these pressures will be crucial for success. With this backdrop, let’s delve into the top five strategic priorities that P&C insurance executives need to focus on to navigate through these turbulent times and steer their organizations towards resilience and sustainable growth.
Video: Xchange Producer Management – How IT Can Empower Business Operations Through Advanced Automation and Integration in the Insurance Tech Ecosystem
Recorded live at the 2023 InsureTech Connect conference, Jacob Spitzley, RegEd’s Director of Xchange Product Management, presented RegEd’s next-generation Xchange Producer Management solution, which was developed with input from some of the nation’s largest insurance companies. The demo showcased how Xchange Producer Management significantly reduces the time to contract and appoint producers while providing a streamlined user experience. Additionally, Jacob demonstrated how IT can empower business operations through advanced automation and integration to the insurance tech ecosystem.
Blog Post: SEC Approves Both the Remote Pilot Program and the Residential Supervisory Location Proposals
The Securities and Exchange Commission (SEC) recently approved two key Financial Industry Regulatory Authority (FINRA) proposals – the Remote Inspection Pilot Program and the Residential Supervisory Location. These adoptions signal an acceptance for hybrid workforce models. This blog post delves deeper into the nuances and implications of these decisions.
Webinar: Top 5 Reasons Not to Build Producer Data Reconciliation Internally – How the NIPR CSR Report Retirement Presents Opportunity for New Efficiencies
As of June, 2024 NIPR will no longer offer Company Specialized Reports (CSR), which many firms rely on to maintain licensing and other producer credentialing data. Since the announcement RegEd has been in discussions with industry firms seeking an alternative method for maintaining producer data.
This webinar features two distinguished experts who have spent years navigating the intricacies of producer data management. They provide valuable insights, highlighting the reasons why building your own producer data management process may not be the best course of action. Through a comprehensive analysis of industry trends and real-world scenarios, our experts will guide you through the critical factors to consider when deciding between building an internal solution or opting for a commercial one.
Blog Post: Top Takeaways from the 2024 SEC Exam Priorities Report
The U.S. Securities and Exchange Commission (SEC) has unveiled its 2024 Examination Priorities Report, shedding light on its focal areas and priorities for the year. This report underscores the SEC’s unwavering commitment to adapting to the ever-evolving financial markets and regulatory challenges, all in the interest of safeguarding investors and ensuring the integrity of the securities industry. In this blog post, we will delve into key takeaways from the 2024 SEC Exam Priorities Report, with a specific focus on two distinct sectors: investment advisers and broker-dealers.
Webinar: Open Forum Discussion with NASAA
Do you have questions regarding NASAA’s Investment Adviser Representative Continuing Education (IAR CE) program? Did you know that IARs who fail to satisfy the IAR CE requirement for two consecutive reporting periods may fail to renew? This open forum discussion was hosted with NASAA’s Natasha Hurt, Senior Manager of Regulatory Services, where she answered attendees questions surrounding IAR CE. Industry, regulators and IAR CE providers were all welcome to join this discussion.
Webinar: Effectively Managing Regulatory Change in an Evolving Regulatory Landscape
Financial services firms are subject to potentially thousands of regulatory changes each year across FINRA, SEC, State Insurance Departments and other regulatory agencies. The ability to efficiently manage the regulatory change process is the backbone of a strong compliance program. RegEd Regulatory Affairs directors frame the current landscape, and a RegEd client relates how their firm transformed their regulatory change management function to meet the challenges of a demanding regulatory environment.
Webinar: Ensuring a Seamless Transition for Producer Data Management – How to Make the Business Case for a Commercial Producer Data Reconciliation Solution
This session features two experts who examine all of the factors to consider associated with building your own producer data management process versus buying a commercial solution, so that firms can make an informed decision to ensure a seamless transition for your producer data management processes.
Blog Post: Insurance Regulatory Activity Increases in the Aftermath of Federal Emergency as Regulators Catch Up with Delayed Pandemic Changes
The insurance industry is experiencing an increase in regulatory activity this year, with states issuing a significant number of regulations, bulletins, and notices. This increase can be attributed in part to regulator communications concerning the wind-down of COVID-19 measures and the aftermath of the federal emergency. As regulators catch up with the changes that were delayed due to the pandemic, the insurance industry has seen an influx of new regulatory activity. In this blog post, we will explore some of the key factors driving this heightened regulatory environment and discuss notable developments in the insurance market.
Webinar: Women in Leadership
Recorded live at the 2023 RegEd Compliance Alliance conference, this panel discussion focuses on the career paths and experiences of women in leadership roles within the financial services industry. Panelists share their insights on how they reached their current positions and the challenges and opportunities they have faced along the way. The session also focuses on the importance of mentorship and role models for women in the field. Attendees had the opportunity to ask questions and engage with the panelists to further explore these topics and uncover actionable strategies for supporting the advancement of women in leadership.
Video: RegEd Xchange and Managed Insurance Licensing Services Executive Overview
This video provides an overview of RegEd’s Xchange and Managed Insurance Licensing Services solution. Using Xchange, RegEd’s Licensing and Registration Managed Services team can prepare the required filings and transactions, order supporting documents, validate producer data against current regulatory sources, and maintain evidence of filing.
Webinar: Removing Friction For Your Financial Professionals – Streamlined Onboarding Through Next-Gen Technology
Recorded live at the 2023 RegEd Compliance Alliance conference, this session features a panel of sales and distribution leaders to discuss the current state of agent and agency distribution. Topics include managing multi-channel distribution, maintaining producer loyalty, data management and digitization, product strategy, agent/agency onboarding and credentialing, field services and more. Panelists share both challenges and opportunities, as well as their thoughts on the future state of the industry.
White Paper: Trends in Branch Office Inspection Programs: Investigating the Inclusion of FINRA’s Proposed Remote Inspections Pilot Program Factors and Implications for Risk Assessment Strategies
This white paper investigates what factors broker-dealers currently include in their risk assessments; in particular, the factors outlined within the FINRA Remote Inspection Pilot Program proposal. To gather insights, we conducted a survey of firms as to whether they are considering participating in the pilot if the proposal is approved. We also gathered information on how they incorporate these and other factors into their overall risk assessment strategies.
This white paper will outline those results and explore the benefits and challenges of the proposed program, as well as offer recommendations for firms looking to implement or improve their remote branch inspections process.
Webinar: Adjuster Licensing in a Changing Landscape: Industry Trends and Regulatory Update
Hear from RegEd’s Regulatory Affairs and Xchange Product Management teams on what you need to know related to adjuster licensing in today’s dynamic regulatory and business environment.
Webinar: FINRA, SEC and State Securities Enforcement Trends
Recorded live at the 2023 RegEd Compliance Alliance conference, this panel of compliance and legal experts discuss FINRA, SEC and state regulators’ enforcement priorities and methodologies, and examine lessons from recent cases and examination sweeps that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding. The panel also discusses proposed rulemaking by the various regulators and its impact on the future enforcement landscape.
Article: The Future of Advertising Compliance Review – Harnessing AI and Advanced Tech to Drive Efficiency and Reduce Risk
The financial services industry has long been heavily regulated, with compliance departments working tirelessly to ensure that firms adhere to ever-evolving rules and regulations. One area of particular concern is the review of advertising materials, as these must be carefully scrutinized to ensure that they are compliant with regulatory guidelines. In recent years, advanced technologies such as artificial intelligence (AI) have emerged as powerful tools to streamline the compliance review process while minimizing risk.
In this blog post, we’ll explore how AI and other advanced technologies can help financial services firms revolutionize their compliance review efforts – in particular we’ll focus on Lexicon Detection and Smart Disclosure Management.
Article: Winning the Battle for Top Producers – Technology Strategies for Chief Distribution Officers in the Insurance Industry
The success of an insurance company often depends on the effectiveness of its distribution strategy, which hinges on attracting and maintaining the loyalty of high-performing agents. And in the insurance industry, the competition for top producers is fierce. Chief Distribution Officers (CDOs) must therefore prioritize technology strategies that can help drive new levels of agent satisfaction and efficiency.
In this blog post, we will discuss key considerations for CDOs when formulating a technology strategy for producer management, including the importance of a frictionless agent UX, speed to market, vendor selection, and harnessing the power of advanced analytics and data.
Webinar: NIPR Company Specialized Report Sunset – Ensuring a Seamless Transition for Producer Data Management
As of June, 2024 NIPR will no longer offer Company Specialized Reports (CSR), which many firms rely on to maintain licensing and other producer credentialing data. Since the announcement RegEd has been in discussions with industry firms seeking an alternative method for maintaining producer data. This session provides an overview of things to consider, best practices and recommendations to ensure a seamless transition for your producer data management processes.
Analyst Report: RegEd Regulatory Change Management – Enabling Closed-Loop Regulatory Compliance
In this Analyst Report, leading research firm GRC 20/20 researched, evaluated, and reviewed RegEd’s Regulatory Change Management solution. GRC 20/20 interviewed several clients that are using it in complex, distributed, and dynamic business environments, and found that the solution has helped organizations be efficient, effective, and agile in managing regulatory change, exams, policy management, and incidents.
Article: SEC-Compliant Electronic Storage and Designated Third-Party Services
Rules 17a-3, 17a-4, and 18a-6 of the Securities Exchange Act of 1934 and Rule 204-2 of the Investment Adviser’s Act of 1940, along with the rules and regulations of FINRA, the MSRB, and other regulatory bodies, prescribe certain books and records which broker/dealers and investment advisers must maintain, such as correspondence, complaints, and financial records. These rules also indicate how long certain records must be maintained, with these time-frames varying depending on the type of record.
RegEd is fully aware of the requirements for electronic storage of our client’s books and records as required by the rules of the SEC. By leveraging RegEd’s electronic recordkeeping capabilities, clients do not have to adopt and manage internal systems or work with providers and systems that may or may not be WORM, and which do not meet all of the other technical requirements.
Article: Compliance-Focused Best Practices Content
Financial services firms want their compliance processes to be in line with best practices of peer firms, meet their regulatory obligations and help reduce regulatory risk, while providing a superior user experience for their financial professionals and effective review process for their principals. However, the time needed to create comprehensive, regulatory-minded, user-friendly submission forms and other necessary content can be challenging due to competing compliance priorities.
RegEd offers a variety of turnkey, best practices compliance content that has been created by former compliance officers with decades of compliance experience which are in line with industry best practices and current regulatory obligations.
Article: Lessons from FINRA’s 2023 Examination and Risk Monitoring Program Report
The 2023 Report on FINRA’s Examination and Risk Monitoring Program gives firms insights into 24 topics covered by examiners. As it addresses each topic, FINRA identifies the relevant rule(s), highlights key considerations for firms’ compliance programs, summarizes noteworthy findings from recent examinations, outlines effective practices that FINRA observed during its oversight, and recommends additional resources that may help firms in reviewing their supervisory procedures and controls and fulfilling their compliance obligations.
RegEd has provided an analysis on four key focus areas that FINRA includes throughout its guidance and best practices for compliance across all sections of the Report – Training, Communications and Disclosures, Written Supervisory Procedures, Surveillance and Audits.
Webinar: Complying with the SEC Marketing Rule – Case Studies to Illustrate Potential Pitfalls and Tips to Achieve Effective Compliance
This session features an expert panel that provides insight into complying with the new SEC Marketing Rule. During the session, panelists present a series of case studies to illustrate the potential pitfalls and tips on achieving effective compliance with the rule.
White Paper: The State of Regulatory Change in Insurance and Financial Services
Managing regulatory changes is a critical challenge for insurance companies as they sift through thousands of changes per year to identify those that impact their business. Companies must then determine how to respond, ensure that they have effectively implemented required changes, and ultimately demonstrate compliance.
Though keeping up with regulations has always been difficult due to the lack of uniformity in rules among states, managing changes has become even more challenging in recent years. In surveying compliance leaders at large insurance companies, RegEd found that respondents worry about the strain their teams must bear because of the accelerating pace and increasing complexity of regulation.
Webinar: NIPR Update- A Conversation with CEO Karen Stakem Hornig
Karen Stakem Hornig, CEO of NIPR, discusses important updates related to current and planned NIPR licensing and registration initiatives. Karen also joins RegEd CEO & Founder, John M. Schobel, to discuss the state of the industry, operating in a remote work environment, and the future of producer licensing.
Article: Effective Expense Management is Crucial to Complying with Conflict-of-Interest Regulations
As regulators have intensified their scrutiny of non-cash compensation that broker-dealers or investment advisers receive from third-party vendors per Regulation Best Interest (Reg BI), the need for efficient and effective ways to track non-cash compensation continues to grow as regulators monitor for conflicts of interest.
Many firms still require their sales and compliance teams to enter business entertainment expenses into internal systems manually — and often more than once. A salesperson may enter an expense into an expense management system only to have to re-enter it into the compliance system, or a compliance professional may need to do the reentry — exposing a firm to the risk of non-compliance.
Visit our blog to read more about how integrating compliance and expense management systems reduces manual data entry and streamlines compliance processes for firms.
Article: Preparing for Compliance Technology Replacement
Budgeting for, and going through the selection process is just the first step along the journey toward improving the efficiency of your overall compliance program while minimizing the risk of non-compliance. At the point where you’ve decided to replace your compliance technology and have selected your provider or decided to build, it will be time for some important considerations.
Webinar: Distribution Leaders Panel
This session features a panel of sales and distribution leaders who will discuss the current state of agent and agency distribution.
Topics include managing multi-channel distribution, maintaining producer loyalty, data management and digitization, product strategy, agent/agency onboarding and credentialing, field services and more. Panelists share both challenges and opportunities, as well as their thoughts on the future state of the industry.
Webinar: Branch Inspections – Regulatory Developments and the Latest Best Practices
Widespread advancements in technology & communication have significantly changed the way firms conduct their business and administer branch oversight. As a result, regulators, including FINRA and the SEC, are making efforts to modernize their rules and adapt to the evolution of remote supervisory practices that have carried firms through the pandemic.
During this webinar we discuss recent FINRA proposals impacting broker-dealer branch inspection programs. We highlight the Residential Supervisory Locations proposal, Supplementary Material .19 as well as FINRA’s Remote Inspections Pilot Program proposal, Supplementary Material .18 under FINRA Supervision Rule 3110.
Industry panelists also review practical challenges and opportunities facing audit teams, as well as the latest best practices that have emerged as firms continue to navigate in a post-pandemic era.
Webinar: Effectively Managing Regulatory Change in an Evolving Regulatory Landscape
Financial services firms are subject to potentially thousands of regulatory changes each year across FINRA, SEC, State Insurance Departments and other regulatory agencies. The ability to efficiently manage the regulatory change process is the backbone of a strong compliance program. RegEd Regulatory Affairs directors frame the current landscape, and a RegEd client relates how their firm transformed their regulatory change management function to meet the challenges of a demanding regulatory environment.
Webinar: 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.
Webinar: FINRA, SEC and State Securities Enforcement Trends
FINRA, the SEC and state regulators have stepped up enforcement efforts in recent years, resulting in unprecedented sanctions. This panel of compliance and legal experts discuss these regulators’ enforcement priorities and methodologies, and examine lessons from recent cases and examination sweeps that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding. The panel also discusses proposed rulemaking by the various regulators and its impact on the future enforcement landscape.
Webinar: Broker-Dealer Presidents Roundtable: An Executive Perspective on Challenges and Opportunities Facing Broker-Dealers in Today’s Environment
Senior business leaders from top broker-dealers discuss some of the challenges and opportunities facing the industry in the context of these changing times. Topics discussed include regulation, operating models, distribution and sales processes, data and digitization, product changes, and service model enhancements.
Executive Brief: Transforming Adjuster Licensing to Reduce Market Conduct Risk and Speed Claims Processing
Leveraging Built-For-Purpose Technology and Adjuster-Licensing Expertise
In this Executive Brief, we discuss how firms that have been most successful in speeding adjuster licensing and avoiding infractions have been those that have leveraged built-for-purpose licensing and registration technology and have engaged managed services providers with adjuster-licensing expertise.
Article: Leveraging Technology to Address the New SEC Marketing Rule
Part Two: Monitoring Compliance with Policies and Procedures after Implementation
The focus of this two-part series is on some items that your firm should consider adding to its to-do list as part of its preparation for the SEC Marketing Rule and subsequent compliance processes, and the technology that can assist you. Part two of this two-part feature covers monitoring compliance with policies and procedures after implementation.
Article: Leveraging Technology to Address the New SEC Marketing Rule
Part One: Creation, Communication, and Acknowledgement of Policies and Procedures
The focus of this two-part series is on some items that your firm should consider adding to its to-do list as part of its preparation for the SEC Marketing Rule and subsequent compliance processes, and the technology that can assist you. Part one of this two-part feature covers creation, communication, and acknowledgement of policies and procedures.
Webinar: Distribution Channel Management: Challenges, Opportunities and Priorities for Insurance CIOs in a Dynamic Environment
In this webinar, panelists discussed the recent report, “Distribution Channel Management: Insurers Focused on Improving Onboarding Experience,” published by research and consulting firm Aite-Novarica. Panelists included subject matter experts from Aite-Novarica, Salesforce and RegEd, who reviewed the report’s findings, which are based on surveys and interviews with CIOs and CTOs from leading life, annuity, and property/casualty insurance carriers.
Featured Article: Understanding the Value of Enterprise Compliance Technology
This peer-reviewed article from an international trade journal offers a detailed look at quantitative and qualitative benefits that a firm should consider in evaluating the effectiveness, efficiency and experience of a built-for-purpose enterprise compliance and licensing platform. “Understanding the value of enterprise compliance technology”, Adam Schaub – RegEd VP of Product Management, was published in full in the Journal of Securities Operations & Custody Volume 14 Number 1 (© Henry Stewart Publications).
Aite-Novarica Report: Distribution Channel Management: Insurance CIOs Focus on Improving the Onboarding Experience
This report presents and discusses the findings of interviews with ten life, annuity, and property/casualty insurance carriers that varied in size between midsize and large.
Featured Article: Factors in Measuring the ROI of a Built-for-Purpose Platform
The following is excerpted from “Understanding the value of enterprise compliance technology”, Adam Schaub – RegEd VP of Product Management, published in full in the Journal of Securities Operations & Custody Volume 14 Number 1 (© Henry Stewart Publications). The content on this page has been edited for conciseness but the full peer-reviewed article is also available through RegEd.
Webinar: Understanding the NSCP Firm & CCO Liability Framework
In this webinar, RegEd and NSCP Regulatory Advisory Committee members discuss the NSCP Firm and CCO Liability Framework and how best to utilize it for the benefit of your firm’s compliance program and with regulatory examination and enforcement staff.
Executive Brief: Accelerating Claims-Adjuster Licensing For Self-Insured Employers
In this Executive Brief, we evaluate the options facing self-insured employers as they look to manage the adjuster-licensing process effectively through either built-for-purpose enterprise technology or adjuster licensing managed services.
Celent Report: Marketing Compliance in the Financial Services Industry
This report, authored by Neil Katkov, PhD, Head of Risk & Compliance at Celent, provides an overview of the different challenges faced by the financial services industry in regards to marketing and advertising compliance. The report also details some of the factors to consider when deciding on advanced technology to manage your advertising and marketing compliance process.
Featured Article: Lessons from FINRA’s 2022 Examination and Risk Monitoring Program Report – 4 Key Issues and How to Address Them
Adam Schaub, Vice President of Platform Product Management at RegEd, discusses four key takeaways from the recent 2022 Report on FINRA’s Examination and Risk Monitoring Program.
Webinar: FINRA’s 2022 Examination and Risk Monitoring Program Report
During this webinar we discuss the 2022 Report on FINRA’s Examination and Risk Monitoring Program, issued on February 9, 2022. The webinar features an expert panel from RegEd and Eversheds Sutherland (US), who will provide analysis of FINRA’s report, as well as practical insight to help firms shape their compliance and business operations. The session also discusses the implications of the report for enforcement and examination activities.
Featured Article: Complying with FINRA Rule 3220 – Automate Aggregation of Gifts, Gratuities, and Contributions
Amber Bird, Product Manager at RegEd, discusses the challenges of complying with FINRA Rule 3220 (Influencing or Rewarding Employees of Others), and how fit-for-purpose technology enables a streamlined process for monitoring and managing compliance with firm and regulator limits.
SEC Marketing Rule Resource Center
RegEd has compiled resources on the new marketing rule, its impact on the industry, and how firms can prepare so that investment advisers can reduce non-compliance risk while growing their business.
Webinar: Looking Forward: Operating in a Post-Pandemic World
Presidents and CEOs from leading insurance-based broker-dealers discuss some of the challenges and opportunities facing the industry in the context of these changing times, including industry consolidation, operating models, succession planning, pandemic impacts, advances in technology, and of course, more regulation.
Webinar: Branch Inspections: Enforcement Trends, Regulatory Developments and the Latest Best Practices
While branch oversight has changed significantly during the COVID-19 pandemic, regulators, including FINRA and the SEC, continue to expect firms to administer effective programs for overseeing branches and supervised individuals.
This webinar provides an overview of the latest regulatory developments in this area, including FINRA’s extension of the remote option and how it is expected to evolve going forward. Panelists also review practical challenges and opportunities facing audit teams, as well as the latest best practices that have emerged as firms continue to navigate the pandemic and remote work.
Webinar: Technology Innovations to Streamline Compliance
Advancements in technology in the compliance realm have been rapidly increasing each year, including the use of artificial intelligence, machine learning, natural language processing, algorithm-driven business processes, and more. With this kind of increase in capabilities, compliance officers are understandably interested in what these technologies can do for them. Our panel attempts to demystify these concepts and discusses practical applications of these emerging technologies, their potential impacts to compliance and provide best practice considerations when approaching these technologies.
Webinar: Onboarding in the Digital Age / Insurance Leaders Panel
Senior business leaders from top insurance companies and distributors discuss some of the challenges and opportunities facing the insurance industry in the context of these changing times – including digitization of insurance; M&A and consolidation; economic uncertainty; competitive pressures; advances in technology; and of course, more regulation.
The session includes a presentation of a recent market study on the challenges and opportunities organizations face in agent and agency onboarding. Panelists offer insight into how their firms approach this critical and fast-evolving process.
Webinar: Licensing & Registration Leaders Panel
This session features a panel of compliance and operations leaders who discuss the current state of licensing and registration and its impact on distribution, operations and compliance programs in light of the pandemic. Panelists share both challenges and lessons learned from the past year, including best practices and their thoughts on the future state of the industry.
Webinar: Effectively Managing Regulatory Change in an Evolving Regulatory Landscape
Financial services firms are subject to potentially thousands of regulatory changes each year across FINRA, SEC, State Insurance Departments and other regulatory agencies. The ability to efficiently manage the regulatory change process is the backbone of a strong compliance program. In this webinar, RegEd Regulatory Affairs directors frame the current landscape, and a RegEd client relates how their firm transformed their regulatory change management function to meet the challenges of a demanding regulatory environment.
White Paper: Distribution Onboarding in the Digital Era
Download this white paper to learn more about the current state of agency and agent onboarding among major U.S. insurers, the business impact of current tools and strategies, and the essential considerations for carriers that seek to improve their agency and agent onboarding performance.
Webinar: Broker-Dealer Leaders Panel
Presidents and CEOs from leading broker-dealers discuss some of the challenges and opportunities facing the industry in the context of these changing times including industry consolidation, operating models, succession planning, pandemic impacts, advances in technology, and of course, more regulation.
Webinar: Insurance Regulatory & Licensing Update: NIPR, NAIC & IRI
Hear from representatives of NIPR, NAIC, and IRI on important updates related to current and planned initiatives impacting the industry. Panelists cover a wide range of topics, such as standards of conduct, including state adoption of the amended annuity model, recent NAIC trends and enforcements, and updates related to current and planned NIPR licensing and registration initiatives.
Webinar: 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.
Webinar: FINRA, SEC and State Securities Enforcement Trends
FINRA, the SEC and state regulators have stepped up enforcement efforts in recent years, resulting in unprecedented sanctions. This panel of compliance and legal experts discusses these regulators’ enforcement priorities and methodologies, and examine lessons from recent cases that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.
This webinar features a panel of compliance and legal experts who discuss the recent FINRA and State Securities enforcement trends.
Webinar: Client Success Stories: The Benefits of Achieving a Unified Compliance and Credentialing Technology Vision
This webinar features the real-world experience of a RegEd client, and focuses on the benefits of a unified compliance technology ecosystem and how it can deliver significant efficiencies, stronger compliance oversight and increased user satisfaction, while instilling a culture of compliance.
Video: Achieving a Unified Compliance and Credentialing Technology Vision
This presentation, featured at the 2021 FINRA Annual Conference, focuses on the benefits of a unified compliance technology ecosystem and how it can deliver significant efficiencies, stronger compliance oversight and increased user satisfaction, while instilling a culture of compliance.
Featured Article: Best Practices for Annual Compliance Questionnaires
Want to learn more about RegEd’s Annual Compliance Questionnaire and best practices utilized by our existing customers? This article features some best practices to consider if you are newly implementing your ACQ or if you are revising your ACQ for this calendar year.
Executive Brief: Xchange Onboarding, Licensing and Registration
Download this executive brief to learn about Xchange, RegEd’s Enterprise Contracting, Licensing and Registration solution, and how it provides unified onboarding, licensing and registration that is powered by an extensive compliance rules engine.
Executive Brief: Enterprise Advertising Review for Banks
Download this executive brief to learn how RegEd’s Advertising Review drives the highest levels of efficiency and delivers extraordinary value for the investment, enabling banks to handle projected volume growth without compromising review quality or turnaround.
Video: Enterprise Gifts, Gratuities and Contributions Management
RegEd’s Enterprise Gifts, Gratuities and Contributions Management is the industry’s most advanced software solution for managing the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions to readily identify conflicts of interest.
Webinar: FINRA’s 2021 Examination and Risk Monitoring Program Report: Understanding the Report and Implications for Your Compliance Program
This webinar features an expert panel from RegEd and Eversheds Sutherland (US), who provide analysis of the 2021 Report on FINRA’s Examination and Risk Monitoring Program, as well as practical insight to help firms shape their compliance and business operations. The session also discusses the implications of the report for enforcement and examination activities.
Webinar: Advertising Regulation: Understanding and Preparing for the SEC’s Newly Adopted Modernized Marketing Rule
On Tuesday, Dec. 22, 2020, the Securities and Exchange Commission (SEC) announced it had finalized reforms to modernize rules that govern investment adviser advertisements and compensation to solicitors, the first significant revision to the rule in decades. This webinar features an expert panel who provides insight into the details of the rule, how it will impact the industry, and what firms can do now to prepare.
Executive Brief: Advertising and Customer Communications: The Compliance Factors All Firms Need to Consider
Download this executive brief to learn how RegEd’s Advertising Review drives the highest levels of efficiency and delivers extraordinary value for the investment, enabling firms to handle projected volume growth without compromising review quality or turnaround.
White Paper: Broker-Dealer and Bank Branch Audit Management: Ensuring Risk Mitigation
More firms are turning to specialized workflow management technology to enable themselves to efficiently plan, schedule, conduct, resolve and report on branch audits.
Webinar: Regulatory Change Management: The State of Insurance Regulation and Compliance Best Practices in a Pandemic World
This webinar features an expert panel that provides an overview of the current state of insurance regulation, including the impact that COVID has had on the volume and nature of regulation, as well as hands-on best practices for ensuring closed-loop compliance. The session also features an industry perspective on how one leading insurer is applying technology to streamline the management of regulatory compliance.
Webinar: Maximizing Value From Your Branch Office Exams During Covid-19 and Beyond: A Hands-on Perspective
This webinar featured Sander J. Ressler, Managing Director of Essential Edge Compliance Outsourcing Services, LLC, who provided an overview of current trends in the industry, ongoing impacts related to the pandemic, and a forward-looking view as to how firms are likely to continue to advance their programs.
Celent Report: Keeping a Grip on Employee Conduct and Conflicts of Interest
This report, authored by Neil Katkov, PhD, Head of Risk and Compliance at Celent, provides an overview of the current landscape, as well as the best practices, processes and technology that leading firms employ to optimize compliance and reduce risk.
Celent Report: Insurance Agency Licensing and Compliance: New Models for New Times
This report, authored by Karlyn Carnahan, CPCD, Head of Insurance at Celent, provides an overview of the different challenges faced by insurers, agencies, and call centers in the compliance process, and details some of the factors to consider when deciding whether to purchase technology designed specifically to manage the compliance process — or whether to consider managed services.
Webinar: Driving L&R Efficiencies to Create Competitive Advantage
Licensing and Registration technology has materially advanced over the last few years. The most efficient licensing centers manage by exception, enjoy high agent / rep satisfaction and exceed their key performance metrics year over year. Learn how these licensing operations have integrated just-in-time processing, business process automation, data reconciliation and data integration with critical path internal and external systems to enable an entirely new level of efficiency.
Webinar: Keeping a Grip on Employee Conduct and Conflicts of Interest
Employee conduct risk and conflict of interest (COI) is a crucial area for financial institutions due to the reputational and regulatory risks. Employee COI is a complex area involving multiple roles, policies, and regulators. Unchecked, employee COI and unethical sales practices can rise to the level of enterprise risk with the potential for significant regulatory actions, fines and reputational risk.
This webinar featured an expert panel who offered insight into important industry trends, best practices, and what organizations should do to minimize non-compliance risk.
Client Success Stories: Managed Services
Hear the real-world experience of Arthur J. Gallagher, and learn how they have enabled cost efficiency, enhanced broker satisfaction and reduced risk through partnership with RegEd.
Webinar: NIPR and Producer Licensing during COVID-19
Karen Stakem Hornig, CEO of NIPR, discusses important updates related to current and planned NIPR licensing and registration initiatives.
Webinar: RegEd Regulatory Update: State-mandated training developments and state pandemic relief updates
Brandi Brown, SVP of Regulatory Affairs at RegEd, shares insight into the state-mandated training developments and state pandemic relief updates.
Webinar: Driving L&R Efficiency: Client Success Stories
Hear the real-world experience of leading insurance carrier and distributor firms, and learn how they have enabled efficiency, enhanced advisor / agent satisfaction and reduced risk while evolving their licensing and registration operations to a best practice standard.
Fireside Chat: A Unique Perspective on Licensing and Registration Operations
This fireside chat features two of the industry’s most seasoned L&R experts, who have had their finger on the pulse of the industry for 50 years combined. They will share observations, insights and best practices gained in working with scores of insurance carriers and distributors around their implementation of innovative technology and processes.
Webinar: Branch Audit Management: Enforcement Trends, Regulatory Developments and Best Practices in a Pandemic World
This webinar featured an expert panel that provided an overview of relevant regulatory developments in this area, including the latest on how it is being viewed in light of the pandemic, as well as a practical industry perspective on how one leading firm is applying technology best practices to streamline the management of branch exams.
Webinar: Insurance Agency Licensing and Compliance: New Models for New Times
This webinar looked at the different challenges faced by insurers, agencies, and call centers in the compliance process. We laid out some of the factors to consider when deciding whether to purchase technology designed specifically to manage the compliance process — or whether to consider managed services.
Webinar: Leverage Third Party Integrations and Web Services to Streamline Marketing and Compliance Workflows
This session reviews the RegEd Advertising Review solution and it’s advanced capabilities for third party integration and web services, which significantly reduce manual intervention in the review process and turnaround time from asset creation through submission and approval.
Webinar: Gifts and Entertainment Compliance: Important Regulatory Developments and Best Practices in a Dynamic Environment
This webinar featured an expert panel who provided an overview of relevant gifts and entertainment rules and regulations, including the latest on how this area is being viewed by regulators in light of the pandemic, as well as a practical industry perspective on how one leading firm is applying technology best practices to streamline this critical compliance process.
Video: RegEd Advertising Review for Banks
Learn why two of the top three banks in the US trust RegEd’s Advertising Review solution to streamline the end-to-end processes for marketing and advertising compliance review.
Webinar: Advertising Regulation: An Update on the SEC’s Proposed Rule Changes
The webinar features an expert panel that offered insight into the details of the advertising rule proposal, how it might change based on industry comment, and what firms can do to prepare.
Webinar: FINRA, SEC and State Securities Enforcement Trends
This webinar features a panel of compliance and legal experts who discuss the recent FINRA and State Securities enforcement trends.
Case Study: CUNA Mutual Group
Download this Case Study to learn how RegEd’s Enterprise Compliance Questionnaires Solution Enables CUNA Mutual Group to Maintain Effective Compliance Oversight Amid COVID-19 Pandemic.
Virtual Roundtable: Broker-Dealer Compliance Challenges During the Pandemic: Best Practices and Views to the Future
This webinar features a panel of Chief Compliance Officers and compliance leaders to discuss the crisis confronting our industry and its impact on distribution, operations and compliance programs. Panelists shared both challenges and best practices.
Webinar: Getting Up to Speed on the New NAIC Best Interest Rule
This webinar features Jason Berkowitz, Chief Legal & Regulatory Affairs Officer for the Insured Retirement Institute (IRI), who covers the most pressing questions surrounding the NAIC best-interest standard that was added to the Suitability in Annuity Transactions Model Regulation.
Whitepaper: Regulatory Relations and Examination Management: A Primer for Banks
Download this whitepaper for a primer on common challenges for large banks, and learn how fit-for-purpose technology helped a Top 20 bank significantly streamline their regulatory relations and examinations processes.
Webinar: An Overview of Standards of Conduct in the Financial Services Industry
This webinar highlights the enduring trend of regulators focusing on establishing standards of conduct intended to preserve the best interest of investors, increase transparency in the advisor/client relationship, and clarify fiduciary responsibilities.
White Paper: Marketing and Advertising: The Compliance Factors All Banks Need to Consider
Download this whitepaper to learn how banks can speed time to market with an efficient review process that satisfies the increasingly rigorous demands of regulators.
Report: 2019 XCELENT Customer Base Award
Download this authorized excerpt of the report to learn how RegEd Xchange clients assessed system functionality, customer service experience and other essential criteria.
Webinar: Navigating NY Reg 187’s Best Interest Standard
This webinar provides an overview of the NY Regulation 187, what it will mean for insurers, and how new RegEd courses can help insurers meet its demands.
Video: RegEd Regulatory Relations and Examination Management for Banks
Learn how RegEd helps banks drive the highest levels of efficiency across all regulatory relations and examination management processes.
Video: RegEd Marketing and Advertising Compliance Review for Banks
Learn how RegEd helps banks streamline the end-to-end processes for marketing and advertising compliance review.
Webinar: Blueprint for an Effective, Efficient & Agile Policy Management Program
This webinar aims to provide a blueprint for attendees on effective policy management in a dynamic business, regulatory, and risk environment where attendees will learn policy management governance and process that can be applied across the organization at either an enterprise or a department level.
Webinar: SEC Regulation Best Interest: What You Need to Know
Join RegEd and Eversheds Sutherland (US) for an overview of Reg BI and insight into what you should expect from the recent rulemaking. The session featured Ben Marzouk, Brian Rubin, and Issa Hanna from Eversheds Sutherland.
Video: RegEd Solutions for Banks
Learn how RegEd helps banks identify highly effective and cost-efficient strategies to manage compliance across the enterprise.
Video: RCA 2019 Session – FINRA, SEC and State Securities Enforcement Trends
In this session, current and former FINRA enforcement staff discussed FINRA enforcement priorities and methodologies, and examined lessons from recent cases that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.
Video: Client Testimonial – Regulatory Change Management
Molly Akin, AVP Corporate Compliance & Ethics at Ohio National Life Insurance Company, on how RegEd’s Regulatory Change Management solution has streamlined the end-to-end process of tracking and managing relevant regulatory changes in her organization.
Webinar: A Love Letter to BDs: FINRA’s Annual Risk Monitoring and Examination Priorities Letter
Join RegEd and Eversheds Sutherland (US) for an overview of FINRA’s 2019 Priorities Letter and insight into how firms might interpret its content to shape their compliance and business operations to align with FINRA’s regulatory focus.
Webinar: Streamlining Marketing and Advertising Compliance in the Financial Services Industry
Streamlining Marketing and Advertising Compliance will provide insight into the current regulatory climate impacting marketing and advertising in the financial industry.
Webinar: State Model Acts: What You Need to Know
An examination of state model acts and the regulatory landscape as it relates to topics such as senior and vulnerable adult protections, cyber risk management, standard of care, FinTech and InsurTech.
Video: Enterprise Advertising Review
Advertising Review presents a single, integrated solution that streamlines advertising and customer communication submission, review, collaboration and approval, speeding time to market.
Executive Brief: RegEd Company Overview
Founded in 1994, RegEd is a leading provider of Enterprise Compliance Management, Compliance Education and Licensing and Registration solutions to the financial services industry.
Executive Brief: Enterprise Compliance Management for Banks
RegEd’s Enterprise Compliance Management Platform enables banks to effectively and efficiently meet compliance obligations and proactively manage their compliance program.
Webinar: The SEC’s Proposed Standard of Conduct Rules and Forms for Broker-Dealers and Investment Advisers
An overview of the April 2018 SEC rules and guidance governing the fiduciary duty and standard of conduct.
Case Study: Enterprise Advertising Review
The evaluation committee determined that RegEd’s Advertising Review, an industry-leading enterprise solution, would enable the company to mirror their existing compliance workflows.
Executive Brief: Enterprise New Product Approval for Banks
The RegEd Enterprise NPA solution is built on RegEd’s market-leading enterprise workflow management platform that has been implemented by the nation’s largest banks.
Executive Brief: Enterprise Advertising Review
Streamline the End-to-End Management of Advertising and Customer Communications Compliance
Executive Brief: Enterprise Audit Management
RegEd’s industry-leading Audit Management solution enables firms to fully plan, schedule, conduct, resolve and report on branch audits.
Case Study: Global, Enterprise Conflicts of Interest
U.S.-based, tier-one global financial services firm with retail and institutional customers and more than 40,000 employees worldwide, sought to implement a single solution their compliance program.
Case Study: 1st Global
Learn how 1st Global partnered with RegEd to drive a company-wide initiative to strengthen their compliance program through the introduction of advanced compliance and operations technology.
Webinar: Making Your Conflicts of Interest Compliance Program Defensible
An overview of relevant regulatory and industry trends, as well as how the evolution of technology has impacted the ability of firms to maintain an efficient and effective conflicts management program
Executive Brief: RegEd Regulatory Change Management
RegEd Regulatory Change Management facilitates a workflow enabled, closed-loop process that provides firms with everything they need to be aware of, comply with, and demonstrate compliance.
Webinar: NAIC Market Regulation Update and Market Conduct Exam Best Practices
Discussion of NAIC market regulation standards, important trends, critical priorities, and best practices to mitigate risk and minimize the negative impact of exams that occur.
Executive Brief: Proactive Conduct Risk Management
SCORE installs a powerful compliance control center that enables firms to proactively identify and calculate non-compliance and sales practice risk across their employee population.
Video: RegEd SCORE Risk Control Center
Learn how SCORE delivers a clear view of compliance requirements and risks, at the enterprise level or specific to the employee.
Executive Brief: Leveraging RegTech to Create Compliance and Competitive Advantage
Leveraging RegTech, the compliance function can evolve from a reactive cost center to a proactive value creator – one that has a positive impact on business performances.
Case Study: Market Conduct Exam Management
RegEd partnered with the client to streamline and automate their market conduct exam program management via the CODE Enterprise Platform.
Webinar: Pay-to-Play: Understanding the Impact of Recent Enforcement Actions on Your Firm
Discussions in the developments in pay-to-play regulation and the potential impact of recent enforcement actions on your firm.
Webinar: The Evolution of Branch Audit Management: Leveraging Technology to Keep Pace in a Dynamic Regulatory Landscape
An overview of relevant regulatory and industry trends, as well as how the evolution of technology has impacted the ability of firms to maintain an efficient and effective Branch Audit program.
Case Study: Enterprise Compliance Management for Insurance Companies
Download ROI Snapshots to learn how three leading insurance companies utilized RegEd’s Regulatory Change Management solution suite to dramatically improve enterprise compliance.
Webinar: Current Regulatory Issues Concerning Outside Business Activities
FINRA’s supervision of Outside Business Activities (OBAs) discussion includes OBA requirements, exam trends, and best practices.
Webinar: Documenting Effective Onboarding Due Diligence
FINRA’s review of firms’ supervisory procedures, as well as insight into the ways that technology can enable firms to eliminate inefficiencies in the onboarding process.
Webinar: Examining the Regulatory Focus on Gifts, Gratuities, and Pay-to-Play
Discussion includes the changing regulatory environment and best practices for Gifts, Gratuities and Non-Cash Compensation and Pay-to-Play.
Webinar: Navigating the Complexity of COI Compliance for Firms Large and Small
How to efficiently manage conflicts of interest for broker-dealers, investment advisers, insurers, and other financial services.
Webinar: Eliminate Inefficiencies in the Onboarding Process
Efficient onboarding, including integrated background investigation and configurable workflows that automate FINRA submissions and fulfillment of licensing, registration and compliance requirements.