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 […]
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Events
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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