RegEd’s Advertising Review solution is built to support firm’s marketing collateral approval process. In addition to robust workflows, Advertising Review is designed with compliance in mind including Worm and D3P support per SEC requirements. Many regulations imposed by FINRA and the SEC have to do with the archiving of electronically stored information (ESI). Therefore, to ensure compliance firms are required to archive all necessary ESI. However, just archiving the data is not enough. SEC Rule 17a-4 mandates it must be archived in the proper format to meet compliance standards. Write Once Read Many (WORM) WORM describes a data storage device […]
Continue readingMore TagL&R Operations and the Shift Toward Automation: Key Drivers
The Drivers of Automation Managing licensing and registration operations means providing a high level of exceptional service to agents and producers against a challenging backdrop of fluctuating volumes, complex transactions, ever-changing regulations, and rigorous data and reporting demands. It requires extraordinary levels of efficiency and continuous assimilation of best practices. We take a look at the biggest drivers that propel insurers and distributors to implement advanced technology into their licensing operations. Time to Market, User Satisfaction, and Reduced Risk There are many drivers of automation in licensing and registration operations, but the most significant are the need for increased staff […]
Continue readingMore TagTrends in L&R Operations: A Changing Industry and New Ways to Work
An Evolving Industry and a New Way to Work The insurance industry and the technology that supports it continue to evolve, and licensing and registration operations remain at the forefront, providing extraordinary levels of efficiency and continuous assimilation of best practices. The Growth of Call Centers, Evolving Role of Technology For example, call centers, both internal and outsourced, have grown as a result of the insurance industry’s increased digitization and the popularity of robo-advisers. These shifts have been driven by a new generation rising higher through the business and by overall evolving expectations of what technology should provide. In addition, […]
Continue readingMore TagRegEd Appoints Adam Schaub as Vice President of Platform Product Management
RegEd, the market-leading provider of enterprise regulatory compliance solutions to banks, broker-dealers, insurance companies and brokers, is pleased to announce its appointment of Adam Schaub to the role of Vice President, Platform Product Management. In this role, Schaub will direct RegEd’s platform product management team and lead the strategy and vision for the continuous evolution of RegEd’s enterprise platform. “Adam comes to RegEd with deep industry, regulatory and compliance subject matter expertise. He has over 20 years of direct experience in the financial services compliance industry, and was a RegEd client leading the compliance services team at his last role, […]
Continue readingMore TagRegEd Appoints Chris Heggelund as Chief Client Officer
RegEd, the market-leading provider of enterprise regulatory compliance solutions to banks, broker-dealers, insurance companies and brokers, is pleased to announce its appointment of Chris Heggelund to the role of Chief Client Officer (CCO). In this role, Heggelund will direct RegEd’s Implementation, Customer Success and ongoing Customer Support functions to drive continuous client satisfaction, and meet and exceed growth objectives. “Chris is an industry veteran who has spent the last twenty years in the InsureTech space, with the last decade building world-class services organizations. He brings a deep understanding of insurance licensing and securities regulation, technology and customer success best practices […]
Continue readingMore TagRegEd Completes Acquisition of ComplianceMAX and FIRE Continuing Education businesses from National Regulatory Services (NRS)
Acquisition expands RegEd’s market presence with broker-dealers, insurance companies and investment advisors. RegEd, the leading provider of compliance, education, training and regulatory management solutions and services for insurance companies, broker-dealers, banks, and other financial services companies, today announced that it has completed the acquisition of ComplianceMAX and FIRE Continuing Education businesses from National Regulatory Services (NRS), a provider of compliance and registration products and services for investment advisers, broker-dealers, hedge funds, investment companies and insurance institutions. These additions will expand RegEd’s capabilities and meet the needs of the broker-dealer industry so they can be compliant with FINRA and SEC rules […]
Continue readingMore TagRegEd and AICP Host Joint Webinar on Best Practices in Regulatory Change Management
The session provided a snapshot of regulation in the financial services industry, including the impact of COVID-19, and outlined hands-on best practices for ensuring effective compliance. RegEd, the leading provider of compliance technology solutions for the financial services industry, recently presented a webinar Regulatory Change Management: The State of Insurance Regulation and Compliance Best Practices in a Pandemic World. The webinar was co-hosted with The Association of Insurance Compliance Professionals (AICP), an organization offering the insurance industry compliance and ethics education, training, and opportunities to engage with industry experts and regulatory authorities. Regulatory Change Management: The State of Insurance Regulation […]
Continue readingMore TagCelent Report on Employee Conduct and Conflicts of Interest in the Financial Services Industry Published
Commissioned by RegEd, the report identifies processes and technology best practices that leading firms employ to reduce risk in today’s environment. RegEd, the market-leading provider of enterprise compliance solutions to banks, broker-dealers insurance companies, and other financial services firms, is pleased to announce the publication of a new analyst report, “Keeping a Grip on Employee Conduct and Conflicts of Interest,” from research and consulting company Celent. The report, authored by Neil Katkov, PhD, Head of Risk and Compliance at Celent, provides an overview of the current landscape surrounding employee conduct and conflicts of interest management, as well as the best […]
Continue readingMore TagRegEd and Essential Edge Compliance Outsourcing Services Announce Joint Webinar on Best Practices in Branch Office Inspection Management
The session will provide a hands-on perspective on effectively conducting branch inspections during COVID-19 and beyond RegEd, the leading provider of compliance technology solutions for the financial services industry, has announced an upcoming webinar that will be co-presented with Essential Edge Compliance Outsourcing Services, a regulatory and compliance/supervision consultancy. The webinar will be held on Thursday December 3 at 12:00PM EST. Attendees will include senior compliance, risk and audit professionals from the nation’s leading financial services firms. Maximizing Value from Your Branch Office Inspections During Covid-19 and Beyond: A Hands-on Perspective Branch office oversight has been significantly impacted by the […]
Continue readingMore TagRegEd Appoints Joe DiAngelo as Executive Vice President of Sales
RegEd, the market-leading provider of enterprise regulatory compliance solutions to banks, broker-dealers, insurance companies and brokers, is pleased to announce its appointment of Joe DiAngelo to the role of Executive Vice President (EVP) of Sales. In this role, DiAngelo will direct RegEd’s enterprise sales development team to exceed growth objectives. “Joe brings extensive knowledge of enterprise software and the financial services industry, in combination with a successful track record of coaching sales executives, to RegEd,” said Glen Jasionowski, Chief Revenue Officer at RegEd. “His proven ability to build extremely successful sales organizations in the compliance management software industry will help […]
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