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 […]
Continue readingMore TagRegEd 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 […]
Continue readingMore TagYear-End Considerations for Investment Adviser Representatives: Navigating Complex CE Requirements and Potential Non-Compliance Risks
As the year draws to a close, it’s crucial for Investment Adviser Representatives (IARs) and Investment Advisers (IAs) to be acutely aware of the Investment Adviser Representative Continuing Education (IAR CE) requirements and the consequences of non-compliance. This blog post aims to highlight key points on what needs to be considered as we approach year-end, focusing on CE compliance, potential administrative terminations, and strategies for addressing these challenges. Understanding the Risks of Non-Compliance with IAR CE Requirements Potential Administrative Termination for IARs Two-Year Backlog Risk: IARs who are behind on their IAR CE for two years face the risk of […]
Continue readingMore TagRegEd to Showcase Next-Generation Producer Management Solution at 2023 InsureTech Connect Conference
Xchange Producer Management delivers a single solution for all distribution channels, enabling rapid onboarding of agencies and agents to speed time to market. RegEd, the leading provider of compliance technology solutions to the financial services industry, including Xchange, the market-leading Enterprise Licensing and Registration solution, is proud to be a Silver Sponsor of the 2023 InsureTech Connect (ITC) Conference, held from Oct. 31-Nov. 2, in Las Vegas, NV. During the conference, RegEd will present its next-generation Xchange Producer Management solution, which was developed with input from some of the nation’s largest insurance companies. Jacob Spitzley, RegEd Director of Product Management, […]
Continue readingMore TagRegEd to Participate in 2023 AICP Annual Conference
RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is a proud Silver Level Sponsor and participant in the 2023 Association of Insurance Compliance Professionals’ (AICP) Annual Conference in Austin, TX, on Oct. 29 – Nov. 1, 2023. Conference attendees will learn about and discuss key issues facing compliance professionals at Property and Casualty and Life and Health companies. The event will bring together hundreds of senior insurance compliance professionals, regulators and industry thought leaders. “Breaking the Spell on Compliance and Discovering Your Magic” is the theme of this year’s AICP conference. […]
Continue readingMore TagRegEd’s Brandi Brown Appointed as Education Chair on SILA Board of Directors
RegEd, a leading provider of compliance and regulatory solutions for the financial services industry, is pleased to announce that Brandi Brown, Senior Vice President of Regulatory Affairs at RegEd, has been voted onto the Securities & Insurance Licensing Association (SILA) Board of Directors. Brown will serve as the Education Chair for a two-year term, commencing in January 2024. SILA is a highly respected industry organization dedicated to the promotion and enhancement of the professional growth of individuals and companies in the insurance and securities licensing industry. The Education Chair is a crucial position that plays an instrumental role in shaping […]
Continue readingMore TagRegEd Subject Matter Experts to Share Insights and Expertise at the 2023 SILA National Education Conference
RegEd, the leading provider of compliance technology solutions for the insurance and securities industries, is proud to announce the participation of its esteemed subject matter experts at the upcoming 2023 SILA National Education Conference. RegEd team members will be actively engaged in sessions and meetings throughout the conference, sharing their knowledge and insights on critical compliance and regulatory topics. RegEd will host a featured conference session during the conference, titled “The P&C Carrier and Insurance Broker of the Future: How Automation Can Drive ROI and Cost Efficiency for Licensing Operations.” This informative session will be presented by two of RegEd’s […]
Continue readingMore TagRegEd to Exhibit Enterprise Compliance Solutions at 2023 NSCP National Conference
Attendees will have the opportunity to learn about the industry’s leading enterprise advertising compliance review solution, powered by advanced capabilities that integrate AI technology to drive speed to market and reduce risk. As the leading provider of regulatory technology solutions to the financial services industry, RegEd is a Platinum Member Sponsor and will exhibit its enterprise compliance platform at the 2023 National Society of Compliance Professionals (NSCP) National Conference in Dallas, TX, on Oct. 16-18. The annual NSCP National Conference offers dozens of sessions covering topics that are relevant to broker-dealers, investment advisers, private funds, and investment companies, and has […]
Continue readingMore Tag