Raleigh, NC, Sept. 23, 2020 (GLOBE NEWSWIRE) — RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Virtual Forum on September 23-24, 2020.
The SIFMA Compliance & Legal Virtual Forum is the premier event for compliance and legal professionals working in the financial services industry. The virtual two-day forum provides a unique opportunity for industry leaders and regulators network and collaborate. Attendees will benefit from live and on demand content, hearing from industry leaders’ on their perspectives on the current regulatory and enforcement environments.
RegEd is proud to be a gold sponsor and will present an on-demand session as part of the conference program. Gifts and Entertainment Compliance: Important Regulatory Developments and Best Practices in a Dynamic Environment will feature an expert panel who will provide 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. The session will also present a practical industry perspective on how one leading firm is applying technology best practices to streamline this critical compliance process.
In addition, RegEd will showcase a set of enterprise solutions during the conference that enable firms to ensure a culture of compliance in today’s rapidly evolving regulatory environment:
Gifts, Gratuities and Contributions Management: Expanded capabilities enable global enterprise gifts and entertainment tracking and management, including: automated contact management, threshold tracking, automated alerts, and more.
Enterprise Advertising Review: Enable a workflow-driven process to streamline advertising and customer communication submission, review, collaboration and approval, speeding time to market for review items.
Branch Audit Management: Enables firms to fully plan, schedule, conduct, resolve and report on branch audits. Streamlines the audit process and improves efficiency of the firm’s audit program.
Licensing and Registration: Business process automation drives efficiency in transaction preparation, transaction processing and data maintenance. Automated data synchronization with FINRA, the NIPR and other third parties ensures data accuracy and reduces manual intervention.
RegEd representatives will be available to engage virtually with conference attendees to understand their compliance challenges and discuss solutions that enable broker-dealers and other financial services firms to meet compliance requirements and proactively manage their compliance program.
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.