RegEd
@RegEd
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RegEd is a market leader with innovative, best-in-class compliance, and risk management solutions for the financial services industry. @RegEdJ5
Raleigh-Durham, North Carolina
Joined November 2011
#SEC casting "very wide net" on marketing rule compliance https://t.co/60cy6KCAYC
thinkadvisor.com
The agency has already fined firms that have failed to comply, and it's looking for more offenders.
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Join us for an upcoming webinar: "Removing Friction For Your Financial Professionals: Streamlined Onboarding Through Next-Gen Technology." https://t.co/4VCHZ7rBka
#produceronboarding #producermanagement
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Reg BI Is a ‘Work in Progress’: SEC Chief https://t.co/z2dBJR8Uhx
thinkadvisor.com
SEC Chairman Gensler addressed hot topics, like off-channel communications, at FINRA's annual conference Tuesday.
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Check out our latest blog post: "The Future of Advertising Compliance Review: Harnessing AI and Advanced Tech to Drive Efficiency and Reduce Risk". https://t.co/aQEJ4hI40T
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FSOC proposes overhaul of designation rules for nonbanks https://t.co/qojFBRH3cY
reuters.com
Top U.S. regulators on Friday proposed new rules to speed the assessment of financial stability risks and make it easier to designate non-bank institutions as systemically important, subjecting them...
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FINRA has withdrawn its original remote inspection pilot program from 2022 and proposed a new pilot initiative. Check out our latest blog post where we highlight key factors of FINRA’s new remote inspections pilot program. https://t.co/8c7p0Ds1Bl
#FINRA #RemoteInspections
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Brokerages need to update tech systems to show Reg BI work to SEC https://t.co/Z0oKtfPX7B
#RegBI #SEC
investmentnews.com
An SEC risk alert this week warned firms that surveillance systems fell short in ensuring reps consider costs and reasonably available alternatives. Will enforcement be next?
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SEC emphasizes probing marketing rule, Reg BI compliance #SEC #RegBI #Compliance
https://t.co/FEkZ3sgY24
investmentnews.com
The agency's other examination priorities for this year include RIAs who manage private funds, ESG investing and crypto.
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We are thrilled to be back as sponsors at FSI #OneVoice2023 this week in Palm Desert! It's going to be a great few days of connecting with industry colleagues on the latest trends and the important issues affecting their businesses. https://t.co/cBufs8xsA9
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#SEC proposes sweeping changes to equity market structure https://t.co/17VFKbyznb
wsj.com
Regulators are set to propose the biggest changes to U.S. stock-market rules since the mid-2000s, aiming to give small investors better prices on their trades.
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