John M. Schobel Will Present on the Topic of Driving Efficiency and Effectiveness in Branch Exams and Field Audits.
RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Financial Services Institute (FSI) OneVoice conference in San Diego, CA, January 27-29, 2020.
RegEd Founder and CEO, John M. Schobel, will present on Improving Branch Exams on Tuesday, January 28th at 1:30 PM. The session will cover how branch exams and field audits can be made more beneficial and impactful for both the firm and the registered representative. The session will review the topics to cover in the exam as well as evaluate how to best approach compliance issues and create an open dialogue.
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John M. Schobel, Chief Executive Officer at RegEd, commented, “The need for a holistic view of compliance and risk is the key driver causing industry firms to consolidate compliance technology in favor of an enterprise approach. RegEd’s enterprise compliance platform and wide breath of compliance solutions, including Branch Audit Management, enable our clients to establish a central compliance portal that provides their advisor and employee population with a full view of compliance requirements and status while providing the firm with the critical views needed to reduce overall risk for the firm.”
The FSI OneVoice conference is an educational forum for broker-dealer home office executives. This year’s event will offer more than 30 sessions on topics surrounding compliance, supervision, operations and technology. Presenters and panelists include regulators, senior executives from leading financial services firms and industry subject matter experts.
RegEd will be an exhibitor and sponsor at the conference, and will showcase enterprise solutions that enable firms to ensure a culture of compliance in today’s rapidly evolving regulatory environment:
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.
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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.
Registration and OBA: Streamline registration compliance across the enterprise, including end-to-end OBA tracking and reporting. Integrations automate filing and reconciliation of amendments and background investigations.
RegEd representatives will be on-site to meet 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.
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