2016 Regulatory Compliance Exchange - Sponsors and Exhibitors

For 100 years, the mission of State Farm has been, and continues to be, to help people manage the risks of everyday life, recover from the unexpected, and realize their dreams. State Farm and its affiliates are the largest providers of auto and home insurance in the United States. Its more than 19,400 agents and approximately 53,400 employees serve over 87 million policies and accounts — which includes auto, fire, life, health, commercial policies and financial services accounts. Commercial auto insurance, along with coverage for renters, business owners, boats and motorcycles, is available. State Farm Mutual Automobile Insurance Company is the parent of the State Farm family of companies. State Farm is ranked No. 42 on the 2022 Fortune 500 list of largest companies. For more information, please visit https://www.statefarm.com.

Business Information Group, Inc. (BIG) provides customized background investigations, electronic fingerprinting, electronic I-9/E-Verify, drug testing/occupational health screening, and international screening exclusively to the world's largest financial services firms. Our services include ActionsBase, BIG's proprietary database of administrative/disciplinary actions levied by regulators including FINRA, OFAC, and the FBI. Through our sister company, Fieldprint, BIG provides end-to end fingerprinting services; the only nationwide collection site network; and tailored private FBI channeling programs. Visit us at: www.bigreport.com/

Pinpoint is the recognized leader in web-based compliance and risk management solutions for financial services firms. Pinpoint’s Compliance systems provide online fillable forms and client specific submission and approval workflows. The system supports 22 compliance modules including ADV Part 2 B brochures, OBAs, Advertising Review, and Gifts and Entertainment. Pinpoint’s comprehensive tracking and reporting capabilities provide real-time status of all compliance initiatives and archives all client compliance records in SEC 17-a compliance. Visit us at: https://www.pinpointglobal.com/

Enterprises are struggling to manage a rapidly growing amount of unstructured data that complicates compliance, surveillance, and data management. Bloomberg Vault provides an end-to-end, cloud-based, secure hosted information governance and information analytics platform that helps you manage this unstructured data while helping to consolidate your compliance, legal and data management processes. Learn more at: www.bloomberg.com/vault/

CSI’s full suite of technology solutions includes core processing, document delivery, payments processing, managed services, mobile, Internet, and risk management and compliance.  For more information about CSI, visit www.csiweb.com.

First Consulting & Administration, Inc. is a premier provider assisting the insurance industry in achieving business strategies with a focus on compliance and regulatory issues. Since 1969, First Consulting has advised and assisted companies across the country. The primary areas of practice include product development, drafting and filing; compliance consulting; third party administrator licensing; research; advertising compliance; UCAA filings; corporate governance; anti-fraud training; and, a full range of Enterprise Risk Management (ERM) services including Own Risk & Solvency Assessment (ORSA) compliance tailored to insurance company needs. More information about our Co-sourcing services is available at: www.firstconsulting.com

Frost Brown Todd, a law firm with over 500 lawyers across eight states, offers a deep, talented roster of legal professionals. Our insurance industry team serves clients with insurance-related matters across a broad spectrum of industries. We are well-recognized insurance regulatory/compliance counsel in all aspects of life insurance and life insurance products, including death master file and related regulations, investigations, settlements, examinations and resolutions. Committed to our clients, we leverage technical, industry, and legal knowledge and hands-on experience to serve a diverse client base, from global multinationals to small, entrepreneurial companies. Our client teams integrate that powerful network of legal talent and business experience to provide innovative and comprehensive services across our platform. Learn more at: http://www.frostbrowntodd.com.

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients that represent 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 costeffectively 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. Visit us at: www.RegEd.com