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.
The Hearsay Client Engagement Platform empowers over 225,000 financial services representatives to authentically and intelligently grow business relationships by guiding and capturing the last mile of digital communications. Over 100 leading financial firms rely on Hearsay to scale reach, optimize engagements, and deliver exceptional service in a compliant manner. Visit us at: https://www.hearsaysystems.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/
CFM Partners, Inc. (CFM), a governance, risk, and compliance (GRC) firm based in Washington, D.C., provides comprehensive, cloud-based compliance management and education solutions to global financial services companies. CFM’s GRC platform, Access Compliance™, is a robust compliance portal that provides integrated policy management, education management, regulatory tracking, and multiple compliance tools. Access Compliance’s primary features include: Complete Lifecycle Policy Management (create, review, approve, and publish); Policy Usage/Attestation Tracking; The Regulatory Matrix; Branch Examination Tool; and Comprehensive compliance, product, and sale practices curricula (FINRA Continuing Education, Supervisory Education Program, Complex Products Education Program). Learn more at www.cfmpartners.com.
Owned by Reed Elsevier, National Regulatory Service (NRS) is part of Accuity, the global standard for payment efficiency and compliance solutions. NRS is the U.S. leader in compliance and registration products and services for investment advisers, broker-dealers, hedge funds, investment companies and insurance institutions. NRS has the practical expertise, proven capability, and unparalleled reach to deliver integrated and effective compliance solutions to a wide range of users within the financial services industry. NRS delivers these solutions through three interrelated offerings — comprehensive education, best-in-class technology and expert consulting services — enabling our clients to meet their regulatory requirement and minimize risk. More at: www.nrs-inc.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/
BizTech Solutions, Inc. is a work process automation solution provider. We provide content management solutions, document and information capture, workflow, mobile forms solutions, document scanning solutions, and custom integration services. Our solutions and clients are in many vertical markets including insurance and financial providers, healthcare, and government. We provide innovative departmental and enterprise-wide solutions to reduce operating costs and increase cash flow, focusing first on understanding the business requirements, and then applying technology where appropriate. Integration, collaboration, and process automation are key components of these solutions. They allow clients to implement leading edge solutions quicker and cost effectively. Learn more at www.forbiztech.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/
Charles Schwab Compliance Solutions offerings include Schwab Designated Brokerage Services, Schwab Compliance Technologies™, and a wide range of financial products and services for employees. These solutions can help you proactively manage compliance, promote a positive employee experience, build long-term value across your business, and instill trust with clients. For additional information, please call 877-456-0777 or visit www.schwab.com/compliancesolutions.
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
Intralinks is a trusted global leader for providing secure content management and collaboration solutions. What some call “the cloud,” we call a safe collaborative workspace. Since our inception more than 17 years ago, we have provided solutions to support secure data sharing and transactions for multiple industries, including financial services, life sciences, technology, and manufacturing. Learn more at: www.intralinks.com
As a trusted industry partner for 125 years, MIB has developed Cross Check to provide life insurers with a comprehensive and effective unclaimed benefits solution. Powered by MIB’s proprietary name-matching technology, MIB Cross Check accurately identifies deceased policyholders by matching your records against the SSDMF and multiple data sources that include death notifications from thousands of public and online sources. MIB Cross Check minimizes false positives and maximizes results accuracy, ensuring smooth and efficient due diligence workflows. Experience the difference: We’ll run 10,000 policyholder records through Cross Check so you can compare it to your current solution. See why MIB Cross Check, is a clear match for unclaimed benefits compliance. More at: www.mibgroup.com/cross_check.
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