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Sponsors

The mission of State Farm is to help people manage the risks of everyday life, recover from the unexpected, and realize their dreams. We have provided life insurance solutions since 1929, and are proud to be the company millions of people look to for protection. More at: www.statefarm.com

Strategic Partners

Hearsay Systems offers the Hearsay Advisor Cloud for financial services, digitizing painful manual processes and freeing up advisors to provide proactive, timely service for clients. Hearsay’s pre-built industry workflows for insurance and wealth management provides one-click actionable suggestions for advisors to engage with clients efficiently and compliantly use social media, websites, text and email to engage with customers, build stronger relationships and grow their business. Built for the enterprise, Hearsay Systems connects these advisor-client interactions and data to corporate CRM systems and digital marketing programs and provides efficient compliance supervision and review workflows — all on a secure, enterprise-ready platform. Hearsay Systems is used by more than 150,000 advisors and agents at the world’s largest financial services and insurance firms. The company is headquartered in Silicon Valley with locations throughout North America, Europe and Asia. Connect on Facebook, Twitter, LinkedIn and the Hearsay blog. 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. 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 Global is the recognized leading provider of on-demand, online communications to the financial services industries. Our platform enables our customers to deliver required training and relevant information to sales people, agents, wholesalers, and employees in ways that keep their attention, improve their understanding, and easily track their progress. In addition, administrators and management personnel possess the capabilities to track and monitor progress through real-time reports. Pinpoint’s Learning Management System (LMS) is a configurable and scalable system designed to provide a complete solution for field sales force training and development. In addition to standard e-learning systems capabilities (e.g., support for curriculum and career paths, custom content creation, detailed tracking and reporting, individual transcripts, etc.), Pinpoint’s LMS supports a comprehensive set of capabilities for delivering compliance requirements and sales/marketing communications to geographically dispersed sales organizations. Pinpoint also provides an entire array of services, from video, audio, and flash animation production, to SCORM compliant presentation authoring and hosting, to custom designed portals. Visit us at www.pinpointglobal.com

Exhibitors

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 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. www.reged.com.