2018 Regulatory Compliance Exchange — Sponsors and Exhibitors

Founded in 1845, New York Life is the largest mutual life insurance company in the U.S. and one of the largest life insurance companies in the world. We offer life insurance, retirement income, investments, long-term care, and disability insurance through a nationwide network of 12,000 agents and advisors. The company also serves institutional clients, is a leading direct-to-consumer life insurer, and manages one of the world’s largest investment firms. Embracing technology and artificial intelligence, New York Life continues to enhance how it delivers guidance and protection to individuals, families and businesses across the country. Visit us at: https://www.newyorklife.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/

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.

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/

Wolters Kluwer delivers trusted content and software solutions to help financial institutions execute on the 7 key processes associated with Compliance Program Management. We can help ease the burdens of Regulatory Insight, Change Management, Risk Assessments, and Exam Management with the right combination of Content, Technology, and Consulting services to meet the high demands of the insurance industry. Visit us at: www.WoltersKluwerFS.com