2018 Regulatory Compliance Exchange — Sponsors and Exhibitors

New York Life, the nation’s largest mutual life insurance company and one of the largest life insurers in the world, provides insurance, investment, and retirement solutions that help people at all stages of life achieve financial security. The company’s diverse and industry-leading agents maintain caring relationships with clients and deliver guidance throughout their lives. For policy owners, New York Life means peace of mind and promises kept. 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