2020 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.

Northwestern Mutual has been helping people and businesses achieve financial security for more than 165 years. Through a comprehensive planning approach, Northwestern Mutual combines the expertise of its financial professionals with a personalized digital experience and industry-leading products to help its clients plan for what's most important. With over $627 billion of total assets being managed across the company's institutional portfolio as well as retail investment client portfolios, more than $36 billion in revenues, and $2.3 trillion worth of life insurance protection in force, Northwestern Mutual delivers financial security to more than five million people with life, disability income and long-term care insurance, annuities, and brokerage and advisory services. Northwestern Mutual ranked 110 on the 2024 FORTUNE 500 and was recognized by FORTUNE® as one of the "World's Most Admired" life insurance companies in 2024. Visit us at: https://www.northwesternmutual.com/

Aquilan’s compliance management software solution provides Monitoring (Fraud & AML), Watch List Screening (OFAC, SSN-DMF, and more), Case Management, Complaint Tracking, Analytics, and Government Reporting. Visit us at: www.aquilan.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/

CapitalRock, the makers of RightBRIDGE, provides financial services firms with a powerful and configurable rules engine to determine and document the suitability or best interest status of proposed rollovers, account types and products. Many of the country’s largest Independent, Bank and Insurance broker-dealers rely on RightBRIDGE systems to help them meet their compliance and documentation obligations for regulations like Reg BI, Reg 187 and the DOL’s PTE 2020-02. Each RightBRIDGE deployment is configured for the licensing broker-dealer’s specific products, policies, and compliance requirements. Each analysis is accompanied by CapitalROCK’s exclusive ReasonText™. ReasonText™ is automatically generated, client and recommendation specific text that documents why or why not a proposed action meets the licensing broker-dealers best interest requirements. Visit us at: https://www.capitalrock.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

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, Regulatory 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. Learn more.