MILWAUKEE – February 14, 2013 – Quest CE, premier provider of insurance continuing education and FINRA firm element training, announced today the release of two new Firm Element courses. Authored by Quest CE’s team of industry professionals, the courses; Business Development Companies and Investment Adviser – Fiduciary Responsibilities, are currently available to firms looking to roll-out their 2013 firm element program.
Business Development Companies is an intermediate level course that discusses the specific statues, rules and guidelines that Business Development Companies must follow.
Course Topics Include:
- BDC regulation
- BDC registration
- Permissible investments by BDC’s
- Case studies
- Suitability considerations
Investment Adviser – Fiduciary Responsibilities is an intermediate level course that provides investment advisers with an understanding of their fiduciary duties, as well as how to incorporate that understanding into their decision-making and daily business operations.
Course Topics Include:
- Fiduciary Standard
- Conflicts of Interest
- Disclosure Requirement
- Inadequate Disclosures
- Fraudulent Acts of Omissions
- Fiduciary Liability and Prosecution
Quest CE authors 30 new courses every year based on current industry trends and hot-topics. To view the entire 2013 course catalog, or if you are interested in adding one of the following courses to your 2013 Firm Element Program, please contact a dedicated Account Executive at 877-593-3366 or email firstname.lastname@example.org.
About Quest CE
For over twenty-five years, Quest CE has been the premier provider of Compliance Education to the financial services industry. In addition to offering Providership Administration and insurance continuing education (CE) for professionals holding insurance licenses and professional designations like the CFP, CPA, CLE, CIMA and CLU/ChFC designations, Quest CE also provides a complete spectrum of FINRA compliance training solutions including annually required Firm Element Training for registered representatives, on-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.
Serving more than 535 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses their competitors. Quest CE is the single source solution for organizations seeking training and compliance needs.