Under FINRA Conduct Rule 3010, all firms are required to hold an annual compliance with all registered personnel.
Conduct Your Annual Compliance Meeting On-Demand with Quest CE
- Our Online Questionnaire automates the Q&A Process
- Deliver Annual Compliance Meetings On-Demand over the Internet
- Online Q&A and Feedback Board are provided for Post Meeting Compliance
Quest CE’s Online Annual Compliance Solution provides an innovative online approach to administering FINRA’s annual compliance meeting requirement and other online events, that allows firms to efficiently provide online registration, delivery, and tracking of meeting attendance. Quest CE’s On-Demand Learning Platform enables firms to hold pre-recorded meetings online while eliminating costly time and travel expenses associated with live meetings.
Features:
- Automated Registration System
- Automated Email Notifications
- Online Meeting Environment
Benefits:
- No Travel Expenses
- No Downtime for Travelers
- No Conference Call Fees
Quest Offers Complete Compliance with FINRA Rule 3010
- Click as you go format. Attendees just don’t let the presentation play in the background
- Detailed completion reports for managers
- Tracking attendance time and date
- Unique ID and password for each attendee
- Required attendance attestation at the end of the meeting
- Q & A system that allows attendees to post a question at any point during the meeting and see other questions/answers posted by other attendees.
Need More Information?
To find out more about Quest CE’s Complete Firm Element Solution contact our sales department at sales@questce.com or call 877-593-3366.
