Needs Analysis Surveys
Quest CE’s Firm and Individual Needs Analysis Surveys solicit information including products (retail and institutional), suitability, customer communications and supervisory responsibility. Once all of your representatives or you complete the survey, Quest CE will summarize the responses and return a comprehensive report and analysis of your firm’s/your individual needs and knowledge levels.
Use Quest CE’s proprietary Firm and Individual Needs Analysis Surveys to better address the needs of your organization and/or that of an individual to help you to design the perfect program best fit for your firm/individual needs.
If you would like to learn more about our Needs Analysis Surveys or demo the product please contact our sales department at 877-593-3366 or e-mail them at sales@questce.com.
Outside Business Activity Tracking
Quest CE’s Outside Business Activity (OBA) Solution is built directly into Renaissance, our proprietary Learning Management System. For students it’s an easy and efficient way to add new and edit old OBAs on the go. Our online based solution is available 24/7 and allows the student to confidently manage their OBA’s throughout the year.
Program administrators receive alerts every time a representative adds or edits a new OBA. This not only creates an instant audit trail, but also allows the administrator to confirm or deny new activities. Our built-in reporting capabilities allow your firm’s report to be instantly exported to Excel spreadsheets and sorted to fit your individual needs. OBA Tracking through Quest CE helps you to ensure your firms compliance with FINRA’s rules and regulations.
If you would like to learn more about our Outside Business Activity Tracking or demo the product please contact our sales department at 877-593-3366 or e-mail them at sales@questce.com.
Gifts and Entertainment Tracking
Quest CE’s Gifts and Entertainment Tracking Solution is built directly into our proprietary Learning Management System Renaissance. Registered representatives are given the ability to access and add new items to their profiles 24 hours a day 7 days a week. Compliance program administrators are instantly notified of new activity providing them with a complete picture of their representative’s activities and allowing them to approve or deny new Gift and Entertainment activities.
Our online solution is easy and intuitive for both representatives and administrators and ensures that your firm is in complete compliance with FINRA’s rules and regulations.
If you would like to learn more about Quest CE’s Gifts and Entertainment Tracking tool or to demo the product please contact our sales department at 877-593-3366 or e-mail them at sales@questce.com.
