Listen, learn and transform the ideas of our clients into truly superior products and services. That’s the goal we set when we launched the User Advisory Group webinar series at the start of 2019, and that’s the mantra we’ve followed to get our system to where it is today. Read More

To kick off 2019, we launched a new Quest CE User Advisory Group intending to better communicate with our client network, gather valuable feedback around our products and make improvements along the way. Read More

This article will breakdown the rule as it affects the employee, the member firm and the external financial institution while explaining how third party vendors can help simplify the outside account management process. Read More

While many of 2019’s focus areas are largely the same as in 2018 (sales practice risks, senior investors, cybersecurity, etc.), FINRA announced it is shifting its focus to include three new areas of concern. Read More

For the seventh consecutive year, SplashData announced its annual "Worst Passwords List," highlighting the insecure password habits of today's internet users. Once again, "123456" and "password" maintained top positions in the number one and two spots, while "starwars," held onto the number sixteen spot as the movie, Star Wars: The Last Jedi was released. Seems as though people drew inspiration from a galaxy far, far away to protect their data. Read More

In today’s connected world, nobody simply “wants” easy access to helpful information. We demand it. Heck, we expect it. That’s why we’re excited to add a Knowledge Base Center to our compliance management system, Renaissance. Read More

Firm Element Continuing Education: who needs it? Why do we need it? And what’s involved in the training process? These are the common questions that broker-dealers deal with on an annual basis. Read More

As part of a firm’s annual obligations, firms must conduct an annual compliance meeting for all supervised representatives. These required meetings serve as a way to keep registered representatives current on changing compliance requirements or changes in the firm while addressing current and impending compliance training responsibilities. Read More

In case you missed it, today is #NationalSocialMediaDay. In celebration of this #hashtag holiday, we’re highlighting a few of our most popular ‘Social Media’ and ‘Communications with the Public’ courses. Read More

As your firm’s Chief Compliance Officer, it’s crucial for you to make sure your firm is ready to comply with the new regulation and that your representatives are prepared to act in their clients’ best interest. Read More