Key Takeaways from the 2025 IAA Compliance Conference
This March, our Quest CE team had the opportunity to [...]
28
03, 2025
28
03, 2025
Quest CE Announces Sexual Harassment Prevention Training for IL
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
17
03, 2025
FINRA Enforcement Patterns Emerge in 2024 Sanctions Study
Eversheds Sutherland has released its annual analysis of FINRA disciplinary [...]
14
03, 2025
The CCO’s Guide to Building an Effective Firm Element Program for 2025
Recent FINRA examination findings show that many firms struggle with [...]
14
03, 2025
Fintech Broker-Dealer Hit With $29.75 Million Settlement
A prominent fintech broker-dealer has been hit with a significant [...]
14
03, 2025
Ethical AI Use in Finance from a Compliance Perspective
Compliance officers are increasingly facing the challenge of overseeing artificial [...]
10
03, 2025
Quest CE Announces New Due Diligence & Best Interest Standards Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
4
03, 2025
Quest CE Introduces Split Billing Feature for Seminar Management
Quest CE, a leading provider of compliance training and tracking [...]
4
03, 2025
Quest CE Announces New FINRA & SEC Examination Priorities for 2025 Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
14
02, 2025
The $11M Cost of Failed Supervision
A recent FINRA arbitration case resulting in over $11 million [...]
