MILWAUKEE, WI – Quest CE, a trusted provider of compliance training and tracking technology solutions, announced today the addition of a new course, “Managing Conduct Risk in Institutional Relationships,” to its Firm Element e-learning catalog.
This course examines conflicts of interest and conducts risks that may arise within institutional business relationships. Learners explore how compensation pressure, relationship management, confidential information, gifts and entertainment, OBAs, and informal communications can create supervisory and regulatory concerns. The course emphasizes practical escalation, documentation, and supervisory expectations through real-world examples and scenario-based learning.
This course focuses on three core topics: 1) Institutional Relationships and Modern Conflict Risk, 2) Personal Incentives and Relationship Conflicts and 3) The Block Trade Call: Managing Confidential Information.
Course Topics Include:
- Conflicts of Interest
- Institutional Business
- Escalation and Supervision
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.
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About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisers, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.
