MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Books and Records: Turning the Page” to its Firm Element e-learning catalog.
This course is intended to reinforce the learning and develop a deeper understanding of the topics involved in books and records, focusing primarily on customer account applications, approval and maintenance of customer account records, and order ticket documentation. Case studies based on actual enforcement actions where the failure to create and preserve relevant books and records will also be reviewed. This course is intended for managers, supervisors, compliance staff, and those financial professionals that desire a deeper understanding of security industry books and records rules. The topics covered will be relevant to FINRA member broker-dealers, SEC-registered investment advisors, and dual registrants or affiliated firms in both categories.
Course Topics Include:
- Purpose of Books and Records Procedures
- Relevant Books and Records Rules
- Industry-Wide Concerns
- BSA, AML, and Beneficial Ownership Records
- Small Firm Considerations
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 advisors, 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.
