MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, announced the addition of the new Firm Element course, “Client Suitability for the Investment Advisor – Vol. 2” to its Firm Element e-learning catalog.
This course is intended for broker-dealers, registered investment advisor firms, and all current or prospective Investment Advisors. The topic of the course, suitability, explores what that term means when recommending or initiating the purchase of a security for a client. FINRA and SEC regulations around suitability are covered. An important topic included in this course centers around customer investment portfolios. Coursetakers will learn about the predominant use of model portfolios as well as some proprietary versions. Additionally, the hot technology topic of artificial intelligence is discussed as it relates to the course topic and investments.
Course Topics Include:
- FINRA Rule 2111
- Reg BI and Suitability Rule 2111
- Determining Client Risk Profile
- Model Investment Portfolios
- Asset Management using Artificial Intelligence (AI)
- Suitability Regulation Enforcement
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.
