MILWAUKEE, WI – Quest CE, a trusted provider of compliance training and tracking technology solutions, announced today the addition of a new course, “The SEC Custody Rule: Requirements and Safeguards,” to its Firm Element e-learning catalog.
Firm members gain an overview of the SEC’s Custody Rule and the safeguards that apply when an investment adviser firm has custody of client funds or securities. Learners explore how custody can arise, the role of qualified custodians, and additional safeguards that may apply in different situations. The course emphasizes recognition and escalation procedures that firm personnel should follow according to established firm policies. Through practical examples, course takers develop the awareness needed to maintain compliant custody practices. Designed for a broad audience, this course is appropriate for both financial professionals and general firm personnel seeking foundational custody knowledge.
This course focuses on three core topics: 1) Past Custody Rule Issues Highlighted by the SEC, 2) When the Firm or a Related Person Is the Qualified Custodian, and 3) Situations That Should Get Your Attention.
Course Topics Include:
- Custody Rule Fundamentals
- Safeguarding Client Assets
- Recognizing Custody Issues in Practice
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.
###
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.
