The Compliance Digest

Get expert compliance tips and up-to-date regulatory news.

Eight Tips for Running a Successful Webinar CE Event

Whether you’re one of the many companies already capitalizing on webinar CE, or are simply looking for more information on how to get started, this article is your all-access pass to helping you get the most out of this newly sought-after delivery format.  Read More

Level Up your Marketing Strategy with Online CE

In this article, we'll tell you how you can tie continuing education into your content marketing materials to easily convert some of your web traffic.
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Five Myths about Taking your ACM Online

If you’re one of these people thinking about taking your live meeting online, but are a bit hesitant, this article helps dispel some common misconceptions we’ve encountered when firms are considering the transition to our on-demand compliance meeting solution. Read More

The Top 10 Firm Element Courses of the Year

We were curious to know which of our Firm Element courses are leading the pack through the first few months in 2020. In this article, we feature the top 10 courses that are being delivered so far this year. Read More

Don’t Fall Victim to this FINRA Phishing Scam

FINRA is warning firms to beware of a recent phishing scheme that involves fraudulent emails that claim to be from FINRA officers. Read More

Amp Up Your Digital Strategy with CE Voucher Codes

As businesses continue to shift during this time, so too have many of their marketing and client relationship strategies. In this article, we discuss how some companies are working digital CE voucher codes into their continuing education programs as a way to provide relief and stay connected with advisors. Read More

Tips to Maintain a *Remote* Culture of Compliance

In this article, we offer three tips to strengthen the foundation of your culture of compliance, while working remote. Read More

CE Council Releases Q1 2020 Firm Element Advisory

Find out which regulatory topics the Council on Continuing Education (CE Council) recently published in its Q1 2020 Firm Element Advisory (FEA).
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Continuing Education Guidance in a Remote World

When unforeseen events arise, “business as usual” can be thrown for a loop. So in a time when organizations across the world are adjusting to remote work, it’s become even more important for companies to adopt digital strategies to stay connected with their customers. Read More

What you Need to Know about FINRA’s CE Proposal

If you're involved in CE oversight at your firm, the following article summarizes FINRA's proposal to enhance it's continuing education program for securities professionals. Read More