The Compliance Digest

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

Clients Pave the Way to QuestTrak Enhancements

Listen, learn and transform the ideas of our clients into truly superior products and services. That’s the goal we set when we launched the User Advisory Group webinar series at the start of 2019, and that’s the mantra we’ve followed to get our system to where it is today. Read More

Top Eight Client-Inspired System Enhancements

To kick off 2019, we launched a new Quest CE User Advisory Group intending to better communicate with our client network, gather valuable feedback around our products and make improvements along the way. Read More

CE Council Releases Q2 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) publishes the Firm Element Advisory (FEA) to highlight current regulatory and sales practice topics for possible inclusion in Firm Element training plans. Read More

Four Tips to Deliver a Stellar Compliance Meeting

Have you ever rolled out your annual compliance meeting and when it was all over and done with you said to yourself . . .  “I wish that went better”? Never fear.  The goal of this article is to give you specific, actionable ways to prepare for the delivery of your best annual compliance meeting ever. Read More

firm-element

Best of 2019: Our “Top 10” Firm Element Courses

Have you ever been curious about which of our courses are most popular among firms today? In this article, we pull back the curtain by featuring our top 10 most delivered Firm Element courses in 2019, thus far. Read More

Reg BI Gets “Green Light” from SEC

Ready or not – here it comes. On June 5, 2019, the SEC held a meeting which resulted in the adoption of the long-debated proposal called Regulation Best Interest (Reg BI). Read More

Firm Fined $50M for Stolen Data & CE Exam Fraud

KPMG has agreed to pay a $50 million penalty and hire an independent consultant to assess the firm's ethics and integrity controls as well as its compliance. Read More

One Year In: Regulators Recap Senior Safe Act

In acknowledgment of the one-year anniversary of the passage of The Senior Safe Act, the SEC, NASAA, and FINRA have issued a fact sheet to help raise awareness on how the Act’s immunity provisions work. Read More

Tips/Tricks for Managing Outside Brokerage Accounts

This article will breakdown the rule as it affects the employee, the member firm and the external financial institution while explaining how third party vendors can help simplify the outside account management process. Read More

DOJ Shares How it Evaluates Compliance Programs

When designing a compliance and ethics program, organizations want one that not only will prevent, find and fix problems, but also one that will meet the US Department of Justice’s stringent standards if an incident occurs. To help firms do this successfully, the DOJ recently released, quite exactly, what it considers when evaluating the effectiveness of a company’s compliance program. Read More