The Compliance Digest

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

10 FAQs on How to Handle Customer Complaints

In this article, we’ll highlight some frequently asked questions when it comes to identifying and reporting customer complaints. 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

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

10 Quest CE Reports you Should be Using

At Quest CE, we’re big believers in having great reports. Organizing your data in a way that allows you to see what’s important at the time you’re looking at it, is crucial for compliance. To help aid in this process, we wanted to share some of our favorite system reports, show you where to find them and explain what makes them so valuable. Read More

The 25 Worst Passwords of 2017

For the seventh consecutive year, SplashData announced its annual "Worst Passwords List," highlighting the insecure password habits of today's internet users. Once again, "123456" and "password" maintained top positions in the number one and two spots, while "starwars," held onto the number sixteen spot as the movie, Star Wars: The Last Jedi was released. Seems as though people drew inspiration from a galaxy far, far away to protect their data. Read More

Quest CE Releases Online Knowledge Base Center

In today’s connected world, nobody simply “wants” easy access to helpful information. We demand it. Heck, we expect it. That’s why we’re excited to add a Knowledge Base Center to our compliance management system, Renaissance. Read More

Halfway Through the Year, Halfway to Compliance?

This article walks you through great tips on how to prioritize work and meet those end-of-year compliance deadlines. Read More

How to Keep Your Compliance Resolutions

For many of us, New Year’s resolutions are grandly made and easily broken. Why? Because a resolution is just that – a decision. To make actual change in your personal or professional life, you need a lot more than a decision, you need a plan. Read More

How to Make Your Compliance Message “Stick”

In today’s world of information overload, you need to grab your readers’ attention by making your communication “stick.”  This is especially important in our industry, where the follow through on certain communications can be the difference between compliance and non-compliance. To help out, consider the following key points to make your communications more effective and “stick” with its intended audience. Read More