What lessons can we bestow on the MLB's new compliance officers? In this article, we share several truths to running a successful compliance program. Read More

The SEC has issued a risk alert on the COVID-19-related risks, issues, and challenges faced by investment advisors and broker-dealers. Read More

This article summarizes the DOJ's recently edited “Evaluation of Corporate Compliance Programs” (2020 Guidance). Read More

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

California’s attorney general has released “redlines” to its Consumer Privacy Act, which holds an enforcement date of July 1, 2020. Read More

The California consumer privacy law takes effect on January 1, 2020. In this article, we discuss who it affects, key provisions of the act and ways your firm can prepare. Read More

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

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

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

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