The CCO’s Guide to Building an Effective Firm Element Program for 2025
Recent FINRA examination findings show that many firms struggle with [...]
14
03, 2025
14
03, 2025
Fintech Broker-Dealer Hit With $29.75 Million Settlement
A prominent fintech broker-dealer has been hit with a significant [...]
14
03, 2025
Ethical AI Use in Finance from a Compliance Perspective
Compliance officers are increasingly facing the challenge of overseeing artificial [...]
14
02, 2025
The $11M Cost of Failed Supervision
A recent FINRA arbitration case resulting in over $11 million [...]
14
02, 2025
Navigating FINRA’s 2025 Exam Priorities
FINRA's latest Regulatory Oversight Report signals significant shifts in regulatory [...]
10
02, 2025
Quest CE to Exhibit at 2025 IAA Compliance Conference
MILWAUKEE, WI – Quest CE, a leading provider of compliance [...]
7
02, 2025
Quest CE Announces New AML and Evolving Threats Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
24
01, 2025
Milwaukee’s ‘Best and Brightest’ Honor Awarded to Quest CE for 2025
Milwaukee, WI- January 24, 2025- Quest CE, a leading compliance [...]
18
11, 2024
SEC Examination Priorities for 2025: Key Areas of Focus Revealed
The SEC's Division of Examinations has released its examination priorities [...]
12
11, 2024
NASAA’s Memo on End of Year IAR CE Processing
The North American Securities Administrators Association (NASAA) has released important [...]
