Three Pro Tips for the MLB’s New Compliance Officers
Following the recent COVID-19 outbreak within the Miami Marlins baseball [...]
14
09, 2020
17
08, 2020
SEC Highlights Risks to Firms Due to COVID-19
The SEC’s Office of Compliance and Inspections and Examinations (OCIE), [...]
15
07, 2020
SEC Releases Alert on Ransomware Attacks
The Securities and Exchange Commission’s (SEC) exam division is warning [...]
15
07, 2020
DOJ Edits Guidance for 2020 Compliance Programs
On June 1, 2020, the United States Department of Justice [...]
2
07, 2020
Quest CE Releases Course on Diversity and Inclusion
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
18
05, 2020
Five Myths about Taking your ACM Online
With so many companies still restricting live, in-person meetings and [...]
20
04, 2020
Tips to Maintain a *Remote* Culture of Compliance
During a crisis, the future outcome of your compliance program [...]
14
04, 2020
Social Media Guidance for Financial Professionals
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
31
03, 2020
Quest CE Offers Free Security Training/Support
MILWAUKEE – With COVID-19 restricting many employees to work from [...]
16
03, 2020
FINRA Urges Firms to Review Pandemic-Related BCP
Coronavirus seems to be impacting everything, which is why FINRA [...]
