MILWAUKEE, WI – Quest CE, a trusted provider of compliance training and tracking technology solutions, announced today the addition of a new course, “Understanding Special Purpose Vehicles (SPVs) and Private Placements” to its Firm Element e-learning catalog.

This course provides firm members with an overview of Special Purpose Vehicles (SPVs), including how SPVs may be used in private placement offerings involving investors. The course also covers common structures, regulatory considerations, due diligence concerns, investor suitability, disclosures, conflicts of interest, and Reg BI. Participants explore practical considerations associated with reviewing, discussing, and recommending SPV investments offered through private placements.

This course focuses on three core topics: 1) Regulatory Framework for SPV Offerings 2) Potential Due Diligence Concerns in SPV Offerings and 3) Investor Suitability & Recommendation Consideration.

Course Topics Include:   

  • SPV Offerings
  • Disclosure Requirements
  • Private Placements

For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.

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About Quest CE  

For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisers, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.

Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.