MILWAUKEE – January 14, 2021– Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new course to its FINRA e-learning catalog.
The course, “FINRA: Information Barriers – Protecting MNPI and Preventing Insider Trading,” is designed to help securities industry professionals understand information barriers as they relate to the safeguarding of material nonpublic information (MNPI) and the prevention of insider trading. Through review of relevant laws and regulations, learners are reminded of the foundational concepts of information barriers and review some regulatory obligations of firms and associated persons regarding MNPI. Risks of information barrier failure and potential risk control strategies are explored through scenarios involving research and investment banking personnel.
Learning Objectives:
- Defining Information Barriers
- Examples of Different Types of Information Barriers
- Compliance with Obligations Regarding Information Barriers;
- Regulatory Obligations Relating to MNPI and its Safeguarding
- Detecting and Preventing Illegal Insider Trading
For questions regarding this or other FINRA Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Firm Element course catalog, click here.
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About Quest CE
For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.
Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.
