MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “A Wholesaler’s Guide to Ethical Compliance,” to its Firm Element e-learning catalog.
This course equips registered representatives in wholesaler roles with the tools to navigate today’s evolving compliance landscape. Learners will explore key FINRA rules related to communications, gifts and entertainment, product education, and the influence of Reg BI. Through interactive scenarios, the course reinforces ethical decision-making and shows how wholesalers can build strong advisor relationships while staying aligned with regulatory expectations in every interaction.
This course focuses on three core topics: 1) Your Regulatory Role as a Wholesaler, 2) Communications and Marketing Oversight, and 3) Product Education, Reg BI Influence, and Suitability Support
Course Topics Include:
- Gifts and Entertainment
- Ethical Sales Practices
- Controls and Next Steps
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 advisors, 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
