MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “Unauthorized Trading: Prevention, Detection, and Resolution” to its Firm Element e-learning catalog.
This new course equips representatives with the knowledge to identify, prevent, and properly respond to unauthorized transactions. Using real case studies and regulatory guidance, users will explore how such misconduct can lead to financial harm, reputational damage, and violations of key FINRA and SEC rules. Learners will gain practical strategies for spotting red flags, documenting client interactions, and escalating concerns through the proper channels.
This course focuses on three core topics: 1) Lessons Learned from Rep Misconduct, 2) Other Trading Misconduct to Avoid, and 3) Guarding Against Unauthorized Activity.
Course Topics Include:
- Identifying Unauthorized Trading
- Regulatory Rules & Best Practices
- Warning Signs of Unauthorized Trading
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
