FINRA Course Identifies Financial Crime Red Flags
Quest CE today announced the addition of the new course, “Financial Crimes,” to its FINRA e-learning catalog. Read More
Quest CE Releases FINRA Advertising Rules Course
Quest CE today announced the addition of the new Firm Element course, “An Overview of FINRA Advertising Rules,” to its e-learning catalog. Read More
Social Media Guidance for Financial Professionals
Quest CE today announced the addition of the new Firm Element course, “Social Media for Financial Professionals: Creating Compelling and Complaint Content,” to its e-learning catalog. Read More
Tips to ‘Spring Clean’ Your 2020 Compliance Program
In our upcoming webinar, Quest CE’s Account Executive Manager, MacKenzie Nold, will walk through some helpful best practices to take stock of your current account and make any necessary changes, before rolling out your 2020 program. Read More
Quest CE Offers Free Security Training/Support
With COVID-19 restricting many employees to work from home, Quest CE is announcing that its newly published Firm Element course, “Security Best Practices for Remote Workers Amid COVID-19” will be available for free to any firm looking to educate their employees on how to maintain strong security practices while working outside of the office. Read More
Quest CE Releases Course on Transaction Reporting
Quest CE today announced the addition of the new Firm Element course, “Fixed Income Transaction Reporting,” to its e-learning catalog. Read More
Quest CE Adds Five Compliance Meeting Modules
Quest CE today announced the addition of five individual annual compliance meeting (ACM) modules and a new pre-built ACM package. The new modules will discuss some of today’s most relevant topics as identified by FINRA and other industry regulators. Read More
[Webinar] Best Practices to Amplify your Audit Process
In this webinar, Quest CE staff will leverage its experience working with 1,500+ financial services companies to share some best practices surrounding branch inspection programs. We’ll also use this time to discuss how automated technology can help reduce errors, spot patterns and proactively remediate risk at your firm. Read More
Quest CE Releases Course on the SECURE Act of 2019
Quest CE today announced that editions of the new course, "SECURE Act of 2019," were added to the Firm Element and Investment Advisor e-learning catalogs. Read More
Quest CE to Exhibit at the IAA Compliance Conference
Quest CE today announced that it will be exhibiting at the upcoming 2020 Investment Adviser Compliance Conference in Washington, D.C. Read More
