An Introduction to the Investment Advisor Industry
MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Investment Advisor course to its e-learning catalog.
As a newly registered financial advisor, it’s important that you familiarize yourself with several policies and procedures prior to launching your business. Much of what you need to abide by as a financial advisor is detailed in the Investment Advisers Act of 1940. The course, “Introduction to the Industry for Investment Advisors,” is designed to help you understand the compliance obligations in these provisions and provides several resources from the Securities Exchange Commission (SEC) to help you comply with these rules and laws.
Course Agenda Includes:
– Your Role as a Fiduciary
– Adopting Appropriate Policies and Procedures
– Preparing and Filing Reports with the SEC
– Providing Clients with Written Disclosure Statements
– Code of Ethics
– Insider Trading Procedures
– Maintaining Books and Records
– Advertising your Services
– Soliciting Clients
– Custody of Client Funds & Securities
– Disclosing Disciplinary Information
– Choosing a Method of Compensation
For questions regarding this or other Investment Adviser courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail firstname.lastname@example.org. To view Quest CE’s Investment Adviser course catalog, click here.
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.