New FINRA Enforcement Actions Course Released

MILWAUKEE –April 3, 2018– Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog.

The course, “Corporate Culture and Supervision- FINRA Enforcement Actions,” will discuss regulators’ expectations for creating and maintaining a culture that promotes compliance with securities regulations and company policies. The course covers some of the most repetitive and pertinent examination priorities from the past few years while providing related examples of enforcement actions taken by FINRA.

Course Topics Include:

  • Examination Priorities
  • Firm Culture, Conflicts of Interest and Ethics
  • Supervision, Risk Management and Controls
  • Technology, Cybersecurity and Data Quality
  • Anti-Money Laundering
  • Enforcement Actions
  • Guidance from Banking Regulations

For questions regarding this or other 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.