Investment Advisor Course: Custodial Relationships

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.

The course, “Anti-Money Laundering: Regulatory Impact of Custodial Relationships with Investment Advisors,” focuses on high level anti-money laundering concepts, AML program implementation at custodians, and the regulations associated with detecting and monitoring suspicious activity. At the end of this course, you will have a better understanding of Customer Identification Programs, OFAC Sanctions Programs, Foreign Shell Banks, Due Diligence Programs, and the role the investment advisor can play in protecting assets from money laundering or criminal activity.

Course Agenda Includes:

Anti-Money Laundering
Regulatory Framework
Customer Identification Programs
Customer Due Diligence Rule
Beneficial Ownership
Customer Identification and Verification
OFAC Sanctions Programs
Foreign Shell Banks and Due Diligence Programs
Suspicious Activity Monitoring and Reporting
Information Sharing with Law Enforcement and Financial Institutions

For questions regarding this or other Investment Adviser courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Investment Adviser 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.