Quest CE Adds Five Compliance Meeting Modules

MILWAUKEE – March 20, 2020 – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of five individual annual compliance meeting (ACM) modules and a new pre-built ACM package.

As required by FINRA, registered representative must participate in a minimum of one meeting each year that discusses compliance matters relevant to the representative and/or the member firm. The five new compliance meeting modules will discuss some of today’s most relevant topics as identified by FINRA and other industry regulators. The new modules include:

     –  Anti-Sexual Harassment Training
     –  Cybersecurity for Registered Representatives
     –  Senior Exploitation and Regulatory Concerns
     –  Regulation Best Interest (Reg BI) and Associated Materials
     –  Best Execution and Debt Mark-Ups

Each individual compliance meeting module provides an overview of the topic at hand and offers additional regulatory insight and concerns. Additionally, the online learning includes live, studio-recorded audio, knowledge checks and engaging interactivity.  If desired, firms can choose to mix and match three to four individual modules to create a comprehensive meeting tailored around their company’s compliance goals.

For firms who wish to offer a compliance meeting that covers an array of today’s most pertinent regulatory topics, the new pre-built training package, “Annual Compliance Meeting: FINRA Hot Topics 2020,” includes each of the following modules:

     –  Senior Exploitation and Regulatory Concerns
     –  Regulation Best Interest (Reg BI) and Associated Materials
     –  Best Execution and Debt Mark-Ups
     –  Outside Business Activities and Private Securities Transactions Vol. 2

For questions regarding individual and pre-built annual compliance meeting modules, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Annual Compliance Meeting 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