Quest CE to Host Webinar Series on Annual Compliance Meetings
MILWAUKEE – July 30, 2014 – With conflicting schedules, dispersed branch locations, and budget limitations, more and more firms are embracing on-demand technology to enhance the effectiveness of their Annual Compliance Meetings. Due to this growing demand, Quest CE, premier provider of insurance continuing education and FINRA firm element training, announced today that it will host a series of webinars to discuss the benefits of taking your firm’s Annual Compliance Meeting online.
In this webinar, Quest CE will clarify the impact FINRA’s new consolidated supervision rules will have on current Annual Compliance Meeting requirement, NASD Rule 3010(a)(7), review the necessary safeguards and conditions regarding the use of on-demand ACM technology, as well as provide guidance on how to maintain interactivity in an online format. Please join the discussion August 12 at 10am or August 14 at 2pm.
1. Clarifying FINRA Regulatory Notice 14-10
2. Defining On-Demand ACMs
a. Delivering Firm-Specific Objectives Online
b. Distributing Materials to Representatives
c. Automating Administration for Compliance
3. Meeting FINRA Guidelines through Customization
a. Applying Custom Content
b. Leveraging Multi-Media Options
c. Retaining Personal Interaction
The anticipated duration of this webinar is 45 minutes. If you or an associate is unable to attend the webinar series but would still like a demonstration/copy of the presentation, please contact our sales team at 877-593-3366 or email@example.com.
About Quest CE
For over twenty-five years, Quest CE has been the premier provider of Compliance Education to the financial services industry. In addition to offering Providership Administration and insurance continuing education (CE) for professionals holding insurance licenses and professional designations like the CFP, CPA, CLE, CIMA and CLU/ChFC designations, Quest CE also provides a complete spectrum of FINRA compliance training solutions including annually required Firm Element Training for registered representatives, on-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.
Serving more than 650 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 their competitors. Quest CE is the single source solution for organizations seeking training and compliance needs.