Quest CE Releases Advertising Guidelines Course

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

Investment Advisers have a complex web of guidelines and regulations to navigate when it comes to communicating with the public, potential investors and existing clientele. In the new course, “Advertising Guidelines for Investment Advisers,” users will be reminded of the regulations that surround advertising while learning some tips and best practices on how to deal with these types of communication. Additionally, the course will cover GIPS standards, federal enforcement actions, regulatory organization guidelines and more.

Course Agenda Includes:

  • Advertising Guidelines for IAs
  • Regulations
  • SEC Rules Relating to Communication
  • Federal Enforcement Actions
  • NASAA Model Rules
  • FINRA for Hybrid Advisers
  • GIPS Guidance and Standards
  • Certified Financial Planner Guidelines
  • Advertising Disclosures
  • Best Practices for RIA Advertising Compliance

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.