Course Released on AML for Investment Advisers

MILWAUKEE –January 25, 2018– Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new course to its e-learning catalog. This course will benefit registered investment advisers (RIAs) as well as broker-dealers who are looking to increase their knowledge on anti-money laundering (AML) protocols.

The course, “Anti-Money Laundering for Investment Advisers,” discusses the proposed AML rules that are geared towards investment advisers. These rules are intended to fix weaknesses in the financial system that currently allows criminals to use RIAs to exploit the financial system and hide their illicit funds. The course also includes highlights of the major features of the proposed rule and covers the implications that the rule will have on investment advisers.

Course Topics Include:

  • Background & General Overview
  • Relevant Legislation
  • Overview of the Proposed Rule
  • Changes to the Definition of the “Financial Institution”
  • Written AML Program Requirement Under Proposed Rule
  • Suspicious Activity Reporting and Monitoring Requirement
  • Provisions Not Required Under the Proposed Rule
  • Takeaways

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. To view Quest CE’s AML course catalog, click here. 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.