Course Released on Conflicts of Interest and IAs

MILWAUKEE –November 29, 2017– Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element and Investment Adviser course to its e-learning catalog.

The course, “Conflicts of Interest and Investment Advisors,” discusses the most likely ways that conflicts arise for investment advisers and how to effectively manage and disclose them. Additionally, the course focuses on adhering to your firm’s Code of Ethics and identifying any conflicts of interest pursuant to Rule 206(4)-7.

Course Topics Include:

  • Conflicts of Interest
  • General Conflicts
  • Outside Business Activities
  • Gifts and Entertainment
  • Political Contributions
  • Personal Trading
  • Recordkeeping
  • Penalties for Failure to Disclose Conflicts

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.

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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.