Quest CE Releases Course on Financial Exploitation

MILWAUKEE – November 9, 2017– Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog.

The course, “Financial Exploitation of Specified Adults & Customer Account Information (FINRA Rules 2165 & 4512),” discusses new FINRA Rule 2165, which intends to protect “specified adults,” such as seniors. The new Rule, as well as related amendments to books and records requirements in Rule 4512, imposes new requirements on FINRA member firms designed to avoid and mitigate financial exploitation of seniors and other vulnerable adults. The course also lists several red flags that registered representatives need to look out for and tips on how to document their concerns.

Course Topics Include:

  • Financial Exploitation Background
  • Financial Exploitation of Specified Adults & Customer Account Information
  • FINRA Rule 4512 – Customer Account Information
  • Temporary Hold on Disbursements permitted by Rule 2165
  • Supervision Obligations Under Rule 2165
  • Diminished Capacity
  • Red Flags of Financial Exploitation

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.