Quest CE Releases AML Course on Bank Affiliated Broker-Dealers
MILWAUKEE – November 10, 2014 – Quest CE, premier provider of insurance continuing education and FINRA Firm Element training, announced today the addition of a new Firm Element course to its e-learning catalog.
Authored by FINRA, the course, “FINRA AML – Bank Affiliated Broker-Dealers: Understanding Your Role – Vol. 1” uses real-life scenarios to help registered representatives at bank-affiliated broker-dealers identify unusual activity in customer accounts that could indicate potential money laundering and identify what steps to take when such suspicion arises.
Topics covered include:
- Introduction and Background
- AML and Your Customer
- Red Flags
- Scenario 1 – Closing a Suspicious Account
- Scenario 2 – Cash Deposits
Through an exclusive partnership with FINRA, Quest CE is an authorized reseller of FINRA’s complete Firm Element course library. Additionally, Quest CE offers over 350 Firm Element courses to satisfy FINRA’s annual continuing education requirement.
To view both FINRA’s and Quest CE’s complete Firm Element course catalogs, click here. For questions regarding this or other Firm Element course options, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail 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 , 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, Political Contributions Tracking, Branch Audit Management and Licensing and Registration.
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 that of our competitors. Quest CE is the single source solution for organizations seeking training and compliance needs. For more information on Quest CE, visit http://www.questce.com.