MILWAUKEE – 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.
What happens when disaster impacts every single broker-dealer and regulator at the same time? How can we respond, pivot, and ensure business goes on? The course, “Conducting Business in a Pandemic: BCP and Regulatory Guidance,” covers the Business Continuity Plan requirements for U.S.-based broker-dealers and the regulatory response from FINRA to the COVID-19 crisis in 2020.
Course Topics Include:
- Business Continuity Plan Requirements
- Mission Critical Systems
- Small Firm Templates and Case Studies
- History of FINRA/BCP and Pandemics
- BCP Testing for Pandemics
- BCP Notifications
- COVID-19 Regulatory Guidance
- Regulatory Operations and Guidance
- Regulatory and Information Notices
- FINRA FAQs
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.
