Quest CE Offers Course on Whistleblower Compliance

MILWAUKEE – January 6, 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, “Whistleblower Rule Compliance” provides background of the SEC’s Whistleblower Incentive Program, highlights recently enforced disciplinary and retaliation cases and provides recommendations for preventing non-compliance with SEC Rule 21F-17.

Course Topics:                            

  • Background of the Whistleblower Program
  • Rule 21F-17
  • Who Qualifies as a Dodd-Frank Whistleblower?
  • A Historic Year for Violations – By the Numbers
  • Restrictive Agreements
  • Anti-Retaliation Enforcement Actions
  • Preventative Steps for Remediating Risk
  • SEC Examinations

For questions regarding this or other Firm Element courses, please contact a Quest CE account representative 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.