Quest CE Releases Examination Priorities Course
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.
After the release of the SEC and FINRA examination priorities letters, it’s recommended that firms use these as guidelines when creating their compliance plan for the year. While regulators plan to focus a majority of their attention on recurring issues, there are a handful of developing risks for firms to pay special attention to in 2019. In the course, “FINRA and SEC Examination Priorities for 2019,” we’ll summarize the SEC and FINRA’s recently released examination letters, discuss any changes to be expected in 2019 and provide strategies for preparing for an onsite examination.
Course Agenda Includes:
- Overview of the SEC’s 2019 Exam Priorities
- Changes by the Numbers
- Program Accomplishments
- New Areas of Focus for 2019
- Disclosure of Fees and Expenses
- Conflicts of Interest
- Senior Investors
- Portfolio Management and Trading
- Digital Assets
- Overview of FINRA’s 2019 Monitoring and Exam Priorities
- Supervision of Digital Assets Business
- Online Distribution Platforms
- Sales Practice Risks
- Customer Due Diligence and Suspicious Activity Reviews
- 2018 FINRA Disciplinary Actions
- Pre-Examination Tips
For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail firstname.lastname@example.org. To view Quest CE’s Firm Element course catalog, click here.
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.