Quest CE Releases IA Course on Trading Practices

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

The course, “Trading Practices for Investment Advisers,” provides an overview of Rule 206(4)-7 of the Investment Advisers Act of 1940 requiring each investment adviser to adopt and implement written policies and procedures designed to prevent violations by the investment adviser or any of its supervised persons. Topics covered include soft dollars, directed brokerage, aggregation and allocation of trades, unauthorized trading policies, trade errors, as well as best execution and books and records requirements.

Course Agenda Includes:

  • Soft Dollars
  • Directed Brokerage
  • Aggregation and Allocation of Trades
  • Unauthorized Trading Policies
  • Trade Errors
  • Best Execution
  • Books and Records Requirements

For questions regarding this or other Investment Adviser courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Investment Adviser 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.