[WEBINAR] Investment Advisor Industry Happenings

MILWAUKEE – April 25, 2017 – In the SEC’s most recent fiscal year, almost one in every five enforcement actions was against an investment advisor. This increased scrutiny comes as little surprise considering the SEC’s Division of Enforcement has an entire unit focused solely on bringing cases against investment advisors.

In this 25-minute webinar, Quest CE Manager of Sales, Jennifer Greene, will shed light on some of the most discussed topics among investment advisors today, as well as provide tips on what firms can do to better prepare for an SEC investigation.  Please join the discussion May 3, 2017 at 12PM.

Agenda:

  • States likely to issue new cybersecurity rules?
  • SEC to strengthen compliance of independent advisors
  • Top five advisor compliance failures
  • The OCIE evaluates effectiveness of multi-branch compliance programs
  • Your compliance sidekick: technology and training

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The seat limit per session is 100 participants. If you or an associate is unable to attend the webinar series but would still like a demonstration/copy of the presentation, please contact our sales team at 877-593-3366 or sales@questce.com.

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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