In our upcoming roundtable discussion, we’ll be addressing current compliance challenges first-hand with several industry experts. Join us to hear the perspectives of our three panelists as they tackle topics such as, the CCO’s role amid the COVID-19 pandemic, observations from Reg BI, and how they’re currently tackling internal branch investigations. Read More

In our upcoming webinar, we’ll engage with the audience to get a pulse on how financial firms are handling the transition to remote work while managing their day-to-day compliance processes. Read More

Quest CE is excited to announce it will be attending this year’s National Society of Compliance Professionals (NSCP) Annual Conference in Baltimore, Maryland this October 21-23, 2019. Read More

Quest CE today announced the addition of the new Firm Element course, “Customer Due Diligence (CDD) Rule,” to its e-learning catalog. Read More

Spring is the perfect time to freshen up your Quest CE account - especially if you’re preparing to roll-out your internal training program in Q2/Q3. That’s why we're hosting a special webinar to share “tips and tricks” to help launch your 2019 training program with confidence. Read More

Quest CE introduced today a new disclosure service to assist firms in tracking corporate communications, as required by FINRA Rule 3110(b)(4): Review of Correspondence and Internal Communications. Read More

Quest CE today announced the addition of the new Firm Element course, “General Data Protection Regulation (GDPR)," to its e-learning catalog. Read More

Quest CE today announced the addition of the new a course, "Annual Compliance Reminders for Registered Representatives - Vol. 8," to its FINRA e-learning catalog. Read More

Quest CE is excited to announce its upcoming attendance at the 2017 National Society of Compliance Professionals (NSCP) conference in Washington, DC, October 17-18, 2017. Read More

The course, “Treatment of Non-Cash Compensation,” provides an overview of non-cash compensation and the various rules that are associated with these types of offerings. Read More