FINRA Course Released on the AML Supervisor Role
The course, “AML – Supervisors: Understanding Your Role – Vol. 2,” discusses the obligations that supervisors have to ensure that their firm is in compliance with its AML program. Read More
Quest CE Releases Course on Back Office Operations
The course, “Back Office Functions and Operations,” focuses on the back office processes and the qualifications required by the individuals who contribute to, or perform these functions. Read More
Quest CE Releases Two New DOL Courses
Quest CE today announced the addition of two new Firm Element courses to its e-learning catalog. The course, “Department of Labor Fiduciary Rule: Eliminating Conflicts of Interest,” focuses on the DOL Fiduciary Rule and its effort to eliminate conflicts of interest in retirement investing. Read More
Course Released on Exemptions Under the DOL Rule
Quest CE today announced the addition of a new Firm Element course to its e-learning catalog. The course, “Available Exemptions Under the DOL Rule,” examines the exemptions that were amended or added under the DOL fiduciary rule. Read More
Quest CE Releases Course on Phishing Awareness
Quest CE today announced the addition of the new Firm Element course, “Phishing Awareness – The Human Factor of Security," to its e-learning catalog. Read More
Quest CE Releases Course on Senior Exploitation
Quest CE, today announced the addition of the new Firm Element course, “Senior Exploitation & Regulatory Concerns," to its e-learning catalog. The course discusses some of the major compliance concerns associated with today's aging population. Read More
Course Released on Retirement Investment Advice
The course, “Investment Advice for a Fee in Retirement Plans,” focuses on Retirement Plan Advisors and their role in assisting companies with choosing and managing their retirement plan offerings. Read More
Course Released on Non-Cash Compensation
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
Quest CE Offers Course on Communication Rule
The course, “Investment Advisors: Communication Compliance - SEC,” provides advisors with extensive information about how to properly advertise to the public while assuring compliance with the SEC’s communication rules. Read More
New Course Available on Net Unrealized Appreciation
Quest CE today announced the addition of the new Firm Element course, "Net Unrealized Appreciation," to its e-learning catalog. The course, “Net Unrealized Appreciation,” examines the potential benefits and regulatory requirements that are associated with NUA tax treatments. Read More
