In this 45-minute webinar, we’ll spotlight both FINRA and the SEC’s top examination priorities for the year, highlight overlapping principles, provide strategies for building a culture of compliance and showcase upcoming trends. Please join the discussion Wednesday, March 16th at 10am or 2pm.
Cybersecurity is one of the most significant issues facing the financial services sector. Each day, the volume and level of sophistication of security incidents continues to rise. As a result, it’s important that financial institutions enhance and refocus their efforts to address cyber risk. Read More
Quest CE is honored to announce that after surveying more than 135,600 female employees, Great Place to Work® and Fortune have recognized Quest CE as one of the 100 Best Workplaces for Women in 2015, ranking #20 overall. Read More
Quest CE announced today the addition of a new Firm Element course to its e-learning catalog. Read More
The intermediate level course, “Fixed Income: Rising Interest Rates” explores factors related to a rising rate market environment, effective ways to manage rising-rate risk factors, and investment options for fixed income investors during rising rate market conditions. Read More
Quest CE today announced the addition of a new Firm Element course to its e-learning catalog. The new course, “Anti-Money Laundering for Supervisors” provides an overview of money laundering and AML programs, followed by a discussion of AML red flags, from the point of view of a supervisor. Read More
There are so many changes taking place in legislation and regulation today that, at times, it feels near impossible to stay up-to-date with the latest industry developments. Read More