MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced the addition of it’s new course, “Private Placements: Due Diligence and Best Interest Standards” to its Firm Element e-learning catalog.
Private placements offer attractive investment opportunities with unique risks, prompting this course to provide securities professionals with guidance on due diligence and compliance with FINRA/SEC standards. Participants will learn to evaluate issuer credibility, financial stability, and identify red flags like unrealistic returns or conflicts of interest. Completing this course equips financial professionals to make informed private placement recommendations that protect investors and meet regulatory expectations.
This course focuses on three core topics: 1) How Best Interest Obligation Influence Private Placement Recommendations, 2) Issuer and Management Evaluation and 3) The Four Core Obligations Under Reg BI.
Course Topics Include:
- Strengthening Your Investigation
- Asset and Investment Claims Verification
- Business Prospects and Financial Position
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.
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About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com
