MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Consolidated Audit Trail (CAT),” to its e-learning catalog. This course visits the history of regulatory agency audit systems used to monitor the integrity and compliance of securities transactions. Learners will discover the details and evolution of audit processes through the lenses of regulatory bodies, including the SEC and FINRA.
The course includes historical and recent activity relating to the Consolidated Audit Trail. Additionally, the course includes related securities violations and criminal activity, particularly a case that inspired the development of CAT. Upon completing this course, learners should have a better understanding and appreciation for the people who work in and oversee the securities industry.
Course Topics Include:
- Agency Background
- Auditing Systems
- SEC Rule 613
- Consolidated Audit Trail (CAT)
- Regulatory Enforcement
- Flash Crash of 2010
- CAT Timeline
- COVID-19 Impact
- Security Concerns
- Current Status of CAT
For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. 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.
