MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog.
The course, “Ethical Issues Facing the Financial Services Industry,” begins with a look at ethical issues facing the industry and briefly defines ethical standards and their importance. The course then gives an overview of the regulatory requirements from FINRA and the SEC that are designed to promote ethical standards and provides examples of recent charges. The course concludes by demonstrating why rules and regulations alone are not enough to ensure ethical behavior.
Course Topics Include:
- The Ethics Problem
- What is Ethical Conduct?
- What Drives Unethical Behavior?
- Why Ethics Matter
- FINRA & SEC Regulation of Ethical Behavior
- Personal Securities Transactions
- Record Keeping Requirements
- Recent Violations
- Regulation Best Interest
- Going Beyond Disclosure and Regulation
For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail email@example.com. To view Quest CE’s Firm Element course catalog, click here.
About Quest CE
For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.
Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.