MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Compliance Issue Reminders for Institutional Representatives” to its e-learning catalog.
This course is designed to educate registered representatives who work with institutional investors about important compliance requirements and concerns. The course is divided into four sections that cover topics related to four key areas: Communication with Clients, Private Securities Transactions (Selling Away), Outside Business Activities (OBAs), and Institutional Suitability. The course uses situational scenarios as well as actual FINRA and SEC disciplinary actions to illustrate behaviors that may lead to violations and your firm policies and procedures.
Course Topics Include:
- Client Communications
- Private Securities Transactions
- Institutional Representatives
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.
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.