MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Corporate Culture and Supervision – FINRA Enforcement Actions,” to its e-learning catalog.
While the financial industry is everchanging, regulators continue to focus on corporate culture and its relationship to compliance practices. Through examinations, regulators like FINRA and the SEC continue to look for tangible evidence of a compliance culture in areas such as internal controls and risk management.
This course discusses regulators’ expectations for creating and maintaining a culture that promotes compliance with securities regulations and company policies. Furthermore, the course provides best practices for managing these unique challenges and supervising those dealing directly with the public, all while maintaining a culture of compliance.
Course Topics Include:
- Historical Examination Priorities
- Culture, Conflicts of Interest and Ethics
- Supervision, Risk Management and Controls
- Anti-Money Laundering
- Enforcement Actions
- Guidance from Banking Regulators
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.