MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Elements for an Effective Ethics and Compliance Program,” to its e-learning catalog.
This course is designed to cover the origins and foundations of ethics and compliance programs through the lens of the Federal Sentencing Guidelines for Organizations from the United States Sentencing Guidelines Commission. The course will explore the evolution of the guidelines and the key elements (commonly referred to as the “7 Elements”) to effective compliance programs. The course also covers two additional elements essential to effective ethics and compliance programs: ethical culture and risk assessments.
Course Topics Include:
- Compliance Program Background
- Federal Sentencing Guidelines for Organizations
- The 7 (+2) Essential Elements
- Written Standards and Procedures
- Executive Oversight & Program Ownership
- Reasonable Due Diligence
- Training, Education, and Communications
- Monitoring, Auditing, Hotlines
- Program Promotion Through Incentives and Discipline
- Adverse Event Response and Remediation
- Ethical Culture
- Risk Assessment
- Effective Ethics and Compliance Program
For questions regarding this or other Investment Advisor 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.