MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “FINRA and SEC Examination Priorities for 2022,” to its e-learning catalog.
As a way to increase transparency between regulators and the registered firms and advisors they oversee, the SEC and FINRA release their annual examination priorities letters at the beginning of each year. These letters serve as a great resource for registered firms and members as they work to meet their annual compliance obligations. This course will provide a general overview of what was included on both the SEC and FINRA examination priorities letters while highlighting the specific areas which will receive the most attention in 2022, including Anti-Money Laundering, Cybersecurity, Regulation Best Interest, Special Purpose Acquisition Companies (SPACs), ESG Investing, and more.
Course Topics Include:
- Anti-Money Laundering
- Disclosing OBAs & PSTs
- Maintaining Proper Books and Records
- Regulatory Events Reporting
- Trusted Contact Persons
- Customer Account Information Risks
- Regulation Best Interest (Reg BI)
- Communications with the Public
- Private Placements
- Best Execution
- Special Purpose Acquisition Companies (SPACs)
- Mobile Apps and Digital Platforms
- ESG Investing
- Complex Products
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.