MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Investment Suitability for Clients,” to its e-learning catalog.
When opening a new client account, a financial professional must obtain the client’s personal information and use it to determine the appropriate investments for the client’s needs. This course explains how to determine the suitability of the various investments for different clients and examines the risk characteristics associated with an investment company portfolio. The course additionally discusses the obligations the financial professional has to clients under Regulation Best Interest (Reg BI) and the SEC rules designed to safeguard investors and standardize standards of conduct for financial professionals.
Course Topics Include:
- Suitability Standards
- Regulation Best Interest (Reg BI)
- Reg BI Obligations
- Investment Suitability: Objectives
- Current Income and Preservation of Capital
- Growth of Invested Capital
- Financial Status of Clients
- Income and Expenses
- Net Worth
- Insurance Needs
- Tax Status
- Risk Tolerance of Clients
- Risk Characteristics
For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Firm Element course catalog, click here.
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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.
