MILWAUKEE – February 24, 2017 – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog.
The course, “NFA Ethics – Vol. 2,” is designed to help National Futures Association (NFA) registered firms fulfill their ethics training obligations under NFA Compliance Rule 2-9. This course provides an awareness of the laws, regulations, rules and ethical standards that govern the commodity futures industry in the United States.
Course Topics Include:
- Introduction: Development of Regulations and Regulatory Structure
- Just and Equitable Principles of Trade
- Acting in a Client’s Best Interest
- Obtaining and Assessing Customer Suitability Information, and Disclosing Risk
- Disclosure of Material Information to Customer
- Conflicts of Interest
- Supervisory Systems and Internal Controls
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.
