MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Off-Channel Communications” to its Firm Element e-learning catalog.
This course is designed to educate registered representatives of both broker-dealers and investment advisers about the compliance risks associated with off-channel communications. Despite the numerous regulatory actions taken against firms and their employees, and the ever-increasing level of monetary penalties assessed, unmonitored business-related off-channel communications continue to plague the industry. And regulators continue their ongoing crackdown on these practices. The course uses a situational scenario, as well as actual FINRA and SEC disciplinary actions, to illustrate behavior that may lead to regulatory violations and subsequent fines and sanctions.
Course Topics Include:
- What Are Off-Channel Communications?
- Regulatory Sweeps
- Recent Regulatory Actions
- Firm Best Practices to Mitigate Regulatory Risk
- Mobile Apps
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.