MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors” to its FINRA e-learning catalog.
This training is intended to assist firms in implementing the Senior Safe Act training requirements. As the required training must be specific to organizations and roles, this training by itself is not sufficient to satisfy the training requirements. This course will help securities firms and their associated persons detect and address financial exploitation of senior and vulnerable adult investors, provide a high-level overview of the regulatory framework around senior and vulnerable adult investor protection and reporting requirements, and serve as a resource for firms implementing the requirements of the Senior Safe Act.
Course Topics Include:
- Senior Safe Act
- Identifying Potential Financial Exploitation
- Escalating Within Your Firm and Reporting
- Privacy Concerns
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s FINRA course catalog, click here.
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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.
