MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Investment Advisor course, “Alternative Investment Compliance Issues for RIAs,” to its e-learning catalog.
This important course is intended for Investment Adviser Representatives (IARs) and Chief Compliance Officers (CCOs) who utilize alternative investments in their business model. It provides practical advice on how Registered Investment Advisers (RIAs) can evaluate alternative investments and determine if they are the right choice for their clients.
Advisers will receive guidance on how to conduct due diligence of alternative investments and their managers. In addition, the course will discuss the Securities and SEC’s observations regarding the due diligence practices of certain RIAs that manage or recommend alternative investments. It will also identify the red flags that advisers should watch out for when evaluating alternative investments and their managers.
Course Topics Include:
- Alternative Mutual Funds
- Advantages and Disadvantages
- Accredited Investor: Defined
- Due Diligence
- SEC Observations
- Deficient Policies and Procedures
- Code of Ethics Issues
- Are Alternative Investments the Right Choice?
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.