MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Investment Advisor course, “Challenges Facing New CCOs,” to its e-learning catalog.
In any regulatory or economic environment, CCOs have a difficult job. New CCOs may feel overwhelmed by the complexity of their position, especially when clients and employees are being pulled in many directions as they face the new normal. This course is designed to help you deal with the challenges you face as CCO and the responsibilities that go hand-in-hand with the position. Along with giving an overview of the wide range of responsibilities of CCOs, we will touch on the applicable compliance rules and regulations.
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.