MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, announced the addition of the new Firm Element course, “Communicating with Clients in the Digital Age” to its Firm Element e-learning catalog.
This course delves into the complex world of off-channel communications, providing financial professionals with the knowledge and tools needed to navigate this challenging area. Participants will explore the definition, risks, and best practices for managing off-channel communications, including the use of personal devices and unmonitored applications. Through a series of interactive modules, learners will gain a deep understanding of the regulatory framework governing these communications, with insights into recent enforcement actions by bodies such as FINRA and the SEC.
Course Topics Include:
- Off Channel Communications
- Problems of Off Channel Communications
- Holding Firms and Employees Accountable
- Recent Enforcement Action
- Mobile Apps and Regulatory Oversight
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element 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.
