MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Alternative Mutual Funds,” to its e-learning catalog.
This course starts off with a high-level overview of mutual funds, which leads into a comprehensive discussion about alternative mutual funds. The course shares several examples of alternative investments found in alternative mutual funds. After providing an understanding of the assets that are involved, the course covers the investment objectives and strategies.
Diving into the the regulations surrounding alternative mutual funds, the course provides a review of FINRA Rule 2111 and how it pertains to suitability. The course also provides some key topics to discuss with clients while selling alternative mutual funds. The course wraps up with three case studies on FINRA violations in regards to alternative mutual fund sales.
Course Topics Include:
- The Basics of Mutual Funds
- Alternative Mutual Funds
- Alternative Investments
- Investment Objectives and Strategies
- Suitability Rule
- Characteristics of Alternative Mutual Funds
For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail email@example.com. To view Quest CE’s Firm Element course catalog, click here.
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.