MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, announced the addition of the new Firm Element course, “Protecting Vulnerable Investors: Navigating FINRA Rules 2165 & 4512” to its Firm Element e-learning catalog.

FINRA Rule 2165 establishes protections for vulnerable individuals, particularly seniors, against financial exploitation. The rule requires FINRA member firms to implement safeguards and maintain detailed records under Rule 4512. These regulations enable firms to temporarily hold suspicious disbursements and mandate internal reviews when potential exploitation is suspected. Member firms must also obtain and maintain trusted contact information and provide training to help staff identify warning signs of financial abuse.

This course focuses on three core topics: 1) financial exploitation of specified adults & customer account information, 2) FINRA’s latest guidance and requirements and 3) an overview of detecting financial abuse warning signs.

Course Topics Include:

  • Senior and Vulnerable Client Protection
  • Regulatory Notice 22-05
  • Red Flags of Financial Exploitation

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.