MILWAUKEE, WI – Quest CE, a trusted provider of compliance training and tracking technology solutions, announced today the addition of a new course, “RIA Sanctions: Lessons from SEC Actions” to its IA Micro-Learning e-learning catalog.
This course examines common SEC enforcement actions against registered investment advisers and highlights how disclosure failures, fiduciary breaches, misleading marketing, recordkeeping gaps, and overstated compliance claims can lead to sanctions. Advisers learn how to reduce enforcement risk and align daily practices with regulatory expectations.
This course focuses on three core topics: 1) What Can Lead to RIA Sanctions 2) Case Study: AML Promises Under Scrutiny and 3) Avoiding Sanctions: What IAs Can Control.
Course Topics Include:
- Fiduciary Duty
- Disclosure Failures
- Recordkeeping
For questions regarding this or other training courses, please contact us here. To view Quest CE’s course catalogs, 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 advisers, 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.
