MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “Senior Suitability and Investor Protection” to its Firm Element e-learning catalog.
This course explores senior and vulnerable adult suitability and the heightened responsibilities that arise when making recommendations later in life. As the senior population grows, representatives must carefully evaluate time horizon, liquidity needs, risk capacity, product costs, and complexity. The course emphasizes remaining alert to signs of diminished financial capacity that could affect a client’s ability to make informed decisions. Learners review key regulatory tools and enforcement lessons, including Regulation Best Interest, FINRA Rules 4512 and 2165, and actions involving illiquid or complex products.
This course focuses on three core topics: 1) Senior Stability and Complex Products 2) Regulatory Tools For Protecting Senior Clients, and 3) Enforcement Lessons in Senior Suitability
Course Topics Include:
- Senior Suitability
- Exploitation Red Flags
- Product Risk Analysis
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
