MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog.
On June 5, 2019 the SEC approved a package of new rules and interpretations designed to improve transparency for retail investors. Included in this package are the Regulation Best Interest (Reg BI), New Form CRS Relationship Summary (Form CRS), the Investment Adviser Interpretation and the “Solely Incidental” exclusion for broker-dealers. The new course, “Regulation Best Interest (BI) and Associated Materials,” will cover each of these rules in depth and discuss potential scenarios that one could encounter.
Course Agenda Includes:
- Regulation Best Interest Rule
- Who is a Retail Client?
- What is Required of Broker-Dealers?
- Form CRS
- What Needs to Be Included on the Form CRS
- Investment Advisor Interpretation
- The Fiduciary Duty of Care and Loyalty
- Solely Incidental Interpretation
For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail info@questce.com. To view Quest CE’s Firm Element course catalog, click here.
If you’d like to receive more information of this course, click here.
###
About Quest CE
For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.
Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.
