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Quest CE
Insurance School
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Quest CE provides course guidance in response to the CE Council's most recent Firm Element Advisory. #FINRA   #FirmElement   #Training  
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To exaggerate is part of being human - we've all been found guilty of it at one point or another. To exaggerate in this industry, however, can cause root to FINRA investigation. http://bit.ly/1qnWStW 
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Thank you for tuning in! If you have any questions or suggestions for The Compliance Digest team, leave a comment and a representative will get back to you with feedback. - Quest CE
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Hot-topic from this week's Compliance Digest: Moderator Caught Taking Rep's LUTC Exam
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Have them in circles
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Quest CE is extremely excited to attend FINRA's upcoming 2014 Annual Conference! Should we plan to see you there, too? If so, be sure to stop by booth 47 to pick up your 'I Heart Compliance' t-shirt! #FINRA   #FINRA2014AnnualConference  #WeHeartCompliance 
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WHITEPAPER: Quest CE recently published its whitepaper on 10 technology trends impacting compliance in 2014. Technology Trend #2: Today's auditors are more tech savvy. Download the complete whitepaper to see more:  http://bit.ly/1er3Ffp
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VIDEO: In this week's Compliance Digest, host Alex Krenke sits down with Manager of Business Development Jennifer Greene to discuss the SEC’s recent sanctions in a variable annuity scheme that targeted the terminally ill. The two touch on the people involved, when it took place, and how it could have been detected sooner. 
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Think your Ex is bad? In this month’s Disciplinary Actions Notice, a registered representative was fined $5,000 after his former domestic partner notified #FINRA that she was in possession of his business laptop which contained personal confidential information (#PCI). 
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10850 W Park Pl #1000 Milwaukee, WI 53224
10850 W Park PlUSWIMilwaukee53224
(877) 593-3366questce.com
Insurance School
Since 1986, Quest CE has built a reputation of being the premier provider of Compliance Education to the financial services industry. In addition to offering Providership Administration and insurance continuing education (CE) for professionals holding insurance licenses and professional designations like the CFP, CPA, CLE, CIMA and CLU/ChFC designations, Quest CE also provides a complete spectrum of compliance training solutions including the Financial Industry Regulatory Authority (FINRA) annually required Firm Element Training and Annual Tracking for registered representatives.
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Have them in circles
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People talk about anti-money laundering, complete compliance, financial services industry, insurance continuing and firm element
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