Quest CE

Miss the IAA Compliance Conference this year? We've summarized the most critical sessions for compliance professionals. Get the scoop on the new FinCEN AML rule taking effect in 2026, evolving electronic communications monitoring challenges, and how AI and cybersecurity are reshaping investment adviser compliance. #IAAcomcon #IAA2025 #questce

Eversheds Sutherland's latest FINRA analysis reveals a dramatic shift with 22% more disciplinary actions but 35% lower fines in 2024. Discover the top five fine categories including trade reporting and spoofing that compliance teams need to address immediately. #compliancedigest #FINRA #questce

?? COMPLIANCE MADNESS: Sweet Sixteen Revealed! ?? Quest CE's compliance training tournament continues! Just like March Madness, but with top regulations competing for a top place on your Firm Element roster this year! We've narrowed down the field to our Sweet 16 competitors after some thrilling first-round matchups! The competition is heating up as our regulatory titans face off in the Sweet 16! Will top-seeded "Reg BI Update: Recent Regulatory Developments" overcome "Outside Business Activities and PSTs"? Can "Private Placements” deliver an upset against "Code of Conduct"? Want to play along? Download our interactive PDF bracket below and host your own Compliance Madness competition in your office! Pick your compliance training winners and see if they make it into your representative's training lineup this year. https://lnkd.in/gVWCvYDc #compliancemadness #sweet16 #questce

The CFP Board just released its AI Ethics Guide for financial advisors—is your compliance team prepared for the risks of "hallucinations" and data privacy concerns? Discover how to implement AI responsibly while maintaining regulatory compliance and client trust in our latest Compliance Digest article. #compliancebestpractices #AIinfinance #compliancedigest?

Master core components of FINRA-compliant Firm Element CE programs to avoid common exam deficiencies and strengthen your firm's compliance. Our comprehensive guide walks CCOs through the four critical elements regulators scrutinize most. Check out the full blog to prepare your 2025 program for success. #FINRA #firmelementtraining #compliancedigest

What does your dream compliance training platform look like? We believe effective training combines engaging content, intuitive tracking, and seamless reporting. From IAR CE to Firm Element, we've built solutions that make compliance less complicated and more efficient. #complianceInnovation #questce #iheartcompliance

?? BRACKET BUSTER ALERT! ?? The madness is REAL in our Compliance Bracket! 8-seed "Private Placements" just toppled 1-seed "Advanced Strategies in AML Compliance" in a stunning 95-88 upset! Private Placements (42 pages, 23 minutes) proved that efficiency matters in the compliance game. Despite Advanced Strategies' comprehensive AML coverage (84 pages, 44 minutes), it couldn't overcome Private Placements' focused approach to key regulations. Did this upset bust your bracket? Or did you see this coming from a mile away? #compliancemadness #bracketbuster #questce

A popular fintech broker-dealer just got hit with a staggering $29.75 million FINRA fine for AML failures, inadequate customer identification, and misleading order execution practices. Discover what your compliance team should be doing to avoid the same costly mistakes. #compliancedigest #FINRAenforcement #AMLfailures?

??Compliance officers??: Don't depend on the luck o' the Irish this March! Instead of searching for four-leaf clovers, try these golden compliance tips. Swipe to see them all! #stpatricksday #goldencompliancetips #iheartcompliance

?? COMPLIANCE MADNESS IS HERE! ?? We've turned compliance training into a March Madness-style tournament! Our interactive bracket pits 32 regulatory topics against each other in a showdown to determine the ultimate compliance champion. Will Cybersecurity make it to the Final Four? Can AML defeat Off-Channel Communication? The competition is fierce, and the stakes are high! Download our interactive PDF below to host your office's own Compliance March Madness competition or follow along as we post our results from the Sweet 16 to the Championship. Who knows — there may even be an upset alert in our bracket! Find your interactive PDF here ?? https://lnkd.in/gVWCvYDc #compliancemadness #gameon #questce