Quest CE

FINRA's new Remote Inspection Pilot Program and recent updates to office classifications are reshaping audit inspections for member firms. Join us for our upcoming webinar where we'll provide critical insights into these changes, focusing on practical implications for compliance teams! Register and learn more at the link below! https://lnkd.in/gejhEzpc #industrywebinar #branchinspections #registernow

We're excited to welcome Hayley J. as our new Online Services Specialist I! Her background in customer service and keen attention to detail make her a perfect fit for our team. Hayley's strong communication skills and ability to navigate complex situations will be invaluable as she assists our clients and supports our team in resolving customer inquiries. Join us in welcoming Hayley as she embarks on this exciting new chapter with us, welcome aboard! #newhire #welcomaboard #teamquestce

Happy National Compliance Officer Day! In our complex regulatory landscape, compliance professionals are the compliance champions in action, balancing risk and reward and cultivating trust! Their vigilance ensures we stay ethical, follow regulations, and maintain integrity in all we do. We couldn't navigate the regulatory maze without you! #nationalcomplianceday #regulatorychampions

SEC hits 9 investment advisors with $1.24M in fines for misleading marketing. From fake ratings to hidden endorsements, learn how these firms crossed the line and what it means for the industry. Read our breakdown of this latest enforcement wave below! #financialregulation #SEC #investmentadvisors

Still fuzzy on IAR CE requirements? With the deadline looming, our latest article is your lifeline. Discover what's at stake if you miss the Dec 31st cutoff, break down the credit requirements, and get the essential info you need. Whether you're an adviser, compliance pro, or firm leader, don't let IAR CE catch you off guard! #IARCE #dec31deadline #questce

Put your compliance radar to the test! Vote for the scenario that would set off your internal alarm bells the fastest. #compliancesenses #compliancehumor #polltime

Senator Warren challenges FINRA's commitment to investor protection as enforcement actions plummet. What's behind this dramatic decline, and how might it impact the financial industry? Read our latest Compliance Digest on this unfolding regulatory debate. #FINRA #compliancedigest #questce

Lights, camera, compliance action! 🎬What cinematic masterpiece best captures your reaction to new rules? Share your blockbuster title and let's see which title steals the spotlight! #compliancehumor #dazedandconfused #complianceaction

Remember that back-to-school excitement? New backpack, fresh supplies, endless possibilities... Well, we're bringing that energy to your firm's compliance training! Using our system, you can: 🎓Easily enroll your "students" into required courses 🚀Monitor their progress through a user-friendly dashboard 🍎Ensure everyone makes the grade with robust tracking Ready to get started? Check out our course catalog and recapture that back-to-school magic at the link below! https://lnkd.in/gfwj-Yzt

Today we celebrate National IT Professionals Day! Our IT pros aren't just tech gurus – they're powering progress and making complex simple! From squashing bugs to building brilliant solutions, you turn our "Oh no!" moments into "Aha!" triumphs. To our IT team: thank you for turning our wild ideas into digital reality! #ITproday #techmagicians #digitalsuperheroes