Quest CE Introduces Activity Tracking Tool
2013-05-18 08:54:04 - Quest CE, premier provider of insurance continuing education and FINRA firm element training, announced today the release of its multi-purpose compliance tracking tool, Activity Log.
Quest CE’s Activity Log archives representative’s daily, weekly or monthly activities, based on the firm’s internal processes, procedures and transactions. Firms can use the new tool as a part of their compliance process to ensure reps are meeting FINRA Rule 2090 and 2111.
Using the Activity Log feature, employees can attest to activity declarations and upload supporting documentation quickly and easily.
Once an item has been submitted, the rep’s supervisor is automatically alerted to the update, to ensure the activity is promptly reviewed and possible issues with the submission are addressed. The supervisor will then be able to review, approve or request more information on each individual submission. Firms can set-up and manage single or tiered workflows for comprehensive and thorough review of employee declarations.
Quest CE’s Activity Log can be utilized to monitor a variety of activity declarations, including but to limited to, client correspondences, disclosures, sales transactions and/or client recommendations. As such, the activity log template can be edited through Quest CE’s content management tool, Survey Builder, and customized to include a variety of questions and requests.
Quest CE’s Activity Log captures and archives an authentic and complete electronic record of all transactions in its secure yet accessible system. In addition, all transactions are time-stamped and dated to dictate accountability and ensure compliance with specified retention schedules. Reports can also be exported to an Excel spreadsheet for detailed access to all disclosed activities. These reports help serve as a verification of policy enforcement and can be used to manage a firm’s compliance and risk management.
Quest CE’s Activity Log was designed to assist firms in the collection and organization of documentation and data tracking. For more information on the Activity Log feature, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail firstname.lastname@example.org
About Quest CE
For over twenty-five years, Quest CE has been 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 FINRA compliance training solutions including annually required Firm Element Training for registered representatives, on-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.
Serving more than 535 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 their competitors. Quest CE is the single source solution for organizations seeking training and compliance needs.