2017 INVESTMENT PLANNERS Compliance Training Program
All advisors, registered staff and home office staff should have received an email like the one below from Quest CE. To sign in, follow the link on your email and then place your email address in the top right corner. If you forgot your password, click on the Grey bar that says Forgot Password. If you have any questions on the CE, please let me know. Thanks, Renee
From: Quest CE [mailto:email@example.com]
Sent: Monday, July 03, 2017 8:00 AM
To: Renee Emrick <firstname.lastname@example.org>
Subject: 2017 INVESTMENT PLANNERS Compliance Training Program
Hello Renee Emrick,
You have been enrolled in the Investment Planners/IPI Wealth Management mandatory Compliance Training Program provided by Quest CE. This
email contains the information you will need to access and complete your requirement.
You are required to login and complete ALL training within your account by August 31, 2017.
ACCOUNT LOGIN INSTRUCTIONS:
1. Access the online training website by clicking on the following link: https://learn.questce.com
2. Enter your Username: email@example.com
3. Enter your Quest CE account password. Please Note: passwords are case sensitive.
Forgot Password? You have the ability to have a password reset code sent to your email address associated with your Quest CE account.
First Time Logging In?
• If this is your first time logging in, you will be prompted to create a Secure Profile.
• Enter your Username and Initial Password: Welcome+123
• Follow the steps on your screen to:
1. Confirm your current primary email address. This will be your username after this point.
2. Create a new, secure password of your choice. This will be your password after this point.
3. Establish three familiar security questions.
FIRM ELEMENT TRAINING NAVIGATION INSTRUCTIONS:
• Click on the Training tab on the top of the page.
• To begin any “Not Started” Training assigned to your training dashboard page, click on Start.
• Proceed through each page of the content.
• At the end of the content, there will be an exam or certification (attestation) to complete.
• A training item is finished successfully when the status is “Complete”.
ANNUAL COMPLIANCE MEETING INSTRUCTIONS:
• From the training tab click Start next to the Annual Compliance Meeting
• Proceed through each page and module of the ACM presentation.
• Once you have completed the content portion of an ACM, you must begin and complete the Exam portion which is simply a 1 question attestation.
• After you have successfully completed the exam (attestation), the ACM will be listed as a status of “Complete”.
ACM Functionality: To meet FINRA Requirements, online Annual Compliance Meetings have an Audio requirement and do not allow you to proceed
to the next slide until the audio on each page of the presentation has played in its entirety.
• You must actively click through each slide of the presentation.
• Avoid toggling between or opening and closing multiple browser windows while in the Annual Compliance Meeting as this may end your browser session.
• Each page of an ACM is set to the required length of the audio contained. An ACM will take you longer than an average Firm Element Course to complete.
ANNUAL COMPLIANCE QUESTIONNAIRE INSTRUCTIONS:
• To complete the ACQ, Click on the Questionnaire Tab at the top of the Page
• Click Begin next to the Annual Compliance Questionnaire
• Complete all of the questions in the Questionnaire from beginning to end.
• When you click on “Submit” to finalize the Questionnaire, your Compliance department contact will automatically be notified.
• You may make edits to the responses you have given once the questionnaire has been fully completed. Compliance will be notified of any such changes.
• For any course and/or ACM completed in your account, a certificate is available for you to access through the Certificates tab on the side menu.
• It is not necessary to forward any completion certificates to the Compliance Department or to Quest CE. They are for your own records.
MINIMUM SYSTEM REQUIREMENTS: If you are accessing training via a corporate network, please contact your IT Department if you do not have the following:
• Internet Browser: IE 11 or Google Chrome (latest version)
• Adobe Flash Player 8.0 or higher
• Adobe Acrobat Reader: Enabled and Latest Version Installed
SUPPORT: If you have technical questions regarding the Quest CE training website, please contact Quest CE for assistance.
• Quest CE Support is available Monday through Friday 8:00 a.m. – 5:00 p.m. CST.
• Quest CE Support Email: Support@questce.com
• Through the Support tab within your training account you may use the following features to connect with a Quest CE Representative regarding technical questions:
• Submit a Support Ticket
• Initiate an Online Chat