Welcome to the Compliance Roadmap to Success page, your guide to navigating the complex landscape of regulatory compliance with ease. Our platform empowers you to stay on top of your compliance obligations by providing a comprehensive toolkit for tracking action items and their due dates in real time. Say goodbye to missed deadlines and utilize the easy access to links and vital information, you'll have everything you need right at your fingertips.
Accessing FinPro for Regulatory CE:
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FinPro users must create account credentials (user ID, password, and security challenge questions) as well as verify their identity with Transunion to access the system.
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(Tip: See the FinPro Account Creation Guide for guidance if you have not yet created a FinPro account.)
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FinPro cannot be accessed with Internet Explorer. Use a supported browser to log in.
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Please use these instructions link for first-time and returning users:
IAR CE :
We encourage you to use the following links to both educate yourself and complete your Continuing Education (CE) Requirements if you are eligible.
Quest CE for Firm Element:
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Log into Quest CE
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Once you have logged in, you will see the courses that have been assigned to you.
Annual IA Account Review:
The key regulatory requirement for investment advisors is the fiduciary duty to act in the best interests of their clients. This duty can encompass various practices, including the regular review of client accounts. The frequency and depth of reviews depend on the individual circumstances of the client, the type of account, and the specific agreement between the client and the advisor. The best practices for investment advisors typically include regular account reviews to ensure that the investment strategy remains aligned with the client’s goals, risk tolerance, and financial situation, which can change over time.
