The tracking of continuing education (CE) credits presents risks for financial services companies. Regulatory reporting at the agent, advisor and company level is manual with little to no visibility for management. And many advisors view CE as a burden, often leaving it to the last minute. The result can be fines for both the company, agents and advisors, as well as the potential for reputational damage.
Record keeping will be required for management to demonstrate supervisory duties are being met and to withstand audits and disputes. CE Records is a fully-automated, online solution that makes it easy for financial services companies, and their agents and advisors, to track, manage and report continuing education (CE) credits, so they can meet regulatory and designation compliance with confidence and ease.
Fulfil your supervisory duty
CE Records’ dealer dashboard provides a complete overview of company progress and the status of each individual agent and advisor at a glance. The dashboard can be customized to allow companies to choose the best features and access for agents and advisors.
Improve operational efficiency and oversight for management, compliance, agents and advisors
Reduce the time and effort required to manage continuing education while improving accuracy. Automated reporting easily connects agents, advisors, dealers, regulators and associations.
Protect your organization and reputation
Significantly reduce the risk of advisor and firm non-compliance with industry and regulatory requirements.
Know where you stand
Track what CE credits are needed to maintain licenses and designations.
Avoid business disruption
Avoid the last-minute scramble to get CE credits at the end of each cycle.
Minimize documents
Have an up-to-date record of CE credits for all licenses and designations, all in one place.
Receive automated reminders when it’s time to take action
View CE requirements and credit status, and receive automated reminders when deadlines are approaching.
Report with confidence
Report to regulators and sign attestations with confidence.
CE Records was created to solve CE compliance anxiety and create business comfort.
CE Records is an all-in-one early warning and tracking CE credit platform that gives agents and advisors the confidence of knowing you will save time and always be well prepared for any future CE audit.
Thanks to over 50 designations entered into our system, you can make sure all of yours are on your dashboard & track the progress for each of them.
Keep up to date with the latest industry and regulatory requirements.
Know where you stand at a glance and stay motivated to take courses to increase your expertise.
Avoid last-minute anxiety thanks to our timely reminders and automated notifications.
Track all your certificates and identify which ones are outstanding and what actions you need to take.
“For years I scrambled. CE Records application was a breath of fresh air. It allowed me to record the courses as soon as I took them, upload my certificates, and at year-end everything was there at my fingertips. It also alerted me to whether or not I was deficient on any requirements, early in the year, so I could proactively plan to make sure I completed my requirements."
“As someone that has worked with over 3,000 advisors, I can tell you that the administrative burdens of running an advisory practice have become the single greatest impediment to business growth in this industry. Collecting, recording and tracking CE credits is just another additional drain on an advisor’s dwindling capacity. CE Records solves this problem and gives that capacity back to advisors so they can focus their time and energy back where it should be, on their clients. I used this as an advisor and now highly recommend it to the advisors I work with in my consulting practice. Any time you can simplify, automate and protect your business from compliance risk, you should be running towards this type of solution for all areas of your business."
“I wish I had this tool when I was a practicing Associate Portfolio Manager. I had to track separate credits for my CFA designation, my insurance license, as well as for my securities license requirements. What a way to save time, frustration and expense."
“As a compliance officer, I’m delighted that a platform like CE Records is dedicated to reducing the administrative burden on investment professionals - This type of development fills a need in the industry. Compliance officers at dealers and insurance distribution firms should all take a close look at this tracking app to help their advisors manage their continuing education obligations for licenses and designations."
“I signed up for CE Records earlier this year to help keep track of my training and I highly recommend other advisors do the same. It’s easy to use and I have now assigned the task to my assistant to add my credits to my profile. The best part, when I was audited for compliance I just downloaded the report and provided it to my compliance officer. It was very simple. As this product grows I can see how this could be the standard for helping track CE credits."
Financial Advisor
Founder, Marketing Motivators
Compliance Director, Fiera Capital Corporation
Advisor
