Quest Compliance

Quest Compliance specializes in compliance technology for financial advisory firms, broker-dealers, and wealth management organizations, helping them meet regulatory requirements and manage risk.

Is this your company?

Email: sales@questcompliance.com

Phone: +1 508-845-6500

Web: https://www.questcompliance.com/

products

• Quest Audit Trail
  An audit trail system designed for financial advisors to document client interactions, recommendations, and compliance activities. Features include automated logging of advisory actions, suitability documentation, record retention, supervisory review workflows, and reporting capabilities for FINRA and SEC requirements.