Success CE Banner

Insurance Continuing Education Press Releases


  For Immediate Release
For More Information
Shelley Bell

Let Success CE help you “Know Your Client” - In compliance with the new FINRA rules

Newport Beach, CA- SuccessCE now offers a 4-hour, nationwide-approved Live Continuing Education course ( entitled “Knowing Your Client” to help insurance professionals understand the new FINRA Rule (Know Your Customer) which requires firms to use reasonable diligence, in regards to the opening and maintenance of every account and know the essential facts concerning every customer. The rule explains that essential facts are those required to effectively service the customer’s account, act in accordance with any special handling instructions for the account, understand the authority of each person acting on behalf of the customer, and comply with applicable laws, regulations, and rules.

No insurance professional wants to make the wrong decisions when looking at any type of customer, be it an individual or a corporate, especially at times of volatile economic conditions and when exploring new business in emerging markets. SuccessCE’s “Knowing Your Client” course helps ensure that each advisor knows the source of wealth an individual brings to them, as well as the identity and background of their customers.

This provides two key benefits for the risk-aware financial business – first, comfort that the insurance professional is not exposing himself/herself to excessive risk of being used by criminals to launder the Proceeds of Crime; and second, sufficiently detailed knowledge of the customer’s financial position to be able to sell products which are appropriate and which help the customer or the firm to make money selling under a Fiduciary standard as opposed to a Suitable standard.

“This new course, ‘Knowing Your Client’ from Success Continuing Education and SuccessLiveCE, is a game changer because it teaches us how to use the new regulations to our advantage in ways which not only mitigate unsuitable sales, but also imparts comprehensive perspective, practical client centric modeling that attracts clients, enhances trust and results in multiple revenue streams,” says Bill Cooley, President and CEO of SuccessCE.

“Knowing Your Client” gives access to a wide range of advice, systems and materials which ensures advisors to carry out checks on their customers at take-on to the level expected of them by legislation and regulation. Additionally the course assists them to exclude criminals, determine whether their customers are low or high risk and monitor and review them accordingly, and make decisions during the life of the relationship. Students of this course will then be able to comply with stringent legal and regulatory requirements, keep the criminals at bay, protect their reputation, and most importantly, grow their businesses.

“We are constantly looking for ways to be the best at what we do in catering to our clients, and being the only provider to have a course like this available goes to show how much we have evolved and continue to do so on a day to day basis”- Hazel Cruzado, Director of SuccessLiveCE.

About the Success Family of CE Companies
The Success Family of CE Companies is a nationwide approved provider of "state of the art" Life and Health Insurance Continuing Education courses, CFP Continuing Education, Pre-Licensing Study Courses for Insurance and FINRA licenses, Property and Casualty Insurance Continuing Education, CPA Continuing Education, CIMA Continuing Education, CLU/ChFC (PACE) Continuing Education and Legal (MCLE) Continuing Education.

Property and Casualty Insurance Continuing Education, Claims Adjusters Continuing Education, Securities (Firm Element) Continuing Education, Insurance prelicensing, and Securities (FINRA) prelicensing are also available online.

The Success Family consists of these leading brands, Success CE,, Success Live CE (formerly ClienTell CE) Affordable CE, First Choice CE, and