KYC
This person should be consulted about potential issues or red flags during onboarding.
Who is your Supervisory Manager :)
This requirement must be met before any investment conversation takes place.
What is form CRS delivery
This system tab gives you access to all client documents.
What is Doc manager
This term describes holding a large amount on a single security.
What is concentrated position.
This action is recommended to check for reputational risk involving a client
What is internet search
This must be included when recommending a Mutual Fund via email.
What is a prospectus
This items you review in a quarterly/annual client meeting
What is Wealth Plan
Beneficiaries
Suitability
TCP, Trading authority, POA
Time horizon, Risk tolerance, Investment objective and liquidity needs are part of?
What is account suitability
This are red flags involving a new client (name 3)
Who is a Client refusing to provide KYC information
Unauthorized third party overly involved
Frequent large transfer without investment activity
High risk trading
This disclosures are required when onboarding a client
What is Not, Not, May
This lists should be consulted when providing your opinion or recommendation.
What is approved list and restricted list.
This information is collected at the client level
What is financial information and investment experience
This is the most important action you will take after every client interaction.
What is comprehensive client notes.
This items you should identify when review a contra firm statement (name 3)
What is Account registration
Penny stock
Options
Margin
JPM stock
Non-transferable securities
This action is prohibited while your client is traveling.
What is solicitation.
This are the firm limits generated based on the associated risk level.
What is bitesize.