2010 law passed to promote financial stability by improving accountability and transparency in the financial system and other purposes
What is Dodd-Frank Wall Street Reform and Consumer Protection Act (or "Dodd-Frank")?
100
Location of Eagle Point's personal trading policy
What is the Code of Ethics?
100
Eagle Point's Privacy Statement must be delivered to clients or investors at what point
What is at inception of account/investment?
100
Who must approve any overrides of the valuation policy?
Who is the Chief Financial Officer (or "CFO")?
100
Eagle Point Credit Management is this (or "RIA")
What is Registered Investment Adviser?
200
Law governing bribery of foreign officials
What is the Foreign Corrupt Practices Act (or "FCPA")?
200
Frequency with which access persons must confirm their accounts and holdings are up-to-date in MYCO
What is quarterly?
200
How soon you should should report a violation of Eagle Point policies or procedures
What is immediately?
200
You must receive CFO sign off prior to disseminating this number to investors or clients
What is NAV?
200
The additional level of performance compliance claimed by Eagle Point ("GIPS" for short)
What is Global Investment Performance Standards?
300
US law to identify and prevent money laundering
What is USA Patriots Act?
300
Gifts or entertainment to this group of people must be pre-approved by Compliance
What are Foreign Government Officials?
300
When you leave every night you must keep this cleared of confidential information
What is desk?
300
When trading EP must ensure fair ____ between accounts
What is allocation?
300
Eagle Point Credit Company Inc is registered with the SEC as this ("RIC" for short)
What is a Registered Investment Company?
400
Additional regulatory requirement required of public companies (thanks to Enron)
What is Sarbanes-Oxley Act of 2002 (or "SOX"")?
400
These must be pre-cleared regardless of the amount or recipient of the money
What are political contributions?
400
Electronic documents containing personally identifiable information must be
What is password protected?
400
You must obtain approval from the CCO prior to serving as a ____ of another entity
What is Director (or similar capacity)?
400
Meaning of PF in Form PF (i.e. form filed with the SEC on behalf of Eagle Point Credit Partners (and sub funds))
What is Private Fund?
500
Federal law requiring US persons to have yearly reported themselves and their non-US financial accounts to the US government (as well as other requirements)
What is Foreign Account Tax Compliance Act (or "FATCA")?
500
Threshold over which gifts must be reported (via MYCO)
What is $500?
500
If you come into this kind of confidential information, you should immediately report it to the CCO
What is material non-public information?
500
Regulation which requires Eagle Point to safeguard personally identifiable information
What is Regulation S-P?
500
Meaning of FD in Regulation FD (regulation which prohibits selective disclosure of material non-public information to third parties)