Regulations/Policies
This acceptable source of funds has a minimum value of $10,000.
What is a cashier's check?
Types of communication that includes letters, email, text messaging, websites, stationary and signature lines.
What are examples of Communications with the Public?
This is where you can find a list of approved vendors, fund companies and insurance carriers.
What is the connectUP home page?
It is required to be reviewed/updated annually and all employees must read and attest.
What is the Compliance Manual?
This system maintains client contact information, email history, notes and account reviews.
What is CRM Redtail?
A program that requires firms to verify the identity of customers to prevent money laundering.
What is Client Identification Program (CIP)?
Firms must implement policies and procedures to ensure client information is only shared with authorized parties.
What is Information Sharing?
Only submit annuity application/transfer form to carrier when you have this.
What is approval by the OSJ?
Cash or Checks, including Venmo.
What are prohibited gifts over $100 per customer?
Broker/Dealer requirements for books and records must be maintained here.
What is AFO?
Documents that are required for delivery to a new Advisory client.
What are ADV 3, Form CRS, ADV 2A & 2B, and Privacy Policy?
Account numbers, account balances, trading activity or any other information that could identify a customer or their financial activities.
What is non-public information?
Additional mandatory documents for annuity paperwork effective November 2023.
What is a Morningstar report and a copy of statement (if an exchange)?
This type of activity involves tricking individuals into revealing sensitive information.
What is phishing?
TCP maintains ALL required client and firm data to be stored here.
What is ShareFile?
These are the Fiduciary Duties under the Advisers Act.
What is Care, Loyalty and Disclosure?
Employees or access persons must disclose when opening or maintaining this account.
What is a personal trading account?
Reg BI Disclosure, Account Type Analysis, Alternative Investment Analysis, and Verbal Disclosure Form.
What are the forms that satisfy requirements for recommendations of a commissionable product?
This is where you can find QR rejects, pending docs, registrations incomplete and eblotter.
What is Imaging Dashboard on connectUP home page?
Where you can find the list of advisory clients (active and/or terminated).
What is the Custodian or Orion Tech?