Respect your Elders
This best practice when working with Senior Clients can really help when we can't get in touch with them.
What is a Trusted Contact
Who is on the Compliance Team?
Who is EVERYONE!
Linda, a CIA advisor, just met with prospect Steve. Great news, he wants to sign up and already has all of his statements with him in person. Billy, Linda's CSA, gave Steve the ____, _____, ____, & ____ since they are required Compliance Documents.
What are the CIA Agreement, Form CRS, ADV 2A & 2B, Privacy Notice
This celebrity, known for owning the Dallas Mavericks, was charged by the SEC in 2008 for engaging in illegal insider trading of Mamma.com.
Who is Mark Cuban
_____ error was recognized as a contributing factor in over 95% of all cybersecurity incidents.
What is Human?
When a senior client starts showing cognitive changes, THIS becomes all the more important for the advisor to do after any communication with the client.
What is putting notes into SalesForce!
_____ duty requires CIA to act in the best interest of its clients
What is Fiduciary
Once a new client says 'Yes', the advisor then uses the 'Status Update' button on the Opportunity in SF to set the stage to THIS which triggers a task to the CSA/M
What is Paperwork
This celebrity had an SEC complaint filed against him in 2018 for a series of false and misleading statements regarding taking a certain EV company private.
Who is Elon Musk
What is the most important type of non-public information we must ensure is protected from fraudsters?
What is Social Security Number
Sally Sue received an email from a supposed "Geek Squad" employee letting her know that her membership would expire next week. They offered to help but she had to screen share. After the discussion with them, Sally Sue noticed an unauthorized transaction in her Schwab account. What are next steps after she calls CIA for assistance?
What is notify Compliance Immediately! And send the client the Education pieces on being hacked
The regulatory body that establishes laws and rules and monitors the activities and compliance programs of registered Investment Advisors
What is the Securities and Exchange Commission (SEC)
THIS form must be completed and signed by the client before rolling over their 401k into their IRA account managed by CIA.
What is the DOL Retirement Advice worksheet
This celebrity, known for her famous family (among other things), settled SEC charges for promoting a crypto asset security on social media without disclosing the payment she received from the promotion in 2022.
Who is Kim Kardashian
By not doing this when looking at a suspicious email, you can save the company from cyber crime.
What is not clicking on any suspicious links
There is a __% chance that an American age 65 or older will need long-term care at some point, according to the U.S. Department of Health and Human Services
What is 70%
Where would you document an analysis on a new clients transferred in Mutual Funds?
What is the Mutual Fund Share Class Workflow in SF
Sally, a CSA at CIA, just got the unfortunate news that Franky Jones passed away today. After giving Franky's daughter her condolences, Sally must do THIS once off the phone.
What is start the deceased client workflow in SF and notify the custodian of the client's passing
This celebrity, with an unlikely rapper best friend, was indicted on charges of conspiracy, obstruction of justice, and securities fraud in connection with a personal stock trade in 2001.
Who is Martha Stewart
To help you better detect phishing emails, we subscribe to ______ email campaigns that are randomly sent to your inbox and you are asked to click on a link or attachment.
What is KnowBe4
According to the Alzheimer’s Association, THIS is a mental condition that affects a person’s ability to understand their own acts or decisions.
What is Diminished Capacity
What mutual fund share class is typically the most cost effective for clients to hold?
What is an I-Share (Institutional share class)
Phil, an advisor at CIA, just bought 50 shares of DGRO in client Timmy Smith's account. Zoinks! Phil was suppose to sell those shares! Now what??
What is submit trade corrections with the custodian as soon as discovered and complete the Trade Error workflow in SF for compliance
This celebrity, known for a crypto trading platform, was charged by the SEC for orchestrating a scheme to defraud equity investors in 2022.
Who is Sam Bankman-Fried
Bob, the CSM, receives an email from a client saying that their bank account changed. What must Bob do?
What is Verbally Authenticate the information with the phone number on file