Personal Trading
The dollar amount beyond which an ETF / ETP transaction needs to be precleared by Compliance.
What is $10,000
All political contributions or activities require this from Compliance?
What is “pre-clearance”
FEG’s designated text message communication platform to be used for all external Business-Related Communications
What is Zoom
Files saved on my desktop are backed up to FEG Library and can only be accessed if connected to VPN (true/false).
What is false
The maximum permissible amount for giving or accepting a gift per person per calendar year
What is $300
A newly established brokerage account must be disclosed through Star Compliance within this time period
What is "30 days"
A political contribution of $500 to a PAC is OK because it was to a PAC and not a particular candidate or election (true/false)
What is "false"
Employees can use this approved platform for sending text messages during business hours
What is "Teams / MS Teams"
or "Zoom"
Type of cyber attack that uses deceptive text messages
What is Smishing
Employees are most vulnerable when reading emails on this device
What is a “cell phone”
Or allow "Mobile Phone, Cell, iPhone"
The total number of calendar days in FEG’s “blackout period” during which an employee is restricted from trading in the same security as a client transaction.
What is “Fourteen” or “Seven days prior & Seven after trade date”
FEG’s pay-to-play policy allows for political contributions that are considered “de minimus”. This amount is applicable to each ________.
What is a “candidate” or an “election”
Employees can text each other about business related matters as long as it is after 5pm (true/false).
What is False
This form of password is generally considered to be one of the strongest
What is a passphrase (or allow “what is a phrase”)
This type of performance is always subject to the Marketing Rule
What is "hypothetical performance”
Certain ETFs / ETPs are exempt from preclearance requirements if they appear on this list within the Code of Ethics.
What is the “broad-based index list”
The maximum permissible political contribution that you can make to a candidate per election, who you are eligible to vote for?
What is $350
FEG uses this platform to archive and review employee electronic communications (Outlook, Teams, Zoom)
What is Global Relay
These are typically considered the most critical but also the weakest element of a Firm’s Cybersecurity program.
What are "employees"
(or allow "humans", "people", etc.)
Before an FEG employee participates in an interview, podcast or other public speaking engagement, they should complete ________
What is “media training
Three “special” types of investments that always require pre-clearance, regardless of the amount.
What are Initial Public Offerings (IPOs), Private Placements, and Initial Coin Offerings (ICOs)
The maximum permissible political contribution that you can make to a candidate per election who you are not eligible to vote for.
What is a $150
This popular business networking platform should not be used for FEG business communications unless the user is set up for archiving through Compliance.
What is LinkedIn
You should not click on these in emails if the email looks suspicious
What are “links” or “attachments”
The Fifth US Circuit Court of Appeals recently overturned this SEC adopted rule stating that the SEC exceeded its statutory authority and vacated the new regulation in its entirety
What is the “Private Fund Rule or “Private Fund Advisor Rule”