Code of Ethics
This document outlines the standards of conduct for supervised persons.
What is the Code of Ethics?
Who is Straight Path’s CCO and what does CCO stand for?
What is Matt Boersen and Chief Compliance Officer
If a regulator contacts the firm or visits the office, this must happen immediately.
What is notifying The Partners?
Straight Path requires this action before disposing of computers or storage media.
What is physically destroying the hard drives or storage media?
Supervised Persons owe clients this type of duty, which requires them to avoid conflicts and put the client’s interest ahead of their own.
What is fiduciary duty?
What is an example of a cybersecurity risk the company monitors and retains records about?
What is hacking attempts and fraudulent emails
Before engaging in any public speaking, part-time job, or owning a private company, a supervised person must do this.
What is obtain written approval from The Partners?
Who must be notified immediately if a supervised person receives a customer complaint?
What is the partners?
Transaction reports must be submitted this many days after the end of the quarter.
What is 30 days?
What should happen if there's a suspected data breach?
What is notify the CCO and follow incident response procedures?
Straight Path must disclose to clients these two categories of relationships that could influence its recommendations (name one).
What are financial-related business affiliations and outside business activities?
True or False: It is acceptable to abbreviate “Registered Investment Adviser” as “RIA” in marketing materials.
What is False?
Receiving or giving a client a gift over what amount is prohibited without partner approval?
What is a gift over the firm’s threshold of $100?
This form of attack often begins with a fraudulent email.
What is phishing?
Straight Path’s Information Security Plan requires electronic passwords to include this combination of characters.
What are alphanumeric and special characters?
According to Straight Path’s policies, supervised persons are strongly discouraged from sending these types of emails from the firm’s email system.
What are non-business-related emails?
Trading on this type of information is strictly prohibited, even if it’s accidentally shared.
What is material non public information
Two steps to access a system or software are called this.
What is multi-factor authentication (MFA)?
What is the maximum political contribution a supervised person can make per election if they are allowed to vote for the candidate? Is partner approval required?
What is $350?
Reposting or forwarding a media interview on social media or to clients turns the content into this under Rule 206(4)-3.
What is an advertisement?