Policies & Procedures
Cyber
Wikipedia
Code of Ethics
Potpourri
100
True or False - Frazier Financial can use client testimonials in marketing materials
What is false
100
This document outlines how FFA uses and protects client information
What is the Privacy Policy
100
This woman was Jim's 3rd grade teach
Who is Mrs. Coffman
100
This document outlines the company's policies on insider trading and personal securities transactions
What is the Code of Ethics
100
This "Rock Star" is a member of the Estate Planning Hall of Fame and specializes in family wealth transfer, preservation planning, and retirement distribution planning
Who is Bob Keebler
200
This can be defined as holding directly or indirectly, client funds or securities, or having any authority to obtain possession of them
What is Custody
200
This is the fraudulent practice of sending emails purporting to be from reputable companies in order to induce individuals to reveal personal information
What is Phishing
200
This European capital city sits on the Vltava River and is the historical capital of Bohemia
What is Prague
200
This is the use use of material, non-public information to trade in securities
What is insider trading
200
True or False - Frazier Financial votes proxies on behalf of clients
What is false
300
When an advisor notices diminished capacity or suspects financial exploitation or abuse they should notify this person
Who is the CCO and Managing Director
300
This additional measure is taken to ensure that email or faxed money movement instructions are not fraudulent
What is calling the client
300
This running back has the most rushing yards in Steeler History
Who is Franco Harris
300
This person has access to nonpublic information regrading client's security transactions and client recommendations
What is an Access Person
300
Similar to an emergency fund, another name for these savings(Jimism)
What is a Financial teddy bear
400
These activities, both securities and non-securities related must be pre-approved by the CCO prior to engaging in such activity/employment
What is outside business activity
400
This piece of computer hardware is designed to block unauthorized access while permitting outward communication.
What is a firewall
400
This island capital was renamed in honor or King Gustav III of Sweden in 1785
What is Gustavia (St. Barths)
400
True of False - No Associated Person shall provide loans or receive loans from clients.
What is True
400
The Ohio State Marching Band is made up of _____ musicians
What is 228
500
This document is used to meet the company's disclosure obligation
What is ADV Part 2
500
This harmful software, such as viruses or ransomware can be unknowingly installed on your computer by clicking fake links in emails or downloading fake email attachments
What is Malware
500
These Los Angeles Renegades are well known for their hard rock revolutionary political views
Who is Rage Against the Machine
500
This is knowledge about a company that has not been publicly disclosed and could affect he market price of the company's securities
What is material non-public information
500
This fish-like commander of the Rebel Alliance declared "it's a trap!"
Who is Admiral Ackbar