This is where you can find the client security question and answer in SalesForce when verifying communications with the client (Regulation S-ID:Red Flags Rule/Identity Theft)
Where is the Individual Page in SalesForce (not the Household page)
100
The firm was established in this year.
What is 1937
100
This custodian is the preferred custodian for all employee accounts.
Who is Charles Schwab
100
These employees comprise of the Disaster Recovery Committee
Who are Deglin, Justin, Alicia, Scott, Sonia (and Xantrion)
100
Where you can confidentially submit any whistleblowing items. Or you can submit complaints, issues, suggestions, ideas, etc.
What is Compliance 11 [on Home Page under Forms, there's the Confidential Reporting Form (Whistle)]
200
We have 2 softdollar relationships (Softdollar)
What are Schwab and BNY
200
The Firm AUM as of 6/30/14
What is $1.5 Billion
200
These type of personal accounts are not subject to pre-clearance authorizations.
What are managed accounts (aka not self-directed)
200
This is the evacuation meeting location for the MP office.
What is the 535 parking lot facing Middlefield Road; next to the building sign.
200
This item should always be attached to any report sent to a client.
What is the disclosure page.
300
This is the only social media site where you can mention the Firm as an employer (Electronic Communications and Retention)
What is LinkedIn
300
There are currently ___ members of the Investment Team
What is 6 (there are 9 in the portfolio management team)
300
This is the penalty for a personal trading violation per account per trade.
What is a $500 donation to your choice of charity/non-profit per account per trade.
300
This is the website used to access your work email.
This plug-in item on your Outlook should always be used when sending attachments to outside email addresses containing client confidential information.
What is the Sharefile plugin (if you don't have it, you can use Sharefile by logging into their website. If you don't have a login and want one, let Son know).
400
Performance numbers must be given to clients in this form (Marketing Materials)
What is net of fees ( you can give gross of fees, but net must accompany them)
400
These are the Four Pillars of the Firm
What are: 1. Methodical Investing Discipline 2. Customized Financial Plan 3. Trusted Advisor 4. Powerful Financial Tools
400
This is the annual dollar limit on gifts given or received by an Access Person to/from brokers, clients, vendors, or other companies involved in the securities industry.
What is $250. Promotional items are excluded from this amount.
400
The Team Lead for the PC department
Who is Deglin
400
Broadridge and Chicago Clearing Corp.
What is our Proxy Administrator and Class Action Filer
500
Why we fall under the Surprise Examination for custody (Custody)
What are the following: 1. we have an employee who is trustee of a managed account. 2. we have 3rd party SLOAs for clients in which we can change the payee, $ amount, or both.
500
These are the 6 SF composites
What are the: Equity, Global Growth, Global Moderate Growth, Global Balanced, Global Income, Fixed Income
500
This is the new referral policy for employees giving out referrals to outside professionals.
What is: Any client who asks for a referral will be given 2-3 names, and they may choose from that list. We do not receive any compensation for referrals (we are currently working on a Service Directory).
500
This is the phone number for Shoretel to forward your phone line, check voicemails, etc.
What is 650-223-7990
500
When a client becomes a resident or citizen of another country other than the U.S.
What is notify the CCO. The country's securities commission (their SEC) will be researched or contacted to see if we are required to register in their country for providing investment advice to a resident/citizen of their country. Ex. - Canada: must register for exemption and pay an annual participation fee. Netherlands: nothing is required.