Communications
Trading
Custody
Clients
Mystery Round
100
This is the number of separate clients receiving an email that turns it into a mass mailing.
What is two?
100
This is when an employee trades securities based on material information that is not available to the public.
What is insider trading?
100
The two account attributes that, if changed without a client signature, may violate custody laws.
What is the address or email address.
100
The type of account registration that will not constitute custody when standing instructions are set up.
What are like to like registered accounts?
100
These are the number of European Union clients we can have before we have to enroll in the EUGDPR program.
What is zero.
200
This is who is in charge of communicating a disaster recovery plan to the firm.
Who is Jeff Ohe?
200
When all clients get the same price for a security when sold at the same time.
What is block trading?
200
The return address that must be put on all overnight envelopes provided to clients to mail their own stock certificates.
What is the clients address?
200
These are the number of European Union clients we can have before we have to enroll in the EUGDPR program.
What is zero.
200
These are the number of years we must wait to engage government entities as clients because we are not currently monitoring political contributions.
What is two years?
300
This is required on a smart phone that you have connected to IV Desk emails.
What is password/biometric authentication?
300
This is when am employee places a trade ahead of clients and potentially receives a favorable price.
What is front running?
300
When we are managing an outside account that is closed, rolled over, transferred, or no longer needs to be managed, this is the last step that the advisor must do in our system.
What is the Close Outside Account action in Junxure?
300
These are the things that we have to ensure are being sent to clients in order to demonstrate transparency in client account holdings and balances.
What are custodial statements?
300
This is the person who reports a new account or a closed account that you open for yourself or a qualifying family member to the Compliance portal.
Who is YOU? The advisor or employee always must report the account opening or closing through the compliance portal. This is in addition to the regular account paperwork. This is not done automatically.
400
This is the two forms of communication is reviewed monthly on a sample basis based on keyword searches and forensic sampling.
What is email and social media posts of advisors?
400
Low volume positions or thinly traded positions (requiring special trading instructions), Positions with a performance history of less than two years, Alternative Funds that are illiquid or do not trade daily, Leveraged, inverse, and inverse leveraged ETFs, and IPOs.
What are the types of securities that should be flagged to the trader when purchased for the first time?
400
The appropriate location of all distribution request notes for outside accounts.
What are clearly labelled Junxure Actions?
400
The minimum frequency that advisors must have client contact.
What is annually?
400
The number of locks between the public and our client's non-public information.
What is two?
500
These are the two Linked In items that must be preapproved before they can be made public.
What are changes to static content, or posting original content.
500
These are the two types of securities that require preapproval by Crystal or Jeff before being placed in an employee account.
What are IPOs and Limited Offerings?
500
This is the number of days from when you collect client credentials for any outside account, whether managed or unmanaged, that you should assign an action to the portfolio administrator.
What is zero / the same day?
500
The maximum amount we can charge a client in advance without being required to complete work within 6 months.
What is $1,200?
500
The place all investment research is saved.
What is the advisor's CFA Junxure Investment file?