Branch Exam
This is the approved title and company name for your social media profile
What is Private Client Advisor with JPMorgan Wealth Management
This tool is used to submit incoming and outgoing correspondence for review
What is CCR - Client Communications Review tool
This is the period that C share Mutual Funds will convert into A shares.
What is 6 years
This term describes holding a high percentage on a single security.
What is a concentrated position?
This is what is required to be included on your out-of-office auto-reply.
What is the approved auto-reply email template and email signature?
This action must be taken upon receipt of a written or oral client complaint.
What is forward to your MDW/SM immediately?
This action must be taken if you over-buy a security in your client's account.
What is report the error to your MDW/SM immediately?
This requires the advisor to have a reasonable basis for recommending a transaction or investment strategy.
What is Regulation Best Interest?
This disclosure is the approved one for a shared space if advisor is meeting with client.
What is JPMorgan Wealth Management Provider disclosure.
This must be included when recommending a Mutual Fund via email.
What is a prospectus
These items should be reviewed when placing a Mutual Fund trade for clients. List 3
What is
Approved list
LOI
ROA
Fund Family
Breakpoint
Suitability
Time horizon, Risk tolerance, Investment objective and liquidity needs are part of?
What is account suitability
This is the maximum number of days an Advisor is permitted to maintain documents in their Temporary/Pending file.
What is 45 Days?
This type of communication is defined as a written material emailed to more than 25 prospects or clients in a 30 day period.
What is Retail Communication?
These lists should be consulted when providing your opinion or soliciting a trade.
What is approved list and restricted list?
This information is collected from the client during the account opening process.
What is financial information and investment experience
These are 3 actions that are required to protect client information.
What is Clean desk policy
Send email secure when including client PII
and
Lock your computer when stepping away
This action is expected after completing a client call.
What is log a Call in Advisor Central?
This action is prohibited when placing a trade
What is exercising discretion - (Executing a trade without client authorization)
These limits are firm generated based on the associated risk level.
What is bitesize?