In the Movies
Gordon Gecko
What is Wall Street?
This act, passed in 1970, made structuring a crime and created numerous reporting requirements.
What is Bank Secrecy Act?
The following are example of – wireless skimming, compromising internet hosts, targeting desktop systems, keyloggers, destruction of infrastructure, distributed denial of service (DDOS) and ransomware.
What are Cyber Threats?
FINRA
What is Financial Industry Regulatory Authority?
We monitor Facebook, Linkedin, Bloomberg through this
What is Global Relay?
Jordan Bellfort
What is Wolf of Wall Street?
Third Party wire require what?
What is client confirmation?
In 2014, both of these regulators conducted additional investigation into cybersecurity through sweeps and questionnaires.
What are FINRA and SEC?
ERISA
What is Employee Retirement Income Security Act?
Must never be used to communicate with clients electronically
What are personal/non approved email addresses?
"I don’t really understand why there needs to be so much tension about this. The country is facing the worst economy since the Great Depression. If the financial system collapses, It will take every one of you down."
What is Too Big to Fail?
Three stages involved in Money Laundering
What are Placement, Layering, and Integration?
The fraudulent practice of sending emails purporting to be from the reputable companies in order to induce individuals to reveal personal information, such as passwords and credit card numbers.
What is Phishing?
ACH
What is Automated Clearing House
Prohibited form of communication
What is Text Messaging?
Company analyzed in the smartest guys in the room.
What is Enron?
OFAC stands for what
What is the Office of Foreign Assets Controls?
Client sends an email requesting immediate funds, “they cant be reached by phone, and they areaway from home” what should you do?
What is contact customer to determine legitimacy of request?
NIGO
What is Not In Good Order
These require immediate communication with the Chief Compliance Officer
What are customer complaints?
Maybe you can tell me what is going on. And please speak as you might to a young child. Or a Golden Retriever. It wasn’t brains that brought me here; I can assure you that!
What is Margin Call?
Uniting and strengthening America by providing appropriate tools required to intercept and obstruct terrorism act
What is the USA PATRIOT ACT?
Share Passwords
What is never?
CIP
What is Customer Identification Program?
Testimonials and Endorsements
What are Prohibited?