Terms
This is when an employee trades securities based on material information that is not available to the public.
Insider Trading
This is the annual gift value limit that employees may accept from anyone that does business or desires to do business with firm.
$300
These documents are given to prospective investors and need to be pre-approved by Compliance before use.
Marketing Materials
This actress was sentenced for conspiracy to commit mail fraud in the college admissions bribery scandal
Felicity Huffman or Lori Loughlin
On this show, a mob boss in New Jersey comes under investigation for racketeering
Sopranos
This is a list of company names that employees are prohibited from trading.
Restricted List
This is the rule that requires the firm to monitor political contributions.
Pay-to-Play
This document is required to be amended at least annually with the SEC and contains detailed information about the firm's AUM, products, and risk factors
Form ADV
Mike "The Situation" Sorrentino
On this show, Logan Roy and the Waystar Royco board are accused of paying victims of the cruise-ship scandal hush money
Succession
The duty that requires us to act in the best interest of our clients.
Fiduciary
New amendments to this regulation require us to establish an incident response plan and notify customers of a breach
Regulation S-P
This document must be completed by investment professionals and it addresses a number of risks including climate impacts and carbon footprint.
ESG Checklist
This influencer/boxer was charged by the SEC for his involvement in a cryptocurrency scheme
Jake Paul
On this show, Timothy Ratliff finds out he's being investigated for money laundering while on vacation with his family in Thailand
White Lotus
This was created to prevent unlawful trading and promote ethical conduct by employees.
Code of Ethics
Employees are prohibited from making this type of political donation.
State and local candidates
The document we are required to receive from investors when they commit to a fund
Subscription Documents
This RHONJ star was sentenced to 15 months in prison after being convicted of mail fraud, bankruptcy fraud, and conspiracy to commit fraud
On this show, Bobby Axelrod is often shown using inside information to inform his trading decisions
Billions
The Act that requires SEC registered investment advisers to maintain policies and procedures to enhance compliance with federal securities laws.
Investment Advisers Act of 1940
It is never permissible to accept this form of gift.
Cash in any amount
This document is updated annually and contains principles and guidelines to ensure that we are satisfying our fiduciary obligations and complying with the rules of the Advisers Act.
Compliance Manual
This RHOSLC star plead guilty to wire fraud for a telemarketing scam that defrauded elderly victims
Jen Shah
On this reality TV show, Erika Jayne's estranged husband, Tom Girardi, was convicted of embezzling over $15 million from clients
Real Housewives of Beverly Hills