Show:
Policies/Procedures
Code of Ethics
Marketing/Privacy
Miscellaneous
Disaster Recovery
100
The collection of documents that govern your activities as an employee or advisory representative of CFA.
What is Camarda's Compliance Manual?
100
The duty of care owed to CFA clients; specifically it is the duty to place the interests of the client before that of the person providing the investment advice.
What is the Fiduciary Responsibility?
100
Personally identifiable information that is provided by a potential investor or shareholder that is not common knowledge.
What is Non-public personal information?
100
48 hours prior to contract or five (5) day cancellation.
What is the delivery requirement of the Firm's ADV Brochure?
100
Records relating to the company's clients, the ability for the company to continue to make and implement investment recommendations and the ability for the company's clients to communicate with the company.
What are the three primary concerns in the event that the offices are inaccessible, equipment is lost or communications are lost?
200
A formal review and discussion of the Policies and Procedures.
What is the Annual Compliance Meeting?
200
Personally identifiable financial information that is provided by a consumer to a financial institution, results from any transaction with the consumer or any service performed by by the consumer, or is otherwise obtained by the financial institution?
What is "NPI" Nonpublic Personal Information)?
200
Shredding confidential information; locking materials and computers when unattended; limiting conversations in public places.
What are appropriate protections of client confidential information?
200
Supervised persons and Access persons required to comply by.
Who is covered by the Code of Ethics?
200
Prior to accepting an invitation to speak publicly, to have written works published or become involved with outside works.
In the event that the company were to lose access to its offices or lose equipment
300
Policies and procedures under the Investment Advisors Act of 1940.
What is Rule 206(4)-7?
300
Initial and Quarterly Holdings Reports
What are reports submitted by Access Persons listing the securities or transactions in securities for which they have a beneficial interest?
300
Authorized marketing materials, due diligence materials and investor communications.
What are only those documents which have been approved by the CCO for use.
300
Certain books and records of both CFA must be maintained for what period of time?
What is five years?
300
Required information and disclosures about you that the state securities administrator maintains.
What is your U4 information? Changes in your personal information, residence and regulatory, criminal and financial disclosures require updating.
400
The estimated value of which exceeds $200.00.
What is the dollar amount of non-cash gifts which should be reported to the Chief Compliance Officer?
400
An identity theft prevention program designed to detect, prevent and mitigate identity theft in connection with certain existing accounts and the opening of new accounts.
What is the new SEC Regulation S-ID?
400
The requirement that every registered investment adviser deliver to each prospective client a written disclosure describing the background and business practices of the adviser.
What is the brochure rule?
400
If you suspect a violation of the policies and procedures, or the Code of Ethics.
What is immediately discuss your concerns with the Chief Compliance Officer.
500
Questions interpreting any portion of the Code of Ethics should be directed to this person?
Who is the Chief Compliance Officer?
500
This Regulation requires the firm to establish appropriate standards concerning the security of client nonpublic personal information
What is Regulation S-P
500
A listing of information and resources essential to the performance of your duties.
What is what you should provide to the Chief Compliance Officer of CFA under the Business Continuity Plan? This will ensure these resources are available to you in a disaster recovery situation.
500
If you receive a complaint (either oral or written) from a shareholder of CCT or a prospective investor.
What is immediately advise the Chief Compliance Officer of CCT.