This is the number of separate clients receiving an email that turns it into a mass mailing.
What is two?
This is when an employee trades securities based on material information that is not available to the public.
What is insider trading?
The two account attributes that, if changed without a client signature, may violate custody laws.
What is the address or email address.
The type of account registration that will not constitute custody when standing instructions are set up.
What are like to like registered accounts?
These are the number of European Union clients we can have before we have to enroll in the EUGDPR program.
What is zero.
This is who is in charge of communicating a disaster recovery plan to the firm.
Who is Jeff Ohe?
When all clients get the same price for a security when sold at the same time.
What is block trading?
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?
These are the number of European Union clients we can have before we have to enroll in the EUGDPR program.
What is zero.
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?
This is required on a smart phone that you have connected to IV Desk emails.
What is password/biometric authentication?
This is when am employee places a trade ahead of clients and potentially receives a favorable price.
What is front running?
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?
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?
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.
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?
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?
The appropriate location of all distribution request notes for outside accounts.
What are clearly labelled Junxure Actions?
The minimum frequency that advisors must have client contact.
What is annually?
The number of locks between the public and our client's non-public information.
What is two?
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.
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?
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?
The maximum amount we can charge a client in advance without being required to complete work within 6 months.
What is $1,200?
The place all investment research is saved.
What is the advisor's CFA Junxure Investment file?