This is the number of separate clients receiving an email that turns it into a mass mailing.
What is two?
100
This is when an employee trades securities based on material information that is not available to the public.
What is insider trading?
100
This is the number of days we can hold on to a check erroneously made out to Cahill or an advisor without it being deemed custody.
What is three?
100
These documents are given out to prospective clients or the public and need to be preapproved by compliance before use.
What are marketing materials?
100
The person in charge of declaring a disaster plan.
Who is Jeff?
200
This person is required to review any changes you make to your professional social media profiles prior to use and must pre-approve any original-content posts you want to make.
Who is the Crystal?
200
This is a list that includes names of companies in which employees are not allowed to trade stock.
What is the restricted list?
200
This is 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?
200
These are the three documents that must be handed out to prospects as they sign up to become clients.
What are Form ADV 2A and 2B, and the Cahill Privacy Policy?
200
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?
300
This is required on a smart phone that you have connected to IV Desk.
What is a password?
300
This is when an advisor places a trade in their personal accounts prior to placing trades for the same security in their client's accounts.
What is front running?
300
These are the people who we are allowed to act as trustees on accounts without it being considered custody.
Who are immediate family members?
300
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?
300
These are the documents where we can provide past performance to clients.
What are NONE?
400
This form of communication is reviewed monthly on a sample basis based on keyword searches and forensic sampling.
What is email?
400
This is when all clients get the same price for a security when sold at the same time.
What is block trading?
400
These are the two things that if they are accessible via login credentials constitute custody.
What are cash or securities?
400
This is the point in which a client agreement must be signed.
What is prior to receipt of client non-public information?
Filling out an account application or receiving financial planning documents is receiving client NPI!
400
The number of locks between the public and our client's non-public information.
What is two?
500
These two types of electronic communications are prohibited from use for business purposes because they cannot be retained and reviewed.
What are text and instant messaging?
500
These are the two types of trades that require preapproval by Crystal or Jeff before being placed in an employee account.
What are IPOs and Limited Offerings?
500
This is the number of places a login and password is allowed to be stored for a client's account that qualifies for custody.
What is one (bonus points if you can name where)?
500
The document we are required to send annually to clients detailing how client information is secured.
What is the privacy notice?
500
The place all investment research is saved.
What is the advisor's CFA Junxure Investment file?