Branch Exam
This is the approved title and company name for your social media profile
What is Private Client Advisor with JPMorgan Wealth Management
This tool is used to submit incoming and outgoing correspondence for review
What is CCR - Client Communications Review tool
This is the period that C share Mutual Funds will convert into A shares.
What is 6 years
This term describes holding a high percentage on a single security.
What is concentrated position.
This disclosure is the approved one for a shared space if advisor is meeting with client.
What is JPMorgan Wealth Management Provider disclosure.
This must be included when recommending a Mutual Fund via email.
What is a prospectus
This items should be reviewed when placing a Mutual Fund trade for clients. List 3
What is
Approved list
LOI
ROA
Fund Family
Breakpoint
Suitability
Time horizon, Risk tolerance, Investment objective and liquidity needs are part of?
What is account suitability
This is the approved location for maintenance documents pending imaging for record retention.
What is Temporary/Prospect Folder
This type of communication is defined as a written material emailed to more than 25 prospects or client in a 30 day period.
What is Retail Communication
This lists should be consulted when providing your opinion or soliciting a trade.
What is approved list and restricted list.
This information is collected at the client level
What is financial information and investment experience
This 3 actions are required to protect client information.
What is Clean desk policy
Send secure email when including client PII
Lock you computer when stepping away
This action is expected when you do a client call.
What is log a Call in Advisor Central
This action is prohibited when placing a trade
What is exercise discretion - (Executing a trade without client authorization)
This limits are firm generated based on the associated risk level.
What is bitesize.