This document must be given out to prospective clients and must be reported to what employee?
What is the ADV and who is Terri Bandy?
100
The only social networking site that WH employees are allowed to use for business purposes.
What is LinkedIn?
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 document summarizes our services to be provided to our clients.
What is the Client Engagement Agreement?
100
This employee recently watched two entire episodes of "Orange is the New Black" while on a recent vacation.
Who is Brandy B. Hydrick?
200
This document covers 10 critical business elements, three of which are: All mission critical systems; Alternate physical location of employees; and communications with Regulators.
What is the Business Continuity Plan (BCP)
200
In LinkedIn, what two forms of communications are required to be "turned off", as to avoid testimonials (Advertising)?
What are recommendations and endorsements?
200
These two types of transactions are prohibited to Welch Hornsby employees.
What are IPOs and Private Placements?
200
This document summarizes our client's goals, objectives, investment restrictions, risk profile, among other things.
What is an IPS (Investment Policy Statement)?
200
Which employee, in a rush, dashed through airport barriers to hand-deliver a Fedex package to airline workers.
Who is Phil Anderson?
300
This document must be completed BEFORE contributing to a political candidate.
What is the Political Contribution Pre-approval Form?
300
This is required on a smartphone.
What is Angry Birds? (just kidding)
What is a password for phone access?
300
The firm is deemed to have this if it or any of its employees is a trustee for a client.
What is custody?
300
The state of being protected against the criminal or unauthorized use of electronic data, or the measures taken to achieve this.
What is cybersecurity?
300
This individual just "wants to do what he wants to do", only if you would "permit him".
What is John Hornsby?
400
This document is required to be completed and returned to compliance annually by all "supervised" Welch Hornsby employees.
What is the Annual Questionnaire?
400
This form of communication is reviewed monthly on a sample basis.
What is email?
400
The duty that requires us to act in the best interest of our clients.
What is fiduciary?
400
This rule sets forth guidelines to identify, detect, and prevent theft of client NPP.
What is the Identity Theft Red Flags Rule?
400
This employee famously is known for returning from vacations with various "bloody" injuries.
What is our very own...Vicky Novak?
500
The document we are required to send annually to clients detailing how their information is secured.
What is the Privacy Notice?
500
These two types of communications are prohibited fro muse for business purposes because they cannot be retained and reviewed.
What are text and instant messaging?
500
This was created to prevent unlawful trading and promote ethical conduct by employees.
What is code of ethics?
500
This procedure was required as a result of the Patriot Act (2001) and requires that an OFAC check be performed on new clients.