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COMPLIANCE CROSSWORD

Teacher: The Polisa's
Across
WHERE YOU REPORT YOUR OUTSIDE ACTIVITIES AND OUTSIDE INVESTMENTS
SAME PIECE SENT TO MORE THAN ONE PERSON.
THIS PRODUCT REQUIRES DOCUMENTATION AND ANNUAL MEETINGS
FA HAS DISCRETION ON THIS ACCOUNT TYPE
YOU MUST HAVE PREAPPROVAL, PAY INITIALLY YOURSELF, THEN YOU CAN REQUEST THIS.
THIS IS DONE ANNUALLY TO CONFIRM YOUR DISCLOSED A/C'S, ACTIVITIES AND INVESTMENTS.
WHERE YOU CAN FIND OUT HOW TO DO MOST ANYTHING
THIS PERSON CANNOT ACT AS AN AFFIANT AND MUST DISCLOSE IF THEY PERFORM THIS OUTSIDE THE OFFICE
Down
THE ONLY FIRM APPROVED WORK RELATED SOCIAL MEDIA.
YOU MUST TAKE THE PUBLIC APPEARANCES MODULE IN ORDER TO HAVE ONE.
YOU MUST REPORT THESE TO THE HUB IMMEDIATELY
IS THIS THE RIGHT PRODUCT FOR THIS CLIENT?
A LETTER SENT TO ONE CLIENT.
BREAKPOINT ON INTENDED PURCHASES WITHIN 13 MOS.
SEMINARS AND ADVERTISING MUST BE SUBMITTED HERE
BREAKPOINT ON ACCUMULATED PURCHASES
ORIGINAL AND ADD ON TRANSACTIONS MUST BE DONE HERE.
YOU CANNOT ACCEPT ORDERS VIA THIS METHOD. YOU MUST CALL TO CONFIRM THE ORDER BEFORE PLACING IT.
WHAT YOU NEED TO HELP THE CLIENT MAKE THE RIGHT FINANCIAL DECISIONS