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COMPLIANCE CROSSWORD

Across
WRitten or verbal statement alleging a grievance
Social media you cannot use to conduct Matter business
Do this when you think you might have a compliance issue
All new clients must be approved by this group
All clients must receive this before signing on
Employment for compensation outside the office
Must demonstrate we do this for all recommendations
What you must do if client gives you Superbowl seats
Can only use this social media with prior written approval from CCO
Can never recommend an investment based on
What you do when client texts or emails you on a non-business account
The best way
You write this in subject line of email to make it more secure
SEC requires we disclose these annually
Down
Who bears the regulatory risk if violate rules and regs
Can violate custody rules if don't limit our authority
Must put the interests of the client ahead of their one when acting in this capacity.
Violating this policy gets you coal
You serving on the board of a non-profit with a client is considered a
Abbreviation for the characteristics we agree to adhere to in Code of Ethics
New rule we are subject to beginning in April
You entered your trades prior to clients
When you send the same item to multiple people you need this
Holding, directly or indirectly, client funds or securities or having authority to obtain possession of them
Must report if over $250
Can never be used in marketing and advertising
When you have access to non public information about a company
SEC requires we disclose these quarterly
Who you contact if you believe you were subject to cyber incident