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Think Compliance - New York 2013
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Deceased : Failure by the branch office to code accounts as this has resulted in a recurring internal branch exam finding for the past 2 years.
Twitter : One of the approved networking tools FAs may use to "socially" interact with clients.
PrivateInvestments : ____ ____ by a spouse or domestic partner are subject to disclosure and supervisory and Compliance pre-approval.
iRespond : This is the system one would use to report/escalate a possible wire fraud incident.
ComplexProducts : FINRA classifies Leveraged ETFs, Structured Investments, Mortgage-Backed securities as these.
PublicAppearance : Participation in a seminar, radio or television interview or other public speaking event; and includes participation in certain social media is considered a ___ ___.
LimitedDuration : One of the limited exceptions permitting FAs the authority to exercise discretion in non-advisory accounts.
Syndicate : Employee & Employee-related accounts are ineligible to participate in _______ offerings.
Coverage : The _______ Central system must be used prior to contacting any prospect.
Adequate : Trade adjustments or errors must contain_______ explanations prior to being processed.
Think Compliance - New York 2013
Across:1. | Participation in a seminar, radio or television interview or other public speaking event; and includes participation in certain social media is considered a ___ ___. | 7. | FINRA classifies Leveraged ETFs, Structured Investments, Mortgage-Backed securities as these. |
| 9. | Employee & Employee-related accounts are ineligible to participate in _______ offerings. | 10. | One of the limited exceptions permitting FAs the authority to exercise discretion in non-advisory accounts. |
| | Down:2. | ____ ____ by a spouse or domestic partner are subject to disclosure and supervisory and Compliance pre-approval. | 3. | Trade adjustments or errors must contain_______ explanations prior to being processed. | 4. | Failure by the branch office to code accounts as this has resulted in a recurring internal branch exam finding for the past 2 years. |
| 5. | This is the system one would use to report/escalate a possible wire fraud incident. | 6. | One of the approved networking tools FAs may use to "socially" interact with clients. | 8. | The _______ Central system must be used prior to contacting any prospect. |
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© 2013
PuzzleFast.com, Noncommercial Use Only
Think Compliance - New York 2013
Across:1. | Participation in a seminar, radio or television interview or other public speaking event; and includes participation in certain social media is considered a ___ ___. | 7. | FINRA classifies Leveraged ETFs, Structured Investments, Mortgage-Backed securities as these. |
| 9. | Employee & Employee-related accounts are ineligible to participate in _______ offerings. | 10. | One of the limited exceptions permitting FAs the authority to exercise discretion in non-advisory accounts. |
| | Down:2. | ____ ____ by a spouse or domestic partner are subject to disclosure and supervisory and Compliance pre-approval. | 3. | Trade adjustments or errors must contain_______ explanations prior to being processed. | 4. | Failure by the branch office to code accounts as this has resulted in a recurring internal branch exam finding for the past 2 years. |
| 5. | This is the system one would use to report/escalate a possible wire fraud incident. | 6. | One of the approved networking tools FAs may use to "socially" interact with clients. | 8. | The _______ Central system must be used prior to contacting any prospect. |
| |
© 2013
PuzzleFast.com, Noncommercial Use Only