Compliance Training 10/10/22

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Across
  1. 4. a type of test ran to test the effectiveness of the Firm's network and data security, runs alongside of penetration testing
  2. 5. the act of removing or retiring Firm devices
  3. 9. an event requiring the notification of Senior Management, includes cybersecurity and/or disaster recovery
  4. 11. prohibits the acceptance of cash and requires OFAC screening
  5. 12. signed contract outlining services provided
  6. 13. trading that is completed in the last hour of the day, less than 4% of account value, or consists of shares held for greater than 90 days
  7. 14. the only Firm-approved social media platform
  8. 15. A Client's dissatisfaction if written and asks for rectification
  9. 17. physical or electronic access and/or control of Client assets
  10. 18. composed of the Firm's Form CRS, ADV Part 2A and 2B
Down
  1. 1. a specific Person subject the Firm's COE, includes regular, temporary, full-time, part-time employees, intern(s), and certain independent contractors
  2. 2. defined by the SEC as someone older than 62
  3. 3. actual or hypothetical results presented to clients
  4. 6. Individual's personal profile, part of NPI
  5. 7. fees paid by the Client, done monthly in advance based on prior month-end closing value
  6. 8. how data is organized according to sensitivity
  7. 10. lack or hard-wired connection; access must be password-protected; public access is prohibited
  8. 16. a word or passphrase used to secure logins