Hartford Funds Compliance Crossword

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Across
  1. 1. Working for, or on the board of a start-up company is considered a(n) _____________ and must be reported via MCO prior to any engagement.
  2. 3. FINRA Registered Broker-Dealer that is the official distributor for Hartford Fund’s ETFs.
  3. 7. Mutual Funds/ETFs should never be described as providing this type of protection.
  4. 10. Department hired by Hartford Funds to lifeguard the firm.
  5. 12. (3 words) Something that interferes or competes with your job or your ability to decide and act in the best interest of Hartford Funds (personal activity, financial matter, obligation, etc.).
  6. 13. Entity that engages in the underwriting and wholesale distribution and marketing of open end investment companies registered under the Investment Company Act of 1940 to third party firms on behalf of Hartford Funds.
  7. 15. Investment adviser firm that serves as the adviser to the Hartford Mutual Funds.
  8. 16. Unacceptable or improper behavior by an employee.
  9. 17. Who is responsible for making sure all reportable accounts, trades, and holdings are appropriately and timely disclosed in MyComplianceOffice?
  10. 19. An invisible barrier designed to prevent unauthorized access to Hartford Fund’s corporate network.
  11. 20. Travel & Expense items are input into this system.
  12. 21. Money laundering involves three steps – Placement, ____________ and Integration. Step two involves carrying out a series of complex financial transactions to camouflage the illegal source of the cash.
Down
  1. 2. Procedures, laws and regulations designed to prevent individuals from disguising illegally obtained funds as legitimate income.
  2. 4. Any technology application that allows users to create, share and exchange information in an online community or forum.
  3. 5. Compliance is not an act, it’s a _______.
  4. 6. Encouraging a Financial Advisor to invest his clients in Hartford Funds Core Equity Fund because the Fund will outperform its benchmark during the next 2 years is inappropriate. Use of such language is considered?
  5. 7. All potential conflicts of interest need to be _________.
  6. 8. Protection of internet-connected systems from cyber-attacks, protect against unauthorized access to data centers and other computerized systems.
  7. 9. Investment adviser firm that serves as the adviser to the Hartford Funds multi-factor ETFs.
  8. 11. Moral principles that govern a person’s behavior.
  9. 14. Dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers.
  10. 16. Hartford Funds Chief Compliance Officer.
  11. 18. System employees use to attest/complete various Compliance related activities (reportable account disclosure, outside business requests, limited partnership requests, etc).