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