Hartford Funds Compliance Crossword

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Across
  1. 1. Vendor employees use to attest/complete various Compliance related activities (reportable account disclosure, outside business requests, limited partnership requests, etc).
  2. 2. Who is responsible for making sure all reportable accounts, trades, and holdings are appropriately and timely disclosed in MyComplianceOffice?
  3. 6. An anonymous way to report an ethics or compliance concern.
  4. 7. Dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers.
  5. 8. Any technology application that allows users to create, share and exchange information in an online community or forum.
  6. 9. 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.
  7. 10. Protection of internet-connected systems from cyber-attacks, protect against unauthorized access to data centers and other computerized systems.
  8. 13. Compliance group that used to be called Advertising Review .
  9. 15. All potential conflicts of interest need to be _________.
  10. 17. Procedures, laws and regulations designed to stop the practice of generating income through illegal actions.
  11. 18. Unacceptable or improper behavior by an employee.
  12. 20. Investment adviser firm that serves as the adviser to separately managed accounts.
Down
  1. 1. Hartford Funds Chief Compliance Officer.
  2. 3. Moral principles that govern a person’s behavior .
  3. 4. Situation in which a person is in a position to derive personal benefit from decisions made in their official capacity.
  4. 5. Using laundered proceeds in seemingly normal transactions to create the perception of legitimacy.
  5. 9. Investment adviser firm that serves as the adviser to certain Hartford Funds.
  6. 10. Complying to a rule (policy, standard, law).
  7. 11. 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?
  8. 12. FINRA Registered Broker-Dealer that is the official distributor for Hartford Fund’s ETFs.
  9. 14. Travel & Expense items are input into this system.
  10. 16. Compliance is not an act, it’s a _______.
  11. 19. 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.