Hartford Funds Compliance Crossword

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Across
  1. 2. A security device used in cars, trucks and corporate networks.
  2. 3. Investment adviser firm that serves as the adviser to certain Hartford Funds.
  3. 6. 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.
  4. 7. Adhere to a rule (policy, standard, law).
  5. 11. Dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers.
  6. 12. Separation of illicit proceeds from their source by a variation of financial transactions intended to conceal the origin of the proceeds.
  7. 13. Vendor employees use to attest/complete various Compliance related activities (reportable account disclosure, outside business requests, limited partnership requests, etc).
  8. 16. Any technology application that allows users to create, share and exchange information in an online community or forum.
  9. 18. Situation in which a person is in a position to derive personal benefit from decisions made in their official capacity. HINT – 3 words.
  10. 19. Moral principles that govern a person’s behavior.
  11. 22. Hartford Funds Chief Compliance Officer.
Down
  1. 1. Mutual Funds/ETFs should never be described as providing this type of protection.
  2. 4. Unacceptable or improper behavior by an employee.
  3. 5. Compliance is not an act, it’s a _______.
  4. 8. Protection of internet-connected systems from cyber-attacks, protect against unauthorized access to data centers and other computerized systems.
  5. 9. Investment adviser firm that serves as the adviser to separately managed accounts.
  6. 10. All potential conflicts of interest need to be _________.
  7. 14. Who is responsible for making sure all reportable accounts, trades, and holdings are appropriately and timely disclosed in MyComplianceOffice?
  8. 15. 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?
  9. 17. FINRA Registered Broker-Dealer that is the official distributor for Hartford Fund’s ETFs.
  10. 20. 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.
  11. 21. Procedures, laws and regulations designed to stop the practice of generating income through illegal actions.
  12. 23. Travel & Expense items are input into this system.