2.
State where our office is located.
3.
City where our office is located.
4.
Department that helps interpret rules, policies, and regulatory expectations.
5.
Written rule or standard employees are expected to follow.
6.
Review used to test records, procedures, or controls.
7.
Documents and communications the firm must retain.
8.
Information given to clients so they can understand a material fact, risk, or conflict.
9.
Situation where competing interests may affect judgment or advice.
10.
Duty to act in the client’s best interest.
11.
Written or verbal expression of dissatisfaction from a client.
12.
Policy governing ethical conduct, access persons, and personal trading.
13.
Intentional deception or misrepresentation for financial gain.
14.
Items of value given or received that may create a conflict of interest.
15.
Meals, events, outings, or hospitality that may require tracking or pre-approval.
16.
Client or public-facing content used to promote advisory services.
17.
Content intended to attract prospects or promote advisory services.
18.
Client statement used to promote the adviser.
19.
Third-party statement used to promote or support the adviser.
20.
Regulator that may examine a registered investment adviser.
21.
Filing that describes the firm’s services, fees, conflicts, and disciplinary history.
22.
Short client disclosure written in plain language.
23.
Access to or control over client funds or securities.
24.
Third party that provides services or software to the firm.
25.
Sensitive client information such as Social Security numbers or account numbers.
26.
Security program that outlines safeguards for client and firm data.
27.
Roadmap for continuing operations after an emergency or outage.
28.
Cybersecurity or privacy event that may affect systems or data.
29.
Confirmed or suspected unauthorized exposure of information.
30.
Fake email designed to trick someone into clicking or sharing information.
31.
Security step requiring more than just a password.
32.
Chief Compliance Officer.
33.
Important nonpublic information that could affect an investment decision.
34.
Review performed before or during a vendor or business relationship.
35.
Questionnaire used to evaluate vendor or third-party risk.
36.
Law that may apply to certain retirement plans.
37.
Process of voting on shareholder matters on behalf of clients.
38.
Obligation to seek favorable terms when placing client trades.
39.
Contract that outlines the advisory relationship, services, and fees.
40.
Controls designed to detect and prevent money laundering.
41.
Privacy rule focused on safeguarding and protecting client information.
42.
Rule area involving political contributions and government entity clients.
