Polar Investment Counsel Inc.       

Member: FINRA, NFA, MSRB, SIPC

Independent Securities & Futures Brokers

Home Office: Thief River Falls MN

Annual Compliance Packages have been sent * Please complete all elements by April 1 2019 * U4 Review - Compliance Certificationn - Compliance Meeting - OBA Review - NFA Attestation

 

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Brochure

(All associates should be familiar with this brochure)

 

PolarInvest1.com

PICI  2019 Annual Compliance Meeting

Please click on the presentation below (conference table picture).  Once the presentation is complete, if you have any questions or concerns, please call the Home Office.  A staff member will be available to take your call during normal business hours.  If you have no questions, please answer the review questions below and then click the "submit" button at the bottom.  You will receive an email notification of completion once the Home Office has reviewed your submission as completion of the compliance meeting.

(click picture above to view power point presentation)


Compliance Meeting Q&A

Complete only after viewing Compliance Meeting

1 Monthly Blotters are optional record keeping items: 

True  False

   
2 Upon the death of a client, you must notify the Home Office so account can be frozen: 

True  False

   
3 You must absolutely wait until after a trade settles to correct an error:

True  False

   
4 We have secure email so we do not have to worry about opening any attachments or email messages.

True  False

   
5 Which of the following is not a common AML red flag:

Customer Clue  Activity Clue  Credit Clue  Cash Clue

   
6 It is your responsibility to make your client fully aware of the transactions they request:

True  False

   
7 Activity log blotters show daily entries of any activity you have done:

True  False

   
8 Cyber-security is not a problem you should be concerned with:

True  False

   
9 All money movement requests are processed at the branch level through the HTS systems.

True  False

   
10 HTS Learning Exchange is a place to sign up for courses for Firm CE:

True  False 

The electronic submission below is an acknowledgement that I, the named associate below, have personally completed the 2018 Compliance Meeting, gone through the review questions and that I have been given the opportunity to speak to a Home Office principal about any questions or concerns I may have.

Name: 

Office:     Rep ID/Asst:

 

I agree to electronic submission of the acknowledgement of the above statement.

   

               

 

 

 

 

 

 

 

 

 

 

 

 

PICI 2019

All rights reserved

HOME - FORMS & DOCUMENTS COMPLIANCE & EDUCATION - PRODUCTS

 

Polar Investment Counsel Inc.

19547 210th Ave NE   Thief River Falls MN  56701  

218-681-7344 ~ 218-681-1329 {fax}

     Mike  Jordan - President, CEO          Sherry Abbott - Exec VP, CCO, CFO

mjordan@polarinvest1.com                sabbott@polarinvest1.com