PICI  2024 Annual Compliance Meeting & Review Questions

This year the firm is conducting its annual compliance meeting via Go To Meeting recorded meeting.  Due to logistics and time zones, this is the best way to conduct the meeting.  As with all compliance meetings, you have the opportunity to contact the Home Office and speak to a senior principal about anything you have questions on or concerns about.  The meeting invitation was sent via email and contains the link to attend.  After the meeting, please come back to this page and complete the short Q&A below and submit.  This is an element of the Firm's compliance package and is required of all associated and provides proof that you attended the meeting.  

Click here to access link to the PICI Compliance Meeting for 2024

Compliance Meeting Q&A

Complete only after viewing Compliance Meeting

1 Reg BI Form CRS is sent at the same time approved documents are sent to the client. True  False     2 Security software on your computer must have live updates. True  False     3 FISMO is the acronym we use for Hilltops trading system. True  False     4 Email from FINRA is safe so we do not have to worry about opening any attachments or 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 and document all recommendations for Reg BI. True  False     7 Reps are allowed to move money directly with Hilltop. True  False     8 You do not need to notify the Home Office of any businesses that you start or operate outside of PICI. True  False     9 Monthly blotters are required of all registered reps regardless if you have the activity or not. True  False     10 It doesn't matter what order you email a client Form CRS. True  False        Please enter the secret phrase below: The electronic submission below is an acknowledgement that I, the named associate below, have personally completed the 2023 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.