Polar Investment Counsel Inc.       

Member: FINRA, NFA, MSRB, SIPC

Independent Securities & Futures Brokers

Home Office: Thief River Falls MN

Annual Compliance Program - Compliance Meeting Available - Completion of Program Due 1-31-2024

 

WELCOME

 

FORMS & DOCUMENTS

 

COMPLIANCE & EDUCATION

 

PRODUCTS

 

________________

 

HO P&P

June 2022

 

WSP Manual

June 2022

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Links of Interest

 

FINRA

MSRB

SIPC

SEC

NFA

CBOE

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PICI CIB

Customer

Information

Brochure

(All associates should be familiar with this brochure)

 

PolarInvest1.com


COMPLIANCE


Risk comes from not knowing what you are doing......                                                             Warren Buffet

Compliance is the center of all regulatory efforts of a broker dealer.  Regulators perform risk assessments based on certain criteria and determine if we complied with what we need to do and say we are doing.  Compliance and education go hand in hand, you can't do one without the other.

Real Education must ultimately be limited to men and women who insist on knowing.

The rest is mere sheepherding....

           Ezra Loomis Pound

 

Compliance Calendar

 

FINRA Renewals - Dec 2023

Firm Annual Compliance Meeting - Dec 2023

Annual Compliance Certification - Dec 2023

 

June 2023 - Annual Privacy Policy Mailing

 

 

AML Program

PICI Compliance Program

Ethics Training

All associates are required to read

 

*****  2023 ANNUAL COMPLIANCE PROGRAM  *****

applicable documents and links are on forms & docs page

PICI Compliance Meeting (Go To Meeting Recorded Link)

PICI Compliance Meeting Outline (PDF to use to follow along with meeting)

ACC Annual Compliance Certification (2023 ACC - online certification)

ACC Reporting Page (CRP - online - use for reportable answers on ACC if applicable)

Annual Compliance Program Attestation (use to certify completion of compliance program)


 

FINRA CE - ONLINE - DUE EVERY YEAR

 

You can now complete your FINRA CE online - in your office - on your own time - no time limits!

Go to FINRA.ORG and log into FinPro and get it done early!  Open all year.

 

 

 

 

PICI 2023 All rights reserved

WELCOME - FORMS & DOCUMENTS COMPLIANCE & EDUCATION - PRODUCTS

 

Polar Investment Counsel Inc.

19547 210th Ave NE   Thief River Falls MN  56701  

218-681-7344

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

mjordan@polarinvest1.com                sabbott@polarinvest1.com