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

 

HOME

 

FORMS & DOCUMENTS

 

COMPLIANCE & EDUCATION

 

PRODUCTS

 

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HO P&P

June 2018

 

WSP Manual

June 2018

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Links of Interest

 

OFAC SEARCH

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

 

Quarterly Review  

AML Program

Qtr 1 2019

Qtr 2 2019

Qtr 3&4 2018

Qtr 1&2 2018

Qtr 1&2 2017

Qtr 3&4 2017

Qtr 1 2016

Qtr 2&3 2016

Qtr 4 2016

 

PICI Compliance Program

 

 

 

Compliance Calendar

 

ACC Completion due by 4-1-19

June - Annual Privacy Policy Mailing

FINRA Renewals - Nov 2019

 
 
 

 

*****  2019 ANNUAL COMPLIANCE PROGRAM  *****

PICI Compliance Meeting (online video presentation & review questions)

PICI Compliance Meeting Outline (print to follow along with meeting)

ACC Annual Compliance Certification (2019 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)


 

Need to satisfy your FINRA Regulatory CE Window?

 

You can now complete your FINRA CE

online - in your office - on your own time - no time limits!

Contact the Home Office for information

 

 

 

 

 

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