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

 

PRODUCTS

 

________________

 

HO P&P

June 2018

 

WSP Manual

June 2018

________________

 

Links of Interest

 

OFAC SEARCH

FINRA

MSRB

SIPC

SEC

NFA

CBOE

________________

 

PICI CIB

Customer Information Brochure

(All associates should be familiar with this brochure)

 

Welcome to PICI's Compliance Website

This site is for firm associates only and all passwords and material on this site are to be handled according to the firm's policies and procedures.  At no time should you give an unauthorized individual access to this website nor should you ever direct a client to this website. 

You will use this site to obtain firm forms, participate in the firm's CE program, annual attestations, compliance meetings and more.  The firm's WSP (Written Supervisory Procedures) manuals are located on the side navigation pane along with a link for the OFAC search.

If at any time you have any questions regarding the functionality or content of the website, please contact the Home Office.

Thank you and have a great day!

 

 

 

 

 

 

 

 

 

 

 

 

PICI 2019

All rights reserved

HOME - FORMS & DOCUMENTS COMPLIANCE - 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