Employee Compliance

Employee Compliance Bingo Card
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This bingo card has a free space and 48 words: Anything of Value, Disclose, Preclear, Certify, Impacted WF Member, Managed, Approved Broker, 24 Months, L3, CP, Resident License, Connected Persons, NC, ViC Evergreen, Recidivist, Window List, Self Directed, iComply, Open Window Periods, Anti- Corruption Compliance Officers, QAR, Insurance License, Recommendation, Onboarding, Client Procedures, 60 days, Non Compliance, CO, Maintenance, Preclearance Denial, Producer, Initial Quarterly annual, Personal Account Dealing, Prospecting of New Clients, PR, L1 L2 L3, MNPI, 30 days, No Defect, Carrier Appointment, Violation, Access Person, Non Resident License, Hawkeye, Preclearance, Global Security, ECQA, Department of Insurance, Prohibited transaction, Renewals and Political Contribution.

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