HUB Capital 2024 Best Practices Review

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HUB Capital 2024 Best Practices Review

Watch the replay of the webinar and complete the quiz below with a 60% or higher to receive CE credits. You can also complete the quiz if you had joined the live webinar on January 31st, 2024.

Email *

Your Full Name *

Which of the following statements regarding maintaining proper evidence of client authorization is correct?

1 point

LTAs are no longer required by HUB Capital in order to accept verbal trade instructions without client signature

DocuSign is the only form of electronic signature approved for use by HUB Capital representatives

If relying on verbal authorization the time, date, means of authorization must be included on the order ticket/trade documents and detailed notes must be kept in the client file

Reps must never act solely on trade instructions received from a client by email or text, they must confirm the instructions verbally with the client

All of the above

Purchases can be placed for a client if the last KYC completed for the plan is more than 36 months old.
*

1 point

True

False

Fund Facts must be delivered to the client:
*

1 point

Within 1 business day after the trade has been processed

Within 3 business days after acceptance of a trade

Prior to the acceptance of a trade

Once the client signs the trade ticket

The maximum dollar limit for Pre-Authorized Debit (PAD)s is $399,999.

1 point

True

False

A representative’s client notes must be:
*

1 point

Short and to the point

Typewritten and should only be kept electronically

Contemporaneous, correct, complete, current and consistent

Reps are not required to keep detailed client notes

Representatives should review the Plan Suitability Report in RepVision for which of the following information?

1 point

The last KYC on file date and to review client’s KYC information (Risk Tolerance and Investment Objective) to compare with investments to determine if there are any suitability issues

To determine if Fund Facts must be delivered to the client

To determine if there are any pending deficiencies associated with the plan

All of the above

None of the above

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