Compliance Form - CreativeOne Securities

Person in Charge of the Branch*

First Last

Email of Person in Charge of the Branch*

Are you allowed to meet with a client in a virtual environment?*

Yes
No

In order to keep in touch with clients and market to new prospects, are you considering using Webinars?*

Yes
No

Are webinars considered advertising?*

Yes
No

Do they need prior approval?*

Yes
No

If you are reaching out to your clients with letters or emails, if they are to more than one client are they considered advertising?*

Yes
No

Do they need prior approval?*

Yes
No

In non-advisory accounts are you ever allowed to make purchases or to sell positions without talking to the client prior to completing the transaction?*

Yes
No

If there are any issues you would like to bring to our attention, please give a brief description and you will be contacted for additional details.*

Quarterly Compliance Questionnaire

2nd Quarter 2020