Security refresher

Security refresher

Professional Development

10 Qs

quiz-placeholder

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Security refresher

Security refresher

Assessment

Quiz

Professional Development

Professional Development

Practice Problem

Medium

Created by

LearningAnd Development

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10 questions

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1.

MULTIPLE SELECT QUESTION

45 sec • 1 pt

Patricia calls in asking for her market value. She doesn't remember her account number. Which security question can you ask her UPFRONT to search her account? (Select all that apply)

Wed login ID 

Client's Full Name

Full SIN 

Cross-Information Number

2.

MULTIPLE SELECT QUESTION

45 sec • 1 pt

Max Timmy has locked himself out of his IOL account and needs a password reset. He provides you with his full name and account number however the last 4 digits of his SIN doesn't match our records. Which remaining security questions do you need to ask before resetting his IOL password? (check ALL that apply)

His date of birth

His email address

The answer to one of his IOL security questions

The approximate value of his account

His full mailing address

3.

MULTIPLE SELECT QUESTION

45 sec • 1 pt

While passing a caller through security, which verbiage can you not use to confirm the validity of the information. (Select all that apply)

"Perfect"

"Great"

"Thanks/Thank you"

"I can look into that after passing full security"

4.

MULTIPLE SELECT QUESTION

45 sec • 1 pt

What type of information can you provide to a future advisor? (Select all that apply)

Account type (e.g. RRSP, Non-Registered)

Account administration type (e.g. Nominee, Client-Held)

The web login ID

Governing province for Locked-In Plans

5.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

Client Patricia calls in requesting information in her mother's Sylvie CI account number, is a verbal authorization from the client is required?

True, verbal authorization from Sylvie is required to provide information to a third party

False as Patricia has the Sylvie CI account number and her personal information. No verbal authorization required.

6.

MULTIPLE SELECT QUESTION

45 sec • 1 pt

Mike's wife (Macy) provides you with her husband's account number. She is looking for her husband's web login ID. Please select the security questions you must ask Mike prior to discussing his account details with Macy (check ALL that apply)

Mike's full name

Mike's full SIN

Mike's verbal authorization

Mike's full mailing address including the postal code

Mike's DOB and last 4 digits of SIN

7.

MULTIPLE SELECT QUESTION

45 sec • 1 pt

When an Assante advisor calls in, what are the additional security questions required? (Select all that apply)

Market value of the account

Client’s FULL SIN 

Client’s full mailing address, including postal code 

Advisor AUM

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