Compliance

Compliance Announcements

• Adding a Trusted Contact Person (TCP)

Policies and Procedures

• Forms of Identification
• Spire Code of Ethics 2023
• Spire IP CIP
• Spire Wealth Management and Spire Securities Supervisory Policies and Procedures
• Know Your Client (KYC) New Accounts for Non Resident Aliens [NRA]

Registration and Licensing

• State Fee Schedules
• Pre-Licensing Authorization Form
• Staff Entitlement Form
• Temporary Associate Entitlement Form
• Non-Registered Admin Registration

Continuing Education

• Addressing Senior and Aging Client concerns