• Introduction
  • R•Desktop Overview
  • What’s New?
  • Conventions
    • Conventions
    • Licensed Features
    • Open Source Software
    • Procedures
    • Screen illustrations
  • Contents at a Glance
  • Starting R•Desktop and Logging On
    • Resetting Your Password
  • The Opening Screen
  • User Preferences and Alerts
    • Search Defaults tab
    • Alert Subscriptions tab
    • Print Portfolio Details tab
      • Client Investment Summary subtab
      • Batch Investment Summaries subtab
      • Portfolio Report - Account subtab
      • Portfolio Report - Client/Household subtab
    • System Defaults tab
    • Change Password tab
    • Tasks tab
    • CRM Attributes tab
    • Rebalancing Defaults tab
      • 2
• Adding and Maintaining Client Information (CIF)
  • Client Information File (CIF) Overview
  • Viewing Client Information
    • Searching for a Client
    • Client Search Results Action List
    • Client Overview Action List
  • Adding a Person or a Company
  • Adding a New KYC
    • Client KYC Details—Overview tab
      • Previous Net Worth Details
    • Review Client KYC
    • KYC Details—Client tab
    • KYC Details—Employment tab
    • KYC Details—Spouse tab
    • KYC Details—Joint Applicant tab
    • KYC Details—Questions tabs
    • KYC Details—Insider Info tab
    • KYC Details—Controlling SH Info tab
  • Updating Client Profile Details
  • Updating Personal or Enterprise Information
  • Adding Background Information
  • Adding or Updating Bank Information
  • Adding or Updating Household Information
  • Adding Client Notes and Diary Information
  • Adding Client Notes
  • Adding PEP Details
  • Viewing Transaction Details
    • Viewing Transactions for a Client
    • Viewing Transactions for a Specific Investment
      • Fund Transactions
      • Demand Transaction Detail
      • Term Transaction Detail
      • Equity Transactions
      • Certificate Details dialog
      • RESP Details
    • Reversing a Demand Transaction
  • Managing Tracked Portfolios
  • Working with Orders
  • Setting Up a Full Transfer Out
  • Setting Up Tasks
    • Advisor Tasks
    • Client Tasks
  • Setting Up CRM Attributes
  • Viewing Commission and Fee Revenue
  • Setting Up Group Info—Company
    • Group Contribution Totals
  • Viewing Family Group Assets
  • Entering FATCA Information
  • Sending Financial Reports
  • Viewing Upcoming Events
    • Upcoming Events Advanced Search
    • Event Account Detail
  • Viewing Advisor Details
  • Viewing Commissions
  • Adding Fund Facts via Fundata
    • Fund Facts Information Details
      • Model Code Search
  • Creating an Account Application
  • Uploading Images
    • 3
• Working with Accounts
  • Account Overview
  • Adding an Account
    • Add Account—Applicant tab
    • Add Account—Registration Details tab
    • Add Account—ITF Owner tab
    • Add Account—Joint Applicant tab
    • Add Account—Joint Applicant tab (licensed)
    • Add Account—Additional Information tab
    • Add Account—Account KYC tab
    • Add Account—AML Details tab
    • Add Account—Questions tab
  • Viewing Account Information
    • Searching for an Account
    • Account Overview Action List
  • Viewing Additional Account Information
    • Contract Status Summary
  • Viewing Compliance Information
  • Viewing Account Documents
  • Adding Account Notes
  • Adding Additional Related Parties
    • RESP Related Parties
    • RDSP Related Parties
      • Beneficiary RDSP Consent Transaction
  • Viewing Tax Form Information
  • Viewing Guarantee/Guarantor Information
  • Working with Orders
  • Adding an Account KYC
  • Setting Up a PAC
  • Setting Up a SWP
  • Viewing Transaction Details
  • Viewing External Systematic Account Records
  • Viewing E-Forms
  • E-Form Uploads
  • Adding TFSA Information
  • Working with Billing Rates
  • Viewing Fee and Billing Rate Information
  • Adding Deposit Instructions
  • Viewing RESP Details
    • RESP Details
    • RESP Information
  • Viewing RDSP Details
    • CDSG Information
    • CDSB Information
    • Assistance Holdback Amount Summary
  • Viewing Loan/Collateral Details
  • Viewing Buy Instructions
  • Viewing Sell Instructions
  • Working with Scheduled Sell Records
  • Working with Scheduled Switch Records
  • Working with Sweep Records
  • Setting Up Benefits
  • Pending Residency Changes
  • Setting Up a Manual Transfer
  • Viewing Reorganization Events
  • Setting Up Advisor Options
  • Adding Media Types
  • Setting Up an IPS Questionnaire
  • Viewing Account Restrictions
  • Searching for eDocuments
  • Viewing the Document Directory
  • Modifying Pending Account Applications
  • Setting Up an Asset Transfer Request
  • Adding Fund Facts via InvestorCOM
  • Setting UP an IPQ Questionnaire
    • Investor Profile Questionnaire
      • Investor Profile Questionnaire—Risk Questions tab
      • Investor Profile Questionnaire—Investment Objective tab
      • Investor Profile Questionnaire—Time Horizon tab
      • Investor Profile Questionnaire—KYC Questions tab
  • Setting Up Personal Group Info—Employee
    • 4
• Entering Orders
  • Orders Overview
  • Viewing Order Information
  • Quick Order Entry
  • Setting Up an Order Bundle
    • Trial Submit Confirmation Summary
  • Entering an Equity Order
    • Entering an Equity Buy Order
      • Equity Buy—Order Details tab
      • Equity Buy - Additional Details tab
    • Entering an Equity Sell Order
      • Equity Sell—Order Details tab
      • Equity Sell—Additional Details tab
    • Entering an Equity Transfer Order
      • Equity Transfer—Order Details tab
      • Equity Transfer—Additional Details tab
  • Entering an Option Order
    • Entering an Option Buy Order
      • Option Buy—Order Details tab
      • Option Buy—Additional Details tab
    • Entering an Option Sell or Write Order
      • Option Sell—Order Details tab
      • Option Sell—Additional Details tab
  • Entering a Term Order
    • Entering a Term Buy Order
      • Term Buy—Order Details tab
    • Entering a Term Redemption Order
      • Term Redemption—Order Details tab
      • Rate Details
      • Rate Entry
    • Entering a Term Transfer Order
      • Term Transfer—Order Details tab
  • Entering a Fixed Income Order
    • Entering a Fixed Income Buy or Sell Order
      • Fixed Income—Buy or Sell Order Details tab
      • Fixed Income—Buy or Sell Additional Details tab
    • Entering a Fixed Income Transfer Order
      • Fixed Income—Transfer Order Details tab
      • Fixed Income—Transfer Additional Details tab
  • Entering a Mutual Fund Order
    • Entering a Mutual Fund Buy Order
      • Mutual Fund Buy—Order Details tab
    • Entering a Mutual Fund Sell Order
      • Mutual Fund Sell—Order Details tab
    • Entering a Mutual Fund Transfer Order
      • Mutual Fund Transfer—Order Details tab
      • External SWP Details
    • Entering a Mutual Fund Switch Order
    • Entering a Mutual Fund Segregated Guarantee Maturity Redemption Order
  • Entering a Cash Order
    • Entering a Cash Deposit
      • Cash Deposit—Order Details tab
    • Entering a Cash Withdrawal
      • Cash Withdrawal—Order Details tab
    • Entering a Cash Transfer
      • Cash Transfer—Order Details tab
    • RESP Details
    • RDSP Details
      • RDSP Details—Deposit
      • RDSP Details—Withdrawal
    • Transfer Details
  • Adding Buy and Sell Instructions
    • Adding a Buy Instruction
      • Fund From Fund Details
      • Fund From Client Details
    • Adding a Sell Instruction
      • Fund To Fund Details
      • Fund To Client Details
      • Fund To Term Details
  • Setting Up Asset Allocation
    • Asset Allocation Model Summary
    • Asset Allocation Model Details
    • Account Asset Allocation Models
      • Asset Allocation Details—Model Drift tab
      • Asset Allocation Details—Recommendation tab
      • Asset Allocation Details—Details tab
      • Automated Rebalancing Exclusion Details
      • Reviewing All Asset Allocation Models
    • Asset Allocation Model Overview
      • Asset Allocation Model Overview Screen – Model Drift tab
      • Asset Allocation Model Overview Screen – Model Summary tab
  • Viewing Transactions
    • Other Issuer Transfer Information Summary
  • Managing Deposit Reconciliation
    • Searching for a Deposit Batch
    • Deposit Batch User Summary dialog
    • Deposit Batch User Details dialog
    • Deposit Batch Control Details dialog
      • Add Deposit Details dialog
        • 5
• Working with the Book of Business
  • Book of Business Overview
  • Accessing the Book of Business
  • Book of Business Summary
  • Client Portfolio
    • Client Market Values
      • Client Count by Market Value
    • Historical Market Values
      • Historical Market Values Summary
    • Mutual Fund Market Value History
    • Client Commission/Fee Revenue
    • Household Market Values
  • Account Portfolio
    • Tax Details
    • Tax Details—Income Fund Accounts
    • Account KYC Aging
  • Product Portfolio
    • Asset Mix
    • Mutual Fund Company Summary
    • Mutual Fund Sector Mix
  • Statistics
    • Client Demographics
    • Account Type Statistics
    • Account Ownership Statistics
    • Account Designation Statistics
    • Systematic Plan Information Statistics
      • 6
• Managing Reports
  • Reports Overview
  • Submitting a Report
  • Viewing Reports
  • Client Investment Summary
  • Generating the MWROR Audit Report
  • Statement Extract Schedule
    • 7
• Compliance Review
  • Compliance Review Overview
  • Compliance Dashboard
  • Compliance Review Summary Screens
    • Account Review Summary
    • KYC Review Summary
    • Trade Review Summary
    • Pre-Trade Review Summary
    • Compliance Review Summary
  • Compliance Messages
  • Compliance Review Detail
    • Client KYC Comparison
    • Advanced Compliance Review Search
  • Advisor Dashboard
  • Message and Status
    • Message and Status Summary
    • Message and Status Details
    • Suitability Results
      • Suitability Results Summary
  • Compliance Test Summary

1

Compliance Test Summary