Item | Type | Description |
|---|---|---|
Account | row/link | Displays the count for any compliance events with an event type of “Account” meeting the compliance role and status. All views. Hyperlink opens the Account Review Summary screen. |
Account Number | text/button | Enabled for Distribution Tier 1 and Distribution Tier 2 screens. Enter an account number, then click Search. The Compliance Review Summary screen opens for the account number entered. Note: When an account number is entered and a hyperlink/button is selected other than the Search button, this field is ignored. |
ACTION REQUIRED | column/link | Displays a count of the new message threads with a Sender compliance role type of D1 for Branch Manager Inquiries, C1 or C2 for Corporate Compliance Inquiries, or where the advisor is the Recipient. Selecting the hyperlink will open the Compliance Messages screen, matching the EVENT TYPE of the row. It will display all message threads that match the ACTION REQUIRED criteria, where the Sender has a compliance role type of D1, C1 or C2. |
APPROVAL REQUIRED CURRENT/STALE | column/link | Displays the count of Pre-trade compliance events with a status of ‘To Review’. The column displays two number values as a hyperlink. Format: 999,999 / 999,999 Example: 3 / 1 Allowable Value: Number (between 1-999,999) A count of zero will be displayed as blank. The number before ‘/’ is the count of Pre-trade compliance events with a status of ‘To Review’ where the Event Date equals the system date. The number after the ‘/’ is the count of Compliance Events with a status of ‘To Review’ where the Event Date is earlier than the system date. Both counts share one hyperlink. The hyperlink launches the Pre-trade Review Summary screen displaying the 'To Review' events represented by the count. |
Advanced Search | button | Opens the Advanced Compliance Review Search dialog where the reviewer can select additional search criteria. All views. |
APPROVED | column | The count of Pre-trade compliance events with a status of ‘Approved’ and where the status update happened on the current system date. The column displays a number value as a hyperlink that launches the Pre-trade Review Summary screen, displaying the 'Approved' events represented by the count. Format: 999,999 Example: 2 A count of zero will be displayed as blank. |
Cash | row/link | Displays the count for any compliance events with an event type of “Cash” meeting the compliance role and status. C1 and C2 views. Hyperlink opens the Trade Review Summary screen. |
CLOSED | column | Displays a number value as a hyperlink. D2, C1 and C2 views only. The number is the count of the events with a compliance event status of “Closed” and status changed on the current system day. Hyperlink opens the summary screen where the counts displayed on the dashboard hyperlink will match the number of events displayed in the summary screen. |
COMPLETED | column/link | Displays a count of existing message threads where the Resolved check box has been selected by the D1 Sender for Branch Manager Inquires, or C1 or C2 Sender for Corporate Compliance Inquiries on the current system date. Selecting the hyperlink opens the Compliance Dashboard Messages screen, matching the EVENT TYPE of the row. It will display all message threads that match the RESOLVED criteria where the Sender has a compliance role type of D1, C1 or C2. |
Compliance Role | drop-down list | List contains allowable values based on the compliance role set up for the operator's access group(s). All views. |
Stale Events (days) | number | Used to enter the number of calendar days prior to the current system date that identifies how many days to use for the determination of what are events are stale dated. Events that have a compliance event date that is earlier than the current date—the number of calendar days specified will be considered stale. D2 view only. |
Dashboard View | drop-down list | List contains all operator names for whom the viewing operator is a delegate. |
DECLINED | column/link | The count of Pre-trade compliance events with a status of ‘Declined’ and where the status update happened on the current system date. The Declined status will be modified to be base functionality. The column displays a number value as a hyperlink that launches the Pre-trade Review Summary screen displaying the 'Declined' events represented by the count. Format: 999,999 Example: 2 A count of zero will be displayed as blank. |
ESCALATED CURRENT/STALE | column | Displays two number values as a hyperlink. For example: 3 / 0. C2 view only. The first number is the count of events with a C2 status of “To Review” and a C1 status of “Escalated” where the compliance review date equals the current review date, depending on the event type process. The second number is the count of the events with a C2 status of “To Review” and a C1 status of “Escalated” where the compliance review date equals the stale (review) date, depending on the event type process. Hyperlink opens the summary screen where the counts displayed on the dashboard hyperlink will match the number of events displayed in the summary screen. |
FOLLOW-UP | column/link | Displays a count of any unresolved message threads with a follow-up date later than the system date. Messages will be removed from this count when either the follow-up date is earlier than or equal to the system date, which will move the message thread to the ACTION REQUIRED column, or the Sender of the message thread (or an operator that is a member of the Sender's delegate group), which will move the message thread to the ACTION REQUIRED column), or marks the message thread completed, which will move the message thread to the ACTION REQUIRED column). Selecting the hyperlink opens the Compliance Messages screen matching the EVENT TYPE of the row. It will display all messages threads that match the FOLLOW-UP criteria. |
Inquiries To Advisors | section | ACTION REQUIRED—displays a count of any unresolved message threads where the latest message in the thread is from the recipient with a compliance role type of advisor (or an operator that is a member of the recipient's delegate group), and the message thread does not have a follow-up date, or has a follow-up date earlier than or equal to the system date, or has a follow-up date later than the system date, where a new message has been received. Messages will be removed from this count when the sender of the message thread or an operator that is a member of the sender's delegate group does any one of the following: • Responds to the message (which will move the message thread to the SENT column). • Changes the follow-up date to a date later than the system date (which will move the message thread to the FOLLOW-UP column). • Marks the message thread completed by selecting the Completed check box (which will move the message thread to the COMPLETED column). Selecting the hyperlink opens the Compliance Messages dialog matching the EVENT TYPE of the row. It will display all message threads that match the ACTION REQUIRED criteria. |
KYC | row/link | Displays the count for any compliance events with an event type of “KYC” meeting the compliance role and status.All views. Hyperlink opens the KYC Review Summary screen. |
PRE-TRADE | row | Displays messages for pre-trade compliance events. |
Pre-Trade Reviews | section | Displays pre-trade compliance events created by a triggering processing edit with an outcome of 'Approval Required'. |
SENT | column/link | For Branch Manager Inquiries, displays a count of existing message threads in which the advisor (or an operator that is a member of the advisor's delegate group) sent the last message in the thread. For Corporate Compliance Inquiries, displays a count of existing message threads to which the advisor has responded (is the sender on the last message). Selecting the hyperlink opens the Compliance Messages screen, matching the EVENT TYPE of the row. It will display all message threads that match the RESPONDED criteria. |
SYSTEM APPROVED CURRENT/STALE | column | Displays two number values as a hyperlink. For example: 41 / 0. The first number is the count of compliance events with a status of “System Approved” where the compliance review date equals the current system date. The second number is the count of compliance events with a status of “System Approved” where the compliance review date is prior to the current system date. Hyperlink opens the Summary screen where the counts displayed on the dashboard hyperlink will match the events displayed in the summary screen. |
TO REVIEW CURRENT/STALE | column | Displays two number values as a hyperlink. For example: 3 / 1. All views, except Advisor. The first number is the count of compliance events with a status of “To Review where the compliance review date equals the current system date. The second number is the count of compliance events with a status of "To Review" where the compliance review date is prior to the current system date. Hyperlink opens the Summary screen where the counts displayed on the dashboard hyperlink will match the number of events displayed in the summary screen. |
TO REVIEW D1 STALE | column | Displays a number value as a hyperlink. D2 view only. Number is the count of the events with a D1 status that are not “Approved” or “Not Approved”. Hyperlink opens a summary screen where the counts displayed on the dashboard hyperlink will match the number of events displayed in the summary screen. |
Trade | row/link | Displays the count for any compliance events with an event type of “Trade” meeting the compliance role and status. All views. Hyperlink opens the Trade Review Summary screen. |
UNDER REVIEW | column/link | Displays the count of Pre-trade compliance events with a status of ‘Under Review’. The column displays the number values as a hyperlink. Format: 999,999 Example: 3 Allowable Value: Number (between 1-999,999) A count of zero will be displayed as blank. The number is the count of Pre-trade compliance events with a status of ‘To Review’. The hyperlink opens the Pre-trade Review Summary screen displaying the 'Under Review' events represented by the count. |
Update | button | Updates changes made to the D1 Stale Events field. D2 view only. |