Item | Type | Description |
|---|---|---|
Account | column/hyperlink | This column will serve a dual purpose: • Advisor grouping • R•Broker account number Advisor Grouping: Advisor Supervision Status When the row displayed is the header row for the advisor grouping provided in this screen, then the value displayed will be the supervision status of the advisor. The value of the Under Supervision Type selected in R•Broker Administrator for the advisor is displayed in red font. R•Broker Account Number When the row displayed is the account row for the account event, then the value displayed is the R•Broker account number and name details, and the field will be a hyperlink to the Account Overview screen. Selection of the hyperlink opens the Account Overview screen where additional details for any joint owners on the account can be accessed, as well as the related parties that are linked to the account. A Back to Review button in the screen closes the hyperlink view and returns back to the Account Review Summary screen. |
Advanced Search | button | Provides additional options to further refine the search results for the account events. For example, searches for Branch Manager, Under Supervision, and Close Supervision. Opens the Advanced Compliance Review Search screen. Selected search options on the Account Review Summary screen will be carried forward to the Advanced Compliance Review Search screen and vise versa. |
Advisor | drop-down list | Advisor code and description of the servicing advisor for the account event. |
Back to Dashboard | button | Returns to the Compliance Dashboard screen. |
Branch | drop-down list | Branch code and description of the servicing branch for the account event. |
check box | check box | First column in table. 'Select all' option on the column header or individual option on the row used with the 'Update Selected' button for updating the review status of one or many account events. Checking/Unchecking the option on the column header will automatically check/uncheck all account event items on the page. If the 'Select all' option is checked and an individual account event item is unchecked on the page, the 'Select all' option will automatically be unchecked. There will be no change to the 'Select all' option if all the individual account event items are selected. Note: When this screen is accessed by the Advanced Compliance Review Search dialog for a compliance role other than what was chosen on the Compliance Dashboard, updating displayed events will not be allowed. |
Client # | column/hyperlink | Displays the client number for the oldest owner/annuitant of the R•Broker account. This will be the Client # of the oldest owner of the account as recorded at the time that the account event compliance item was created. Selection of the hyperlink launches the Client KYC Summary dialog for the primary owner of the account. Access to the Client KYC for any joint owner of the account will be provided when the 'Event Date' hyperlink is selected. |
Dealer | drop-down list | Dealer code and description of the servicing dealer for the account event. |
Details | button | Click View button to open the Compliance Review Detail screen, which provides additional information required to perform the account event compliance review and/or approval. A Back to Review button in the screen will allow the operator to close the hyperlink view and return back to the Account Review Summary screen. |
Details | button | Click button under Action column for any record in the list. Opens the Compliance Review Detail screen. |
Event | button | Click Details button to open the Compliance Review Detail screen, which provides access to multiple joint owner information for the account and includes the ownership percentage rate, joint owner date of birth and joint owner age. |
Event Date | column/hyperlink | Displays the system date on which the R•Broker account was opened, using standard R•Desktop date formatting. Selecting this hyperlink opens the Account KYC Summary screen. Selecting the Details button for an existing KYC record in this screen opens the Account KYC Overview screen, providing access to the Owner Details screen. The Owner Details screen will present the active Client KYC for each active owner/annuitant. A Close button in the Account KYC Summary screen will allow the operator to close the hyperlink view and return back to the Account Review Summary screen. |
MSG | column | Indicates that a message thread exists for the associated compliance event, based on the 'Role Displayed' of the operator accessing the screen. Allowable values in English: blank—No message threads associated with the compliance event exist where the 'Role displayed' on the Review Summary screen is the compliance role of the Sender or Recipient of the message thread. S (Sent)—Message thread associated with the compliance event exists, where the 'Role displayed' on the Review Summary screen is the compliance role of the 'From' operator on the last message in the message thread. R (Received)—Message thread associated with the compliance event exists, where the 'Role displayed' on the Review Summary screen is the compliance role of the 'To' operator on the last message in the message thread. C (Completed)—All message threads associated with the compliance event, where the 'Role displayed' on the Review Summary screen is the compliance role of the Sender or Receiver of the message thread have a Completed status. |
Name | column/hyperlink | This column will serve a dual purpose: • Advisor grouping • Account oldest owner/annuitant name Advisor Grouping When the row displayed is the header row for the advisor grouping provided in this screen, then the value displayed will be the name of the advisor. The advisor name will be formatted as last name, first name and will be displayed in uppercase and in red font. Format: LastNameAdvisor, FirstNameAdvisor Account Owner When the row displayed is the account row for the account event, then the value displayed will be the name of the oldest owner/annuitant of the account and the field will be a hyperlink to the Client Overview screen. |
Print PDF | button | A report request is submitted for the KYC Compliance Event Summary report in PDF format. |
Print Text | button | A report request is submitted for the KYC Compliance Event Summary report in text format. |
Region | drop-down list | Region code and description of the servicing region for the account event. |
Review | column/hyperlink | Displays the description of a failed compliance test (if any) that is applicable to the operator's compliance role group. If more than one compliance test has failed, the operator will be able to view all of the failed compliance tests by using the hyperlink to access the Compliance Test Summary dialog. |
Review From/To | date | Compliance review date for the account event. Compliance review date will be equal to or within the specified date range. |
Search | button | Returns all account events, subject to the operator's work group security and compliance role, matching the selection criteria, including the advanced search options. |
Status | Column/button | Text for each button display the description of the most significant failed compliance test from the most recent system generated status update applicable to the operator's compliance role. Selection of the button opens the Message and Status Summary dialog. |
Status | drop-down list | Review status for the account event. |
Update Selected | button | Updates the review status for one to many selected account events. |