Item | Type | Description |
|---|---|---|
Advanced Search | button | Provides additional options to further refine the search results for the KYC compliance events. For example, searches or Branch Manager, Under Supervision, and Close Supervision. Opens the Advanced Compliance Review Search screen. Selected search options on the KYC 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 KYC compliance 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 trade event. The branch drop-down list will include the branches selected in the Search Dealer/Branch dialog up to a maximum of 20 branches. The selected branches will continue to be displayed in the branch drop-down list until the operator either selects the “Back to Dashboard” button, closes the page, or selects new branch values from the Search Dealer/Branch screen, at which point the selected branches will be cleared. The selected branches will continue to be displayed if any hyperlink on the screen is selected and the operator selects the “Back to Review” button to navigate back to the KYC Review Summary screen. The operator will still be able to pick 'All Branches' as well as any branch value in the drop-down list. |
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. |
Dealer | drop-down list | Dealer code and description of the servicing dealer for the KYC compliance event. |
Event | column | Click Details button to open the Compliance Review Detail dialog, which provides additional information required to perform the trade 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 KYC Review Summary 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. |
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 KYC compliance event. |
Review | column/hyperlink | Hover over the hyperlink to view up to 5 review flags for the associated item. The review flag details include both the number and full description of each item. Review flags are displayed in the order that they currently appear on the Compliance Test Summary dialog, which opens when the hyperlink is clicked. An asterisk is added at the end of the fifth item if there are additional review flags to review. |
Review From/To | date | Compliance review date for the KYC compliance event. Compliance review date will be equal to or within the specified date range. |
Search | button | Returns all trade compliance 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 dialog. |
Update Selected | button | Updates the review status for one to many selected KYC compliance events. |