Item | Type | Description |
|---|---|---|
Account | column/hyperlink | Displays the account number and account details. Selection of the hyperlink opens the Account Overview screen. |
Advanced Search | button | Provides additional options to further refine the search results for the trade compliance events. For example, searches based on the amount of the Trade Compliance Event. Opens the Advanced Compliance Review Search screen. Selected search options on the Trade 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 trade event. |
Amount | column | Amount from the Compliance Item detail. Displays in red for all Trade Compliance Events for an account if all of the following apply: • If the 'Role Displayed' is D1 or D2: Any outstanding Trade Events where the original Event Date is less than the Event Date entered on the last Compliance Batch Run. That is, the Trade Event has been outstanding for more than one business day, based on the 'Role Displayed'. • If the 'Role Displayed' is D1, D2, C1 or C2: Any outstanding Trade Events where the statuses of each Trade Event are not the same for the associated account AND for the 'Role Displayed'. For C1 and C2, Trade Events that are generated through Cash Activity and Trade Activity will both be considered. • If the 'Role Displayed' is C1 or C2: Any Trade Events where there are both Trade Activity and Cash Activity Trade Events for the associated account AND for the 'Role Displayed'. • If any condition is met for the 'Role Displayed', the field will be presented in Red text. |
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 Trade 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 trade compliance 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 compliance 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. Selection of the hyperlink opens the Client KYC Summary dialog. |
Code | column/hyperlink | Code for the security relating to the Trade Compliance Item. Hyperlink opens the existing Security Master popup used on other R•Desktop screens for the specific investment type. Displays in red if all of the following apply: • If the 'Role Displayed' is D1 or D2: Any outstanding Trade Events where the original Event Date is less than the Event Date entered on the last Compliance Batch Run. That is, the Trade Event has been outstanding for more than one business day, based on the 'Role Displayed'. • If the 'Role Displayed' is D1, D2, C1 or C2: Any outstanding Trade Events where the statuses of each Trade Event are not the same for the associated account AND for the 'Role Displayed'. For C1 and C2, Trade Events that are generated through Cash Activity and Trade Activity will both be considered. • If the 'Role Displayed' is C1 or C2: Any Trade Events where there are both Trade Activity and Cash Activity Trade Events for the associated account AND for the 'Role Displayed'. • If any condition is met for the 'Role Displayed', the field will be presented in Red text. |
Dealer | drop-down list | Dealer code and description of the servicing dealer for the trade event. |
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 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 Trade Review Summary screen. |
Event | column | 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 original compliance Review Date for the Trade Compliance Event being displayed, regardless of the Compliance Review date for the version of the Trade Compliance Event. Selecting this hyperlink opens the Account KYC Summary screen. Selecting the Edit button opens the Account KYC Details popup. |
Own | column/hyperlink | Displays the percent of ownership, in whole numbers, for the oldest owner/annuitant of the R•Broker account. Hyperlink opens the Owner/Annuitant Details Popup. |
Pre | column/hyperlink | Indicates whether or not a Pre-trade compliance event was created for the corresponding order. If no pre-trade compliance event exists, the row will be blank. If a pre-trade compliance event does exist, the row will have a value of 'Y'. When selected the 'Y' hyperlink opens the Message and Status Summary screen for the Approved Pre-trade compliance event. When opened from this view, all message threads are read only and the Suitability Results button will be enabled. When the Message and Status Summary screen is closed, the focus will return to the Trade Review Summary 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 trade event. |
Review | column/hyperlink | Displays the Trade Review Option description for the first review option. Hyperlink opens the Compliance Test Summary dialog. |
Review From/To | date | Original compliance review date for the trade event. The original compliance review date, as displayed on the screen, 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. |
Search Type | display | Indicates the source of the search criteria for the review summary. Options include: Advanced - Search criteria and results being displayed are the result of selecting 'Advanced Search' (Advanced Compliance Review Search options). Dashboard - Search criteria and results being displayed are the result of selecting a hyperlink on the Compliance Dashboard and nothing has been changed. Summary - Search criteria and results being displayed are the result of selecting 'Search' on the Review Summary. Refreshing the screen through updating items will use the last search filter type and selections. The outstanding review items count will be adjusted accordingly. |
Status | drop-down list | Review status for the trade compliance event. |
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. |
Transaction | column/hyperlink | Hyperlink opens one of the following: • If the Compliance Item relates to a transaction, a read-only version of the applicable existing Transaction Detail popups appears. • If the Compliance Item relates to an order, a read-only version of the applicable existing Order Detail popups appear. Displays in red if all of the following apply: • If the 'Role Displayed' is D1 or D2: Any outstanding Trade Events where the original Event Date is less than the Event Date entered on the last Compliance Batch Run. That is, the Trade Event has been outstanding for more than one business day, based on the 'Role Displayed'. • If the 'Role Displayed' is D1, D2, C1 or C2: Any outstanding Trade Events where the statuses of each Trade Event are not the same for the associated account AND for the 'Role Displayed'. For C1 and C2, Trade Events that are generated through Cash Activity and Trade Activity will both be considered. • If the 'Role Displayed' is C1 or C2: Any Trade Events where there are both Trade Activity and Cash Activity Trade Events for the associated account AND for the 'Role Displayed'. • If any condition is met for the 'Role Displayed', the field will be presented in Red text. |
Update Selected | button | Updates the review status for one to many selected trade compliance events. |