R-Desktop : Compliance Review : Compliance Review Summary Screens : Compliance Review Summary
Compliance Review Summary
The Compliance Review Summary screen is accessed through the existing Compliance Dashboard when using the Account Number search field for D1 and D2 compliance roles. The results will include all compliance events (of all statuses) for account, pre-trade, trade and KYC for the account entered on the dashboard. This screen reports all D1 events for the specified account number, regardless if accessed from D1 or D2 compliance roles and regardless of the BCO (Branch Compliance Officer) assigned to the region, and regardless of the designated reviewer selected on the Dashboard view field on the Compliance Dashboard.
The following table lists important functionality available on this screen.
Item
Type
Description
Back to Dashboard
button
Navigates the operator to the Compliance Dashboard screen.
Outstanding review items:
number
Displays the number of outstanding review items for the specified account.
Account Number
text/button
Enter an account number, then click Search. The Compliance Review Summary screen is refreshed using the account number as it's search criteria.
Note: When an account number is entered and a hyperlink or button is selected other than this search button, this field is then ignored.
ACCOUNT
column/hyperlink
 
This column is the account number matching the account number from the search. This will be repeated for each row. Each account number in this list is a hyperlink which, when selected, navigates the operator to the Account Overview screen.
LEV
column
Whether an account is leveraged or not.
Allowable values:
• Y – Indicating 'Yes', the account is leveraged.
• N – Indicating 'No', the account is not leveraged.
REVIEW
column/hyperlink
Column displays the most significant failed compliance test. Clicking a hyperlink navigates the operator to the existing Compliance Test Summary screen for the compliance event.
STATUS
column/button
Column displays a button with status of the compliance event for the displayed compliance role. Click button to open the existing Message and Status Summary screen for the compliance event.
Allowable values:
• Approved
• Not Approved
• System Approved
• To Review
• Under Review
• Closed
Note: When using this field to access the Message and Status Summary screen, the Close button returns the operator to the Compliance Review Summary screen.
EVENT
column/button
Column displays a 'Details' button that, when clicked, navigates the operator to the existing Compliance Review Detail screen for the compliance event.
Note: When using this field to access the Compliance Review Detail screen, the Back to Review button returns the operator to the Compliance Review Summary screen.
ACTION
column
Displays the transaction type, investment code, amount and currency for trade events.
CODE
column
Column displays the advisor code and branch number attached to the compliance event.