Item | Type | Description |
|---|---|---|
Account Event | section | The Account Event section appears at the bottom of the screen to support the ability to approve compliance account events from this screen. |
Account Event/Update | button | Opens the Message and Status Details dialog, where an operator can update the account event status, add a note, and/or send a message for the account event. |
Account Event/Review | column/hyperlink | Displays the description of the most significant failed compliance test from the most recent system generated status update applicable to the compliance role displayed. Selection of the hyperlink opens the Compliance Test Summary popup dialog, displaying all applicable account event test results. If the entire description cannot be displayed in the column, an ellipsis (…) will be placed at the end of the description. Tool tip functionality displays a number and the complete descriptions of up to five account review flags for the associated account event, An asterisk is added at the end of the fifth item if there are additional account review flags to review. |
Account Event/Status | column/hyperlink | Displays the current status of the compliance account event applicable to the compliance role displayed. Selection of the hyperlink opens the Message and Status dialog, displaying all applicable failed account event tests. If the entire status cannot be displayed in the column, an ellipsis (…) will be placed at the end of the status. Tool tip functionality presents the operator with the complete status. |
Advisor is Monitored | check box | Always displayed if the compliance role of the user is C1 or C2 and the Role Displayed is C1 or C2. Check box is disabled and selected when there is a Direct Unusual Client record with a 'Match' status that has the “Client is Advisor” check box selected and the Advisor code matches the client's introducing advisor code. Otherwise disabled and unselected. If the account is joint and at least one of their introducing advisors are being monitored, this field will be selected and displayed with the owner's name for each owner that has their advisor monitored. |
Advisor Portal | button | Opens the URL configured in the Advisor Portal URL field of the Dealer screen - Dealer Compliance node in R•Broker Administrator for the dealer of the account in a new browser tab. The URL hyperlink matching the language of the R•Desktop session will be loaded. |
Back to Review | button | Returns the operator to the applicable Review Summary screen (i.e. KYC, Account or Trade Review Summary screen) that they were on prior to accessing the screen. |
Client KYC Status | hyperlink | A hyperlink is included for each active and pending client KYC for the associated active owner. The status displayed on the screen is determined when the compliance event is created. Any changes to the pending or active Client KYC record will not affect this field after the compliance event has been created. The first column for each active owner displays the status of their client KYC: • Pending, if a pending client KYC exists. • Active, if an active client KYC exists and no pending client KYC exists. Otherwise. 'N/A' is displayed if there is no Pending or Active client KYC record. The second column will only be displayed if there is both an active and pending client KYC for each active owner displayed on the screen. If both exist, the second column will include information relating to the active client KYC. Otherwise, a second column of information will not be displayed. Based on the available client KYC records for each active owner, the hyperlink will open the 'Client KYC Comparison' screen, if the active owner has both a pending and an active client KYC. The selection of either status will display the same screen. The pending and active client KYC information displayed on the screen will be as of the time the compliance event was created (excluding the 'Current status' field). Otherwise, the existing 'Client KYC Details' screen is opened for the associated client KYC, if the active owner has one available client KYC (pending or active) only. |
Client Previously Monitored | hyperlink | Opens the Unusual Client Details dialog. Check box is display-only to indicate that the client was previously monitored and will be selected if any of the Direct Unusual Client Detail records are set to No Match under the Match Results field. |
Code | hyperlink | Code for the security relating to the trade Item. The sort order can be changed and resorts all items by the security code (ascending/descending). The code hyperlink takes the operator to the Security Master popup used on other R•Desktop screens. |
CURRENT | section | Values displayed in these Account Holdings columns represent the values from the current suitability calculation result. Columns will only appear when there is a 'Current' suitability result row in the Suitability Result table. |
Description | hyperlink | Standard description of the security relating to the trade Item in the language the operator is logged in under. The description hyperlink takes the operator to the applicable Transaction Summary popup. This hyperlink is not available if there are no transactions for this holding. The sort order can be changed and resorts all items by description (ascending/descending). This hyperlink is not available if the underlying holding has not yet been created in R•Broker. For instance, in the case of an initial transaction. |
Material Changes | check boxes/hyperlink | If the Related Parties is selected, the link is enabled that will, when clicked, open the Account Related Parties dialog. |
Monitoring Reasons | display/hyperlink | Up to four unusual client monitoring reasons will be presented on the screen if the compliance role is C1 or C2 and the 'Role Displayed' is C1 or C2. Otherwise, the information will not be displayed. Up to two monitoring reasons will be displayed for each of the two oldest active owners on the account where the monitoring reason is set to 'Match (up to four in total). If any active owners on the account have 'Matching' unusual client details that are not currently displayed, an asterisk will appear to the right of the last displayed monitoring reason. The monitoring reasons will be retrieved from the unusual client details of: • The oldest owner with a monitoring reason where the 'Match results' value is equal to 'Match' on the account when the compliance event was created, if applicable; followed by • The monitoring reasons for the next oldest owner, if applicable. If the account only has one owner with a monitoring reason set to 'Match', a second client name will not be displayed. Effectively, the monitoring reasons that are displayed will be those of the oldest owner first, but if they do not have any 'Matching' monitoring reasons, the monitoring reasons for the next oldest owner will be displayed, until up to two owners and four monitoring reasons are displayed on the screen. In the event that owners are the same age, the owners will be chosen based on their client number, in ascending alphanumeric order. If there are more than four monitoring reasons across all active owners on the account, an asterisk will be presented to the right of the last monitoring reason on the screen. (continued on next page) |
Monitoring Reasons (cont’d) | Each monitoring reason, and the accompanying asterisk, will be a hyperlink, allowing the user to view the unusual client details screen for each owner with a monitoring reason. By selecting any of the hyperlinks the user will be presented with the: • Owner / Annuitant Details screen. If the asterisk is selected, the user will be presented with the name of each owner, which can be selected to reach the Unusual Client Details screen. • The Unusual Client Details screen for the associated client, if either of the monitoring reasons are selected. | |
MSG | column | Indicates that a message thread exists for the associated compliance event, based on the 'Role Displayed' of the operator accessing the screen. This change will apply to Messaging Indicator in Account Event, Suitability Result/Account KYC, Outstanding Trade Items, and Other Trade Items sections of this 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 messages 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. |
ON DEMAND | section | Values displayed in these Account Holdings columns represent the values from the on demand suitability calculation result. Columns will only appear when there is an 'On Demand' suitability result row in the Suitability Result table. |
On Demand Suitability | button | When clicked: • A suitability calculation is performed in real time to re-evaluate any changes that have occurred in the account after the last compliance review batch process was run. • ‘On Demand' suitability calculation results will automatically be inserted and displayed in the Suitability Result table. • 'On Demand' market value and % market value columns will automatically be inserted and displayed in the Account Holdings table. • 'On Demand' total risk category values will automatically be inserted and displayed in the Total Risk Category section. If the button is clicked multiple times, only the most recent on demand suitability calculations will be displayed on the screen. The 'On Demand' suitability calculation results will only be displayed until the operator exits the screen, unless the Save button is selected. |
ORIGINAL | section | Values displayed in these Account Holdings columns represent the values from the original suitability result when the compliance event is created. The heading and columns are always displayed. |
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 is blank. If a pre-trade compliance event does exist, the row has a value of 'Y'. When selected, the 'Y' hyperlink opens the Message and Status Summary screen for the Approved Pre-trade compliance event. When launched from this view all message threads are read only and the Suitability Results button is enabled. When the Message and Status Summary screen is closed the, focus returns to the Trade Review Summary screen. |
Print PDF | button | Submits a report request for the Compliance Event Detail Report in PDF format. |
Print Text | button | Submits a report request for the Compliance Event Detail Report in text format. |
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' screen (which is presented 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 Flag | column/hyperlink | Displays the Trade Review Option description for the first review option encountered that is applicable to the operator's compliance role group. Link opens the Compliance Test Summary dialog, displaying all applicable trade review test results. |
Save | button | Enabled when the status of the compliance event is “To Review”, “Under Review” or “System Approved”. When clicked: • The 'On Demand' suitability calculation result is saved and will continue to be displayed in the Suitability Result table. • The 'On Demand' market value and % market value columns are saved and will continue to be displayed in the Account Holdings table. • The 'On Demand' total risk category result columns are saved and will continue to be displayed in the Total Risk Category section. • For trade events only, the existing 'Current' suitability results, account holdings/market values and total risk category data will be replaced by the 'On Demand' suitability results, account holdings/market values and total risk category data. |
Status | hyperlink | Displays the status of the trade Item as per the event date specified on the compliance event. Selection of the hyperlink launches the Compliance Review Messaging and Status - Summary popup dialog, displaying all applicable failed Account Event tests. Selecting Close on the Compliance Review Messaging and Status - Summary screen returns the operator to the Compliance Review Detail screen. Size of the column may be truncated and includes '...' to indicate there is additional information. Tool tip functionality displays the full enum description. |
Total Risk Category | section | On Demand—total risk category values associated with the on demand suitability calculation result. The section label and related total risk category values will only appear when there is an 'On Demand' suitability result row in the Suitability Result table. Current— total risk category values associated with the suitability result from the subsequent compliance review batch process. The section label and related total risk category values will only appear when there is a 'Current' suitability result row in the Suitability Result table. Original— total risk category values associated with the suitability calculation result that is performed by the compliance review batch process when the event is created. The static label and related total risk category values are always displayed. |
Transaction | column/hyperlink | Click link to open one of the following: • If the Compliance Item relates to a transaction, then a read-only version of the applicable existing Transaction Detail popup is displayed. • If the Compliance Item relates to an order, then a read-only version of the applicable existing Order Detail popup is displayed. |
Update Selected | button | Opens the Post-trade Review Status and Comments – Details” screen (Add mode) for the selected compliance item. See the previous section for more details. |