R-Desktop : Compliance Review : Message and Status : Message and Status Summary
Message and Status Summary
This dialog is accessed by clicking the Under Review button in the Status column on the Compliance Summary screens, as described in the previous sections.
The messages displayed in this dialog are based on the Compliance role selected on the Compliance Dashboard screen and displays all the messages associated with the selected event.
The dialog displays the full operator name for the reviewer. If an alternate reviewer is selected on the D1 dashboard, then the alternate reviewer's full name will be displayed and will be stored to the messaging data store for any further actions.
Note: 
D1 and D2 reviewers will not be able to view and access any restricted messages/notes for the selected event.
The Advisor compliance role will not be able to access this screen.
If a message is created for multiple events by selecting the status hyperlink for any of the events linked to the message, the same message (original message and response) will be displayed in this dialog.
The following table describes functionality found in this dialog.
Item
Type
Description
Documents Ref # (########)
button
Opens the Compliance Event Documents screen. Available when the compliance event type is KYC or Account and there are workflow documents associated with the event.
The dynamic button label '#######' will display the corresponding workflow reference number associated to the compliance event.
Action Type
drop-down list
Used to filter rows. Allowable values include:
Read—Only rows representing a message or note that can be opened in View mode will be displayed. The Message and Status Details dialog will be presented in View mode when the operator is not the Sender or Recipient of a message thread or a member of the Recipient's or Sender's Delegate Group.
Reply—Only rows representing a message that can be opened in Reply mode will be displayed. The Message and Status Details dialog will be presented in Reply mode when the operator is the Sender or Recipient of a message thread or a member of the Recipient's or Sender's Delegate Group.
Add
button
Opens the Message and Status Details dialog in add mode.
Compliance Role
drop-down list
Used to filter the compliance messages attached to the event, based on the compliance role selected.
Defaults to All. When a value is selected, only compliance messages that are applicable to that specific compliance role will be returned.
Suitability Results Summary
button
Enabled when there is at least one status record with a status of 'Approved' or 'Closed'.
Opens the Suitability Results dialog, which displays the status update details and the suitability result type of the 'Approved' and/or 'Closed' status.
The button will only be displayed for KYC and trade event types.
Type
column
Displays the type of record and a count of messages/notes within the thread.
Possible values:
• MSG
• NOTE
• SYS
• PRE
The value MSG will be displayed for threads with a Recipient.
The value NOTE will be displayed for threads without a Recipient.
The value SYS will be displayed for system generated messages (i.e. Compliance Review batch process).
A value of PRE (Pre-trade) will be displayed for all system generated notes created for pre-trade events created by triggering TPE/TSPEs with an 'Approval Required' outcome.
A count of messages will be displayed after the type when the type is a message thread (MSG).
Read/Reply
button
Button displays Read when the operator can only view the message thread, or Read/Reply when the operator can reply to a message thread.
Opens the Message and Status Details dialog in reply mode.
Compliance Event Documents
The Compliance Event Documents screen displays forms and documents attached to an Account Open or Investor Profile workflow.
The screen is accessed when the “Documents Ref #” button is clicked on the Message and Status Summary screen, as described in the previous section.
The screen is split vertically where the left sub-screen is occupied by the Workflow Documents Summary table and the right sub-screen is occupied by the Document Viewer screen. Clicking a file name opens the corresponding file in the Document Viewer screen.
The viewer can display documents with the following file extensions: PDF, JPG, and JPEG.