Opens when the Compliance Tests button is clicked on the Post-trade Review Status and Comments - Detail dialog, as described in the previous section.

This screen will display a list of any filed compliance tests or validations that resulted in the D1 status for the event being assigned a value of To Review by R•Broker in a panel on the left side of the screen. Selecting an individual compliance test in the left panel will highlight the record and populate any applicable details regarding specific values and attributes that were evaluated as part of the failed compliance test in the Compliance Test Details table which will be displayed in a separate panel on the right side of the screen.

Note that the data values to be reported in the compliance test details panel on the screen for the applicable compliance test will be defined in the future compliance projects that will actually add the compliance tests and validations, including projects #30010270 (Compliance Framework – Part 2) and #30009979 (Compliance – Trade Review). When a description record is selected for existing dealer threshold tests performed during the compliance review batch process, only the description of the failed threshold test will be displayed in the details panel.