Article Content

Overview

User Account Requirements

Navigation

Reviewing a New Trade Account Request

Overview

A Compliance Officer must review all new trading account requests and approve the account so employees can use the account for trading purposes or decline the account, indicating to the employee that this account cannot be used for trading purposes.

User Account Requirements

The user account you use to log into Resolver must have Compliance Officer permission.

Navigation

1. From the Home screen, review the My Tasks list for new trading account requests and click the trade account request on the list.

My Tasks List

2. (Optional) Users can narrow the My Tasks list by clicking the Search button and entering a keyword in the Search field.

Search Field

Reviewing a New Trade Account Request

1. From the Trading Account Request screen, review the information within the trading request.
   • Brokerage Firm: The Brokerage Firm is the name of the new brokerage firm the employee is requesting to use for trading purposes.
   • Brokerage Account Number: The brokerage account number is a six-digit numerical number.
   • Account Owner: An account owner is the person who owns the account, and the employee is trading on their behalf.
   • Connect Party/Relationship: Indicate the user's relationship to the account owner by selecting an option from the Connected Party/Relationship dropdown menu:
     • Self: The employee is trading on their behalf.
     • Spouse/Partner: The employee is trading on behalf of a spouse or partner.
     • Child: The employee is trading on behalf of a child.
     • Parent: The employee is trading on behalf of a parent.
     • Sibling: The employee is trading on behalf of a sibling.
     • Household Member: The employee trades on behalf of a household member they live with.
     • Self-joint: A self-joint option is a portfolio shared between the account owner and the employee trading.
     • Trustee: The employee manages assets for a third party.
     • Family Trust: The employee has the authority to trade or create contracts with third parties on behalf of the account holder.
     • Other: The employee trades on behalf of another not currently listed as an option.
   • Employee: The employee sign-off.

Trading Account Information Fields

1. 2. Enter any comments, questions, or instructions within the Comments field. Any comments entered are viewable by the employee who submitted the trading account request.

Comments Field

1. 3. Click one of the following buttons to finalize the trading account request:
      • Decline: The Decline button declines the use of the account attached to the trading account request. The employee who submitted the request will receive a notification that the request was denied and see any comments added to the request.
      • Approve: the Approve button accepts the account attached to the trading account request. The account will now be available on the Add Existing Brokerage Firm pop-up. The employee will receive a notification and see any comments added to the request.

Decline or Approve Buttons