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Creating a New Outside Business Approval Request
Overview
Users can create an approval request for outside business activities. The approval request will be forwarded to a Compliance Officer for approval.
Navigation
- From the Home screen, click the Home dropdown menu.
Home Menu
- Click the Employee Portal link.
Employee Portal Link
- From the Personal Trading screen, click the Approval Requests tab.
Approval Requests Tab
- From the Approval Requests screen, click the + New Approval Request button.
+ New Approval Request Button
Creating a New Outside Business Approval Request
- From the Create a New Approval screen, click the Outside Business Activities radio button from the Approval Type field.
Approval Type Field
- Click the Next button.
Next Button
- Enter the name of the outside business involved in the activity in the Organisation field.
Organisation Field
- Enter the organisation's address in the Organisation Address field.
Organisation Address Field
- Select the country the organisation is located in from the Organisation Country dropdown menu.
Organisation Country Field
- Enter the organisation's zip or postal code in the Organisation Zip/Postal Code field.
Organisation Zip/Postal Code Field
- Enter the organisation's website address in the Organisation Website field.
Organisation Website Field
- Select the organisation's legal status from the Legal Status of Entity dropdown menu. Further information is required if Other is selected.
- LLC
- Corporation
- Partnership
- Public Limited Company
- Limited Company
- Charity
- Limited Liability Partnership
- Other
Legal Status of Entity Field
- Select an option to the question Are you aware of any direct or indirect relationship between the organisation and the Firm which could give rise to a potential or actual conflict of interest? If the user selects Yes, they will have to include further details.
- Select an option to the question Are you aware of any adverse information about the organisation which could negatively impact our firm? If the user selects Yes, they will have to include further details.
Question Fields
- Select who participates in the activity from the Participating Party field by clicking a radio button. If Self is selected, the user must answer the follow-up question Will this activity be performed during normal business hours?
Participating Party Field
- Select an activity from the Proposed Activity dropdown menu.
Proposed Activity Field
- Select an activity date from the Calendar pop-up under the Start Date Field.
Start Date Field
- Select an activity end date from the Calendar pop-up under the End Date field.
End Date Field
- Enter a brief description outlining the activity, duties, and responsibilities in the Describe the Duties and Responsibilities for this Activity field.
Describe the Duties and Responsibilities for this Activity Field
- Enter the required hours the activity will take per week in the Require Hours per Week field.
Required Hours Per Week Field
- Select an option to the question Will you receive compensation from the outside activity? Including, but not limited to, selling commissions, finder's fee, or salary? If the user selects Yes, they may include further details.
- Select an option to the question Are you satisfied that the outside activity will not compromise your ability to carry out your duties at our firm? If the user selects Yes or No, they may include further details.
- Select an option to the question Where applicable, will this activity be covered by officer's/director's liability insurance? If the user selects Yes or No, they may include further details.
Question Fields
- Enter a keyword in the Employee field and select your name from the dropdown menu. Entering your name indicates you acknowledge all policies and laws pertaining to this action.
Employee Field
- Click the Submit button to send the request to a Compliance Officer.
Submit Button
- The Compliance Officer will receive an email notification indicating a request requires action.
Notification
- Click the Cancel button to cancel the request and return to the previous screen. Compliance Officers will not see a cancelled request.