Article Content
Creating a Complaint Compliance Disclosure Request
Overview
Users must report complaints (e.g., verbally or written) to a compliance officer to create a record of the complaint and allow for a resolution.
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 Compliance Disclosures tab.
Compliance Disclosures Tab
- From the Compliance Disclosures screen, click the + New Compliance Disclosure button.
+ New Compliance Disclosure Button
Creating a Complaint Compliance Disclosure Request
- From the Create a New Disclosure screen, select Complaint from the Disclosure Type dropdown menu.
Disclosure Type Field
- Click the Complaint button.
Complaint Button
- Select the date the complaint occurred from the Calendar pop-up under the Date of Complaint field.
Date of Complaint Field Field
- Enter the complainant's or firm name in the Complainant's Name/Firm field.
Complainant's Name/Firm Field
- Enter a description of the complaint in the Nature of Complaint field.
Nature of Complaint Field
- 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.