Creating a Conflict of Interest Compliance Disclosure Request

Article Content

Overview

Navigation

Creating a Conflict of Interest Compliance Disclosure Request

Overview

Users must report potential conflicts of interests (e.g., insider trading, etc.) to a compliance officer to create a record of the conflict and allow for a resolution.

Navigation

1. From the Home screen, click the Home dropdown menu.

Home Menu

2. Click the Employee Portal link.

Employee Portal Link

3. From the Personal Trading screen, click the Compliance Disclosures tab.

Compliance Disclosures Tab

4. From the Compliance Disclosures screen, click the + New Compliance Disclosure button.

+ New Compliance Disclosure Button

Creating a Conflict of Interest Compliance Disclosure Request

1. From the Create a New Disclosure screen, select Conflict of Interest from the Disclosure Type dropdown menu.

Disclosure Type Field

2. Click the Conflict of Interest button.

Conflict of Interest Button

3. Select a conflict status from the Conflict Status dropdown menu. If a user selects Other, more information is required.
   • Actual 
   • Potential
   • Other

Conflict Status Field

4. Select a conflict type from the Conflict Type dropdown menu. If a user selects Other, more information is required. 
   • Personal
   • Firm
   • Client/Investor
   • Other

Conflict Type Field

5. Enter a description outlining the conflict of interest in the Provide details of the conflict field.

Provide Details of Conflict Field

6. Include support documentation by dragging and dropping files into the designated area on the Supporting Documentation field, or select the top proportion of the Supporting Documentation field and select a file from the connected PC.

Supporting Documentation Field

7. Click the designated area on the Supporting Documentation field to add a web link. For more information on adding a web link to the project, see the Adding a Web Link article.

Web Link

8. (Optional) Click the following icons to edit or delete an image from the request:
   • Edit: Click the Edit icon to rename the file.
   • Delete: Click the Delete icon to remove the file from the request.

Image Icons

9. 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

10. Click the Submit button to send the request to a Compliance Officer. 

Submit Button

11. The Compliance Officer will receive an email notification indicating a request requires action.

Notification

12. Click the Cancel button to cancel the request and return to the previous screen. Compliance Officers will not see a cancelled request.