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Creating a Dealing Error Compliance Discloser Request
Overview
Users must report dealing errors to a compliance officer to create a record of the error and allow for a resolution. A dealing error is a mistake that occurs during a transaction (e.g., buying or selling the wrong security, incorrect quantities, incorrect price, etc.).
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 Dealing Error Compliance Disclosure Request
- From the Create a New Disclosure screen, select Dealing Error from the Disclosure Type dropdown menu.
Disclosure Type Field
- Click the Dealing Error button.
Dealing Error Button
- Enter the name of the party involved in the dealing error in the Name of Counterparty field.
Name of Counterparty Field
- Select the date the dealing error occurred on the Calendar pop-up under the Date of Error field by selecting a Date.
Date of Error Field
- Select the date the dealing error was identified on the Calendar pop-up under the Date Error Identified field by selecting a Date.
Date Error Identified Field
- Enter a list of client names affected by the dealing error in the Name of Client(s) Affected field.
Name of Client(s) Affected Field
- Enter a description outlining the dealing error in the Nature of Error field.
Nature of Error Field
- Enter the amount of profit/loss caused by the dealing error in the Profit/Loss Amount from Error field.
Profit/Loss Amount from Error Field
- Select a currency code for the profit or loss from the Currency dropdown menu.
Currency Dropdown Menu
- Include any feedback received from the client regarding the dealing error in the Client Feedback field
Client Feedback Field
- Enter any additional details or instructions in the Additional Information field.
Additional Information Field
- 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
- 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
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(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
- 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.