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Creating a Suspicious Activity Compliance Disclosure
Overview
Users must report suspicious activity to a compliance officer to create a record of the activity and allow for a resolution. Suspicious activity can include theft, money laundering, malpractice, 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 Suspicious Activity Compliance Disclosure
- From the Create a New Disclosure screen, select Suspicious Activity from the Disclosure Type dropdown menu.
Disclosure Type Field
- Click the Suspicious Activity button.
Suspicious Activity Button
- Enter the name of the suspicious party or firm in the Name of Suspicious Party/Firm field.
Name of Suspicious Party/Firm Field
- Enter the suspicious party's address in the Suspicious Party Address, Country, City, and Zip/Postal Code fields.
Suspicious Party Address Fields
- Select the date the suspicious activity was identified on the Calendar pop-up under the Date Suspicious Activity was Noticed or Observed field by selecting a Date.
Date Suspicious Activity was Noticed or Observed Field
- Select the date the suspicious activity was reported from the Date of Suspicious Activity dropdown menu.
Date of Suspicious Activity Field
- Select the suspicious activity that best fits the activity reported from the Suspected Wrongdoing dropdown menu. If the user selects Other, further detail is required.
- Fraud
- Financial Crime
- Market Abuse
- Conduct
- Danger to Health and Safety
- Rule or Internal Policy Breach
- Possible Role or Policy Breach
- Other
Suspected Wrongdoing Field
- Enter any details of the suspicious event in the Details of Suspicious Events field.
Details of Suspicious Events 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.