Article Content
Reviewing a Request for More Information from a Compliance Officer
Overview
A Compliance Officer may return a personal trade request asking the employee for more information. When this occurs, the employee must review the request for more information and resend the personal trade request to the Compliance Officer, where the personal trade request includes the requested information.
Related Information/Setup
Please refer to the Adding an Existing Brokerage Firm article for more information on adding an existing brokerage account to a personal trade request.
Navigation
- From the Home screen, click the Sort link in the My Task section.
Sort Link
- From the Sort dropdown menu, select Type to sort requests on the My Tasks section by type.
Type
- Click on a Personal Trade Request with a More Information Requested tag in the My Task section. Personal trade requests are indicated with a PT and a number indicating the request number (e.g., PT - 40).
Personal Trade Request Link
- (Optional) If you know the name of the persona trade request, click the Search link and enter the personal trade request name in the Search field.
Search Link
Reviewing a Request for More Information from a Compliance Officer
- From the Personal Trade Request screen, review the comment(s) in the Comments field.
Comments Field
- To change the brokerage account, click the x button next to the brokerage account to remove the account.
X Button
- From the Remove related object? pop-up, click the Remove button.
Remove Button
- Click the Add Existing Brokerage Account link to add a new broker account to the personal trade request.
Add Existing Brokerage Account Link
- Review the personal trade request and apply all the requested changes.
- Click the Submit button to resubmit the personal trade request to a Compliance Officer for a second review.
Submit Button