Article Content
Overview
A Compliance Officer must review all approval requests within the system. Approval requests can be declined, more information requested, or accepted depending on the information within the request. The employee who created the request will be notified regardless of the outcome.
User Account Requirements
The user account used to log into Resolver must have Compliance Officer permission to review approval requests.
Related Information/Setup
Please refer to the Viewing a Request's Change Log History article for more information on viewing a request's change log.
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 in the My Tasks section by type.
Note:
Clicking Type for a second time will sort the My Task list by type alphabetically.
Type
- Click an Approval request in the My Task section. Approval requests are indicated by an A followed by a number, indicating the request ID (e.g., A - 15).
Approval Request Link
- (Optional) If you know the name of the gift or entertainment request, click the Search link and enter the personal trade request name in the Search field.
Alternate Navigation
- From the Home screen, click the Home dropdown menu.
Home Dropdown Menu
- Click the Compliance Team Portal link.
Compliance Team Portal Link
- From the Personal Trade screen, click the Approvals tab.
Approvals Tab
- From the Approvals screen, click on a request in the Overdue or Review sections.
Approval Request Link
Reviewing an Approval Request
- From the Approval Details screen, review the information in the Details section.
Details Section
- Information in the Details section differs depending on the request type (marketing materials, outside business activities, etc.).
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Marketing Materials:
- Due Date: The date the request must be reviewed by a Compliance Officer. If the request is not reviewed before this date, the request will move to an overdue state.
- Intended Distribution Date: The intended distribution date for the marketing materials.
- Title of Marketing Material: A name or title that sums up to content of the marketing material.
- Medium Used for Distribution: The distribution method used to deliver the marketing materials.
- Short Description of Marketing Material: Is a brief description, instructions, or content list.
- Supporting Documentation: Any supporting documentation. Click the link to review the supporting documentation.
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Outside Business Activities:
- Due Date: The date the request must be reviewed by a Compliance Officer. If the request is not reviewed before this date, the request will move to an overdue state.
- Organisation: The name of the outside business involved in the activity.
- Organisation Country: The country the organisation is located in.
- Ogranisation Address: The organisation's address.
- Organisation Zip/Postal Code: The organisation's zip or postal code.
- Legal Status of Entity: The organisation's legal status.
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Political Contributions:
- Due Date: The date the request must be reviewed by a Compliance Officer. If the request is not review before this date the request will move to an overdue state.
- Contribution Recipient: The recipient receiving the contribution.
- Name of Candidate: The candidate's name.
- Chosen Office for Election: The name of the office the candidate is running for.
- Candidate's Current Position: The candidate's current position.
- Contribution or Non-Cash Value: The contribution amount (e.g., amount contributed) or state the non-cash value of the contribution (e.g., services, volunteer labor, use of property, etc.).
- Currency: The contribution's currency.
- Date of Contribution: The contribution date.
- Form of Contribution: How the user intends to contribute to the political party.
- Supporting Documentation: Any supporting documentation. Click the link to review the supporting documentation.
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Vendor Approval:
- Due Date: The date the request must be reviewed by a Compliance Officer. If the request is not reviewed before this date, the request will move to an overdue state.
- Vendor Type: The type of vendor.
- Domicile Country: The vendor's location (Country of origin).
- Scope of Work: The scope of work provided by the vendor.
- Vendors Considered: A list of considered vendors.
- Vendor Name: The vendor's name.
- Rationale/Justification for Selection: Why the vendor was selected.
- Primary Point of Contact: The primary point of contact's name.
- Primary Point of Contact Email: The primary point of contact's email address.
- Supporting Documentation: Any supporting documentation. Click the link to review the supporting documentation.
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Expert Consultant:
- Due Date: The date the request must be reviewed by a Compliance Officer. If the request is not reviewed before this date, the request will move to an overdue state.
- Expert Consultant Name: The expert consultant's name.
- Export Network/Independent Consultant: The type of consultant.
- Target Investment Company/Sector: The target investment company or sector name.
- Has the expert consultant worked for the target company/sector: Whether the consultant has worked for the target company/sector before.
- Publicly Traded Company: Whether the consultant company is publicly traded or not.
- Comments: Additional comments.
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Marketing Materials:
Note:
There will also be a series of questions with answers that will be displayed in the Provider Information section. These questions will differ depending on the request type.
- (Optional) Click the History tab to review the request's change log history.
History Tab
- When all sections are reviewed, enter any comments, instructions, or additional information in the Comments field under the Compliance Approval/Rejection Decision section.
- Select the Decline button to decline the request submission and notify the employee that the request was declined. The employee will see any comments in the Comments field.
Decline Button
- Select the Request More Information button to request further information from the employee. The employee who submitted the request will get a notification requesting for more information. The employee will see any comments in the Comments field.
Request More Information Button
- Select the Approve button to approve the personal trade request. The employee who submitted the request will get a notification. The employee will see any comments in the Comments field.
Approve Button