Article Content
Reviewing a Compliance Officer's Trade Request Overview Report
Overview
A compliance officer can review an overview of all the personal trading requests submitted by employees on the compliance officer's trading overview report. The Overview report displays the trade request status, personal trade request forms, and change log history.
User Account Requirements
The user account used to log into Kroll's Managed Compliance Software must have Compliance Officer permission to review the trade request overview report.
Related Information/Setup
Please refer to the Reviewing a Personal Trade Request article for further information on reviewing a personal trade request.
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 Business Unit link under the Compliance Officer - Trading Overview section.
Business Unit Link
Reviewing a Compliance Officer's Trade Request Overview Report
- From the Compliance Officer - Trading Overview screen, the Personal Trade Status section graphs all the personal trade requests within the business unit by status (Pending Review, Declined, Withdrawn, or More Information Requested).
Personal Trade Status Section
- The number of trade requests per status will appear above each of the columns on the chart.
Column Status Number
- The following information appears in the table under the Trade Request Status section:
- Personal Trading Name: The name of the employee proposing the trade request.
- Brokerage Account Name: The name of the brokerage account on the trade request. Click the brokerage account name for further brokerage account information.
- Account Owner: The brokerage account's owner name. Click the account's owner name for further brokerage account information.
- Symbol: A symbol represents a security within the selected exchange marketplace. Click the symbol to see the personal trade request.
- Quantity: The quantity of the security the user is trading. Click the quantity to see the personal trade request.
- Action: The action of the trade (e.g., buy, sell, short cover, etc.). Click the action to see the personal trade request.
- Currency: The currency code represents the currency the user is trading in. Click the currency to see the personal trade request.
- Request Date: The date the personal trade request was created. Click the request date to see the personal trade request.
- Approval Date: If the personal trade request was approved, the date the request was approved. Click the approval date to see the personal trade request.
- Personal Trade Status: The current status of the personal trade request (Declined, Withdrawn, or More Information Requested). Click the personal trade status to see the personal trade request.
Trade Request
- (Optional) Enter a keyword in the Search field to narrow the table results.
Search Field
- (Optional) The following icons on the toolbar will allow users to export, edit, and add a report to the Home screen.
| Icon | Name | Description |
|---|---|---|
| Edit | Allows the user to edit the overview report form. | |
| Starred | Allows the user to add the report to their Home screen. The report will show when a user logs into the application, replacing the default Home screen. | |
| Refresh | Allows the user to refresh the data displayed on the overview report. | |
| Export to PDF | Allows the user to export the overview report data to a PDF file. | |
| Export to Word | Allows the user to export the overview report data to a Word file. | |
| Export to Excel |
Allows the user to export the overview report data to an Excel file (.csv). |
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