Article Content
Reviewing a Suspicious Activity Disclosure Request
Overview
A Compliance Officer must review all suspicious activity disclosures within the system. Suspicious Activity disclosures can be accepted or more information requested 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 Kroll's Managed Compliance Software must have Compliance Officer permission to review suspicious activity 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 dropdown menu in the My Task section.
Sort Dropdown Menu
- 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 a Suspicious Activity Disclosure request in the My Task section. Suspicious Activity Disclosure requests are indicated by a D followed by a number, indicating the request ID (e.g., D - 19).
Suspicious Activity Disclosure Request Link
- (Optional) If you know the name of the suspicious activity disclosure request, click the Search link and enter the suspicious activity 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 Disclosures tab.
Disclosures Tab
- From the Disclosures screen, click on a suspicious activity request in the Pending Review/More Information Required section.
Disclosure Request Link
Reviewing a Suspicious Activity Disclosure Request
- From the Suspicious Activity Request screen, review the information in the Suspicious Party Information section.
- Name of Suspicious Party/Firm: The name of suspicious party or firm.
- Suspicious Party's Country: The country where the suspicious party are firm is located.
- Suspicious Party's Address: The suspicious party or firm's street address.
- Suspicious Party's City: The city the suspicious party or firm is located.
- Suspicious Party's Zip/Postal Code: The suspicious party or firm's zip/postal code.
Suspicious Party Information Section
- Review the information in the Suspicious Activity section.
- Date when Suspicious Activity was Noticed or Observed: The date the activity was first noticed.
- Date of Suspicious Activity: The date the activity occurred.
- Suspected Wrongdoing: A brief description outlining the suspicious activity.
- Details of Suspicious Events: Further details or instructions regarding the activity.
- Supporting Documentation: Additional files or websites that give evidence supporting the suspicious activity.
Suspicious Activity Section
- When all sections are reviewed, enter any comments, instructions, or additional information in the Comments field under the Compliance Review section.
Comments Field
- Select an option to the question: Does this disclosure require notification to the relevant regulator? If the user selects No, they will have to include further details.
Does this disclosure require notification to the relevant regulator? Radio Button
- 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
- (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
- (Optional) Click the History tab to review the request's change log history.
History Tab
- 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 Complete Review button to approve the suspicious activity disclosure request. The employee who submitted the request will get a notification. The employee will see any comments in the Comments field.
Complete Review Button