Article Content
Reviewing a Compliance Officer's Trade Request Overview Report
Overview
A compliance officer can review an overview of all the gift and entertainment requests submitted by employees on the compliance officer's overview report. The overview report displays the request status, gift and entertainment 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 gift and entertainment request overview report.
Related Information/Setup
Please refer to the Reviewing a Gift and Entertainment 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 Gifts and Entertainment tab.
Gifts and Entertainment Tab
- From the Gifts and Entertainment screen, click the Business Unit link under the Gifts and Entertainment Overview section.
Business Unit Link
Reviewing a Compliance Officer's Gifts and Entertainment Overview Report
- From the Gifts and Entertainment Overview screen, the Request Status section graphs all the gift and entertainment requests within the business unit by status (Pending Review, Declined, Withdrawn, or More Information Requested).
Request 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 Entertainment/Gift Request sections:
- Gifts and Entertainment Name: The name of the entertainment item/gift.
- Approximate Value: The entertainment item/gift approximate value.
- Currency: The currency code represents the entertainment item's/gift's currency.
- Name of Third Party: The name of the company (third-party).
- Name of Individual at Third Party: the name of the person at the third party receiving or giving the entertainment item/gift.
- Relationship: The type of relationship between the giver and receiver.
- Entertainment/Gift Description: A brief description outlining the entertainment item/gift.
- Request Date: The date the request was created.
- Approval Date: If approved, the date the request was approved.
- Request Status: The current status of the request.
Entertainment/Gift 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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