Article Content
Closing a Completed Rule Breach
Overview
A Compliance Officer must record all rule breaches within the system by creating a rule breach record.
User Account Requirements
The user account used to log into Kroll's Managed Compliance Software must have Compliance Officer permission to access the Breaches section.
Related Information/Setup
Please refer to the Creating a New Breach Update for more information on closing a rule breach.
Navigation
- From the Home screen, click the Sort dropdown menu under the My Tasks 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 Regulatory Notification request in the My Task section. Regulatory notifications are indicated by a T followed by a number, indicating the request ID (e.g., T - 114).
Regulatory Notification Link
- (Optional) If you know the name of the regulatory notification, click the Search link and enter the regulatory notification 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 Breaches tab.
Breaches Tab
- From the Breaches screen, click on a Breach link under the Open Rule Breaches or Pending Regulatory Notification sections.
Breach Sections
- From the Rule Breach screen, scroll to the Please Note section and click the Pending Notification link.
Pending Notification Link
Closing a Completed Rule Breach
- From the Regulatory Notification screen, enter any regulatory details in the Notification Details field.
Notification Details Field
- Select the date the regulatory body was notified from the Calendar pop-up under the Date of Notification field, by clicking a Date.
Date of Notification Field
- Include support documentation by dragging and dropping files into the designated area on the Supporting Evidence field or select the top proportion of the Supporting Evidence field and select a file from the connected PC.
Supporting Evidence Field
- Click the designated area on the Attachments 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
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(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.
Edit and Delete Icons
- Click the Complete button to complete the breach.
Complete Button