Compliance Team Portal

Personal Trading

• Reviewing a Personal Trade Request
• Reviewing a Compliance Officer's Trade Request Overview Report
• Viewing a Request's Change Log History

Gifts and Entertainment

• Reviewing a Gift/Entertainment Request
• Reviewing a Compliance Officer's Gifts and Entertainment Overview Report

Approvals

• Reviewing an Approval Request

Disclosures

• Reviewing an Operational Incident Disclosure
• Reviewing a Conflict of Interest Disclosure
• Reviewing a Dealing Error Disclosure
• Reviewing a Suspicious Activity Disclosure
• Reviewing a Complaint Disclosure

Breaches

• Creating a New Conduct Rule Breach
• Creating a New Rule Breach
• Creating a New Breach Update
• Closing a Completed Rule Breach

My Tasks

• Reviewing a New Trade Account Request