Compliance and Risk Report

If you navigate to Entities -> Entities -> more actions -> Compliance and Risk Report – Individuals or – Companies you will see a full list of all entities loaded on the system for all the relationship types available on the system. The report is split between individuals and companies. This report could be used for a finite list of entities to perform watch-list screening on.

The values can be filtered by Product, and exported to a spreadsheet.

The “rules” of the report are as follows:

1. Each entity + role + contract combination will be a row in this report. I.e. if the same person is a contract owner and an authorised signatory on another contract, this person will appear twice in the report.
2. The contract number shown, is always the contract of the contract owner.
3. Only entities that are either contract owners themselves, or linked to an entity that is a contract owner or linked to the contract itself with a relationship type will be shown.
4. People with role Contact Person are not shown on the report
5. Brokerages are shown on the Companies report.
6. Advisors are shown on the Individuals report.

Last Updated on 11 months ago by Adrienne Dill