Compliance Requirements on Instruction Level

Compliance Requirements will appear under Compliance Requirements on the transaction if a Compliance type have been setup for the transaction type (see setup of Compliance Requirement Types)

Compliance Requirements can be marked as Compliant and/or Outstanding and Outstanding reasons can be selected from the drop-down lists

Non-compliant requirements will also appear on the front of the Investor Account and Investor Compliance Requirements Card, while Outstanding Requirements can be viewed under More Actions

Instructions with Non compliance or outstanding requirements will also appear under Main menu instructions -> Outstanding Requirements

Instructions with outstanding requirements or non compliance cannot be authorised

NOTE: Users require the Global permission ‘Compliance Requirements’ to access the Compliance tick boxes for Compliance requirements on Instructions

Last Updated on 6 years ago by Tinus Burger