Compliance Alert Settings

As part of your firm's compliance rules, different transaction types can be set as non-compliant or compliant. From the "Admin" mode, navigate to "Settings" and click on the "Compliance" tab.

If no transactions require approval, leave "Require Approval Request" set to "No" so that it displays in gray. Scroll to the bottom and select "Save" to capture any changes.

If certain transactions do require approval, move to "Require Approval Request" to "Yes" so that it displays in blue.

Specific security types can be set to always be compliant. For example, if all transactions for mutual funds should be compliant, regardless of approval request requirements, toggle that security type to be on then click "Save".

Any transactions that match to your firm's Restricted List will always be considered non-compliant.

If you would like to receive email notifications for all non-compliant transactions, navigate to the "Member" settings tab and toggle the "Receive Compliance Notifications" setting on so it displays in blue.

Click "Save" at the bottom of the page to capture any changes.