branch ADMINISTRATION Manual
EWMS Compliance Reports
Definition Compliance Reports provide a comprehensive listing of all compliance infractions based on information listed in EWMS.
EWMS provides 13 compliance reports. The Compliance Officer or Branch Manager can run these reports at any time with proper access. The data on the reports will be contingent on the level of access provided to the user’s login. That is, a Branch Manager will only see their branch’s activity on any report.
Order Entry Type Process: Reports > Compliance
Process Owner: Advisor > Assistant
Follow Up: Advisor > Assistant
With Whom: Advisor > Assistant
Forms, Paperwork Flow
Form / Branch / HO Admin / Fund Co4 NA / 4 NA / 4 NA / 4 NA
Location: NA
EWMS Process
4 From your EWMS screen, click on Reports / Compliance
4 You will have access to five Compliance Report Types.
4 The Daily Transaction Blotter Report
4 Select the applicable Advisor Title.
4 Select the applicable Compliance Infraction.
4 Select the applicable Investment Type Category.
4 Input the Entry Date Range you would like to draw your search results from.
4 Choose from the Region, Branch and Advisor options. (User security limitations).
4 Select the applicable Order Types.
4 Generate your Report or Reset to alter your Search Criteria.
4 The KYC Change Report.
4 Input the Date Range you would like to draw your search results from.
4 Input the Entry Client # or search for the applicable client.
4 Choose from the Region, Branch and Advisor options. (User security limitations).
4 Generate your Report or Reset to alter your Search Criteria.
4 The KYC Deficiency Report.
4 Choose from the Region, Branch and Advisor options. (User security limitations).
4 Generate your Report or Reset to alter your Search Criteria.
4 The Loans/Collateral Listing Report.
4 Input the Type of Report you would like to run.
4 Input the applicable Status.
4 Choose from the Region, Branch and Advisor options. (User security limitations).
4 Generate your Report or Reset to alter your Search Criteria.
4 The Off Book Trades Report.
4 A Description of the report is provided for your reference.
4 Choose the applicable Investment Type Category.
4 Choose from the Region, Branch and Advisor options. (User security limitations).
4 Input the Processing Date Range you would like to draw your search results from.
4 Generate your Report or Reset to alter your Search Criteria.
Important Information
4 NA
Confidential, for internal use only - 1 - last revised: 8-Nov-2012 | Volume 1