Add an Approved Security

Add an Approved Security

1. Click the Admin tab at the top of the screen.

2. Click the Approved Securities tab. The Approved Securities page is displayed with a tabular view of the current securities that are to be auto-approved.

3. Enter the following information:

    • Security Name/Symbol -enter the ticker symbol, or part (or all) of the name of the security you wish to auto-approve. (If the security is not found then click on Enter Security Details Manually to add the security details to MyComplianceOffice).

    • Choose the security from the list provided

    • The security name and symbol are automatically populated.

    • At least one of the security identifiers (CUSIP, SEDOL, ISIN or Other) is automatically populated.

    • The Security Type field is automatically populated, e.g. Equities.

    • Approved List - select the list you want to approve from the drop down menu provided.

    • Approved From - select the date the restriction is to be effective from. The default is today's date.

    • Approved To - select the date the restriction is to be lifted.

    • Applies to Users - select the users the auto-approval is to apply for.

    • Applies to Groups - select the groups that this auto-approval is to apply for (ignoring the users and groups fields  will auto-approve the security for                  everyone)

    • Description - enter any additional details that may be relevant about the auto-approval.

4. Click on Save to submit the auto-approval (or Cancel to return to the Approved Securities page.)

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