Adding a Policies & Procedure Document
1. Click the Policies & Procedures tab at the top of the screen.
2. Click Add a Policy or Procedure document on the Actions. The Add a Policy and Procedure page is displayed.
3. Click Browse to select a file to import. The Choose File dialogue is displayed.
4. Click the document you wish to import, and click Open.
5. Enter the remaining document details as follows:
• Document Name: Enter a document name. This will be how the document is displayed on MyComplianceOffice.
• Classify the Document: Select whether the document is a policy or procedure or a combined policy/procedure document.
• Owner: Select the appropriate individual to be the document owner (defaults to the user who is logged in).
• Compliance Category: Select a category from the drop-down list. The default compliance categories available are:
• Anti-Money Laundering
• Avoidance of Conflict of Interest
• Best Execution
• Books & Records
• Business Continuity
• Client
• Code of Ethics
• Disclosure
• Filings
• Investor Control
• Privacy
• Risk
• Safeguarding Assets
• Trading
• Travel
• Entertainment & Gifts
• US Sanctions
• Vendor Oversight.
• Document Creation date: Enter the original date the document was created by selecting a date from the calendar.
• Last Modified: Enter the last date the document was updated by selecting a date from the calendar. This date should not be before the creation date.
• Notes: Enter any relevant comments about the document.
6. Click Add a Policy or Procedure Document to import the document to MyComplianceOffice. The document is now within MyComplianceOffice and is subject to document management.
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