Statement Tracking

Statement Tracking

1. Click the Personal Trading tab at the top of the screen.

2. Click the Statement Tracking tab.

3. The search filter is displayed. Click Hide Search to hide the search filter.

4. The default search setting and view is the current Year with the Period set to either Month or Quarter.

5. The default search settings can be modified for Year, Period, Account, Owner and Source.

6. To search by Financial Institution Account, type the Account ID or the Account Name into the Account field.

7. To search by Owner, choose the name of the user from the drop-down list in the owner field.

8. To search by Source, choose Direct Feed from Financial Institution, Feed using Employees On-line Access, Entry of Data (Outsourced), or Entry of Data (Internal) Feeds includes holdings and trades records added by means of a feed; Click Submit to obtain the results.

9. The results are displayed per Employee Name. Employees can have one or more account(s), and each account will be listed in a separate row in the table.

10. The Trade Recorded column lists the number of trades added to MyComplianceOffice electronically against the account for the given Period.

11. The Latest ElectronicHoldings column displays the date that the last holding was received via a feed or manually entered for each brokerage account for the given Period.

12. The Paper Statement Received column lists the number of statements processed via the Statement Processing screen, or added on the Trading Docs screen for the given period.

Created with the Personal Edition of HelpNDoc: Free iPhone documentation generator