New Enhancements to MyCompliance Office

The latest release includes some new enhancements that will improve the breadth of functionality on the application, as well as correcting some known issues. These improvements are based on feedback we received from our clients in an effort to continually improve our service to you. The primary changes are provided below.

For further information on this release please contact your relationship manager or contact the support team at support@mycomplianceoffice.com or 1-866-951-2280.

1.New IPO and Private Placement pre-Clearance screens

New IPO and Private Placement pre-clearance screens have been added to make the pre-clearance process clearer for users.

2.IPO Screen

3.Private Placement Screen

4.Enhancements to Enterprise Gifts Manager

Enterprise Gifts Manager has been enhanced to allow users to confirm that they have received a gift.

•Once a user pre-clears a gift given they can now confirm if the gift was actually received or not and an actual gift received will be created. Rules can be run against gift received pre-clearances and confirmed actuals.

•All users can now see details of their gift given actuals and gift received actuals within their My Compliance page.

•Compliance Officers can now review all gift given and received actuals and mark the requests as having been reviewed.

•An optional category field for gifts given and received has been added. Firms can define what categories users can choose.

5.Personal Trading Enhancements

A number of Personal Trading enhancements have been added:

•Trades and Holdings can now be filter by covered/monitored account.

•Trade data entry can now handle multiple currencies.

•Date format on exported data has been changed to yyyymmdd to allow better sorting across of data.

6.Custom Form Enhancements

•Users with the correct permissions can now submit custom forms on behalf of other users.

•Exports from pre-clearances, gifts, political contributions lists will now include all questionnaire fields.