Compliance Tasks

Instructions

The Compliance Tasks tab displays important compliance-related tasks for Advisors and Brokers that require your attention. Incomplete tasks may result in account restrictions for your clients. To navigate to this tool, complete the steps outlined below.

  1. Click Menu in the top left corner > Home > Compliance Tasks tab.

  2. The Compliance Tasks will populate on your screen.

    The compliance tasks panel in portal.

  3. Search or select a Compliance Task to complete.

  4. Click the filter icon to filter by

    • New Task (0-5 days)

    • Aging Task (5-10 days)

    • Risk of Restriction (10-15 days)

    • Over 15 days

    The compliance task filgers in portal.

  5. Click the configure wheel icon to add or remove columns

    The compliance task columns in portal.

 

Additional Resources