Rep: Access Attestations

Attestation PDFs

The PDF of each reviewed/rejected attestation is available, in real time, 24/7 by: RIGHT-CLICKING on any record > PRINT

​

EXAMPLE:

1. Go to REP DASHBOARD > Select any REPORT

2. RT-CLICK any record > PRINT

• Related Articles

• Firm: Review Submissions|Attestations|Forms

  Access the forms needing review You can see ALL forms that were submitted and require your review on your COMMAND CENTER Dashboard (see image below) You can also access the forms directly by going to the corresponding report on the left side of your ...

• Firm: Books & Records Download Links

  While Compass securely stores submitted documentation (attestations, reviews, etc), in the Firm's drive (access via Command Center), the Firm is ultimately responsible for storing Books & Records in their designated location (whether on Firm servers, ...

• Rep Dashboard

  Rep Dashboard Location of Firm’s most current versions of WSP (Written Supervisory Procedures) & RIA Manual [WSP Attestation] Button will attest to your having access, and responsibility to adhere, to the WSPs/RIA Manual w date of last attestation ...

• Rep: Annual Attestations

  Rep Dashboard Firm’s most current version of WSP (Written Supervisory Procedures) & RIA Manual FinPRO – Access to your information in Finra – to review U4 information (or to take CE) You must have or create a login directly with Finra, instructions ...

• Firm: Annual Rep Review

  1. Add Names|Reps to the Annual Review Employees (report) > Select Names (you want to add to the annual review) **Remember to FILTER, do not select terminated Reps Select [Annual Rep Review + Consultant Assistance] if you wish for assistance with the ...