Firm: Review Submissions|Attestations|Forms

Firm: Review Submissions|Attestations|Forms

Access the forms needing review

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

Review Form

  1. Press on any of the forms under 'Submissions Requiring Review' on your Command Center Dashboard (or access report directly)
  2. FILTER the report
  3. for submissions that 'NEED REVIEW
A. Each report will highlight certain details that may require your attention.
  • Depending on information needing your attention, some fields will appear in a color or bolded
    • Examples: Gifts over $100, an OBA that is a Private Security Transaction, someone saying they do NOT know the states they are registered in (in the Compliance Questionnaire), etc.
  • CLICK once on any record to see all details.
B. **click the Date/Memo field IF you need to:
  1. record specific date (not today's date) that you reviewed the record, OR
  2. need to add a compliance memo,
    1. The Compliance memo is for YOUR records.
    2. This memo will not appear on PDF attestation, only in the 'Compliance Memos' report (on left side of screen) available ONLY to users with a compliance view all access
  3. **If you do NOT need to add a compliance memo, and you want to record current date as date of review, NO need to press Date/Memo button
C. Complete Review will add logged in user's NAME, and current date (if a different date was not added in step B)
D. Reject will add logged in user's NAME, and current date (if a different date was not added in step B)
  1. **User must resubmit a new attestation if rejected**

Attestation PDFs

  1. PDF of attestation, filled/signed/Reviewed-Rejected will be uploaded to Firm's Compass Drive each night.
  2. It is available, in real time 24/7 by:  RIGHT-CLK on any record > PRINT
    1. Firm as well as each rep has access to Rt-Clk>Print their attestation at any time from their portal reports.



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