Firm: Original Attestation Submission Details

Firm: Original Attestation Submission Details

Firm can keep track of the original submission/review details for:
  1. Outside Business Activities (OBAs)
  2. Employee Brokerage Accounts (EBAs)
  3. Communications
  4. Social Media
  5. Websites
Compass will automatically populate the 'Original Submission Details' section the first time a form is submitted.

IF firm wishes to keep track of the original date something was submitted/reviewed (for attestations prior to using Compass), simply Rt Click > EDIT on any record in the corresponding report (above forms), and scroll to the bottom of the page.
      *Note: Only Compliance can access & update these fields (Only accessible with CCO or CCO-View access, not able to be accessed by supervisor or rep access levels)
In above reports: Rt-Click line/record > EDIT > Scroll to the bottom of page
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