Advanced Compliance Policy

The advanced version of Compliance Policies allows to:

    • run the compliance policy analysis on a future date, and different time-periods
    • include renewal policies and simulated transactions
    • apply filters to compliance policies
    • apply forward-looking compliance policies

 

 

Compliance policies can also be set at different levels:

  • Private: the compliance policy is visible from the user who created it. 
    You can:
    1. Access the detailed page
    2. Clone the compliance policy and get a new private one
    3. Delete the compliance policy
    4. Share the compliance policy with the members of your organization. Please note that this action will remove all the rights the user had on this feature. You will not be able to edit or delete the compliance policy.
    5. Share the compliance policy with the members of you account. Please note that this action will remove all the rights the user had on this feature.
  • Entity: the compliance policy is set at the entity level and will work just as it used to do before. The user will be able to clone it and get a private copy that can be modified. Users, provided that they are allowed to manage the entity, will be able to modify any attached compliance policy.
  • Organization: the compliance policy is set at the organization level. In this configuration the compliance policy is just available for execution. The option of cloning it into a private compliance policy is still available.
  • Global: the compliance policy is set at the account level. In this configuration the compliance policy is just available for execution. The option of cloning it into a private compliance policy is still available.

Summary:

  Legacy Compliance Policies Enhanced Compliance Policies Enhanced Compliance Policies Enhanced Compliance Policies
Name Entity compliance policy Private compliance policy Organization compliance policy Global compliance policy
Scope All transactions involving the entity All transactions of the organization visible to the user All transactions of the organization visible to the user All transactions of the organization visible to the user
Visibility The compliance policy is visible to all the users of the organization the entity belongs to The compliance policy is only visible to the user The compliance policy is visible to all the users of the organization The compliance policy is visible to all the users of the account
Create Administration / Organization Entities / [Entity Name] / Compliance Policies Section / Create Compliance Policy Analysis / Compliance Policies / Add Compliance Policy On an existing PRIVATEcompliance policy: Analysis / Compliance Policies / [Compliance Policy Name] / Publish As / Publish as Organization Compliance Policy On an existing PRIVATEcompliance policy: Analysis / Compliance Policies / [Compliance Policy Name] / Publish As / Publish as Global Compliance Policy
Edit Administration / Organization Entities / [Entity Name] / Compliance Policies Section
OR
Analysis / Compliance Policies / [Compliance Policy Name] / Go to details
Analysis / Compliance Policies / [Compliance Policy Name] / Go to details Not Possible Not Possible
Delete Administration / Organization Entities / [Entity Name] / Compliance Policies Section Analysis / Compliance Policies / [Compliance Policy Name] / Delete Administration / Organization Settings / Compliance Policies Section Administration / Account Configuration / Compliance Policies Section

Tip: use filters to let the user see only the transactions where the entity is involved.
To restrict a portfolio to a single entity, use the filter criteria “Transaction / Party” / “Is in” / 
To exclude assets (excluded in the Entity compliance policy with the filter “Without Assets”), use the filter criteria “Transaction / Transaction Role”/ “Is not in” / 

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