Create Compliance Rules Group and Assigning Members (W5)

This version is superseded. Click here to view the latest guide.

PURPOSE

This document shows the detailed procedure in creating new compliance rules group and assigning members.

WHY IS THIS IMPORTANT?

In order for compliance rules to be applied and tested against investment holding of a portfolio, the relevant rules must first be assigned to a Compliance Rule Group and then the Group is assigned to a portfolio.

PROCEDURE

1. Select Set Up > Risk > Compliance.

2. Click Group.

3. Click New Group.

4. Fill in the fields. The Short Name field is mandatory.

5. Click Save.

6. To assign members, click on the short name of the group.

7. Click Assign Member.

8. Choose the compliance rule to add by clicking on the check box beside the Short Name of the rule. In this example, R01 and R02 will be selected.

9. Click Add.

10. The rules will be copied to the right side of the screen.

11. Click Save.

12. From the Amend Group screen, click Save again.

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