Holdings & Position

The compliance officer can view both the access person holdings and broker position, while the access person can only view his/her own holdings. Holdings and broker position must match for each security held by access person. If not, the compliance officer or access person can use the Create New PreClearance to input holding adjustment transactions.

Click the Holdings & Position in the left navigation menu under Access Person and a new Holdings & Position Tab folder will be created in the right panel. There are 2 sub-Tab folders: Search Holdings & Position, and Search Result Holdings & Position

Holdings & Position search screen

Search Holdings & Position

Search Criteria

Field Name Description
User ID The Access person ID.
Broker Account The broker account number.
Symbol The Symbol of the security.
Account Name The access person’s broker account number.
Broker Name The name of the broker.
Org Unit Code The org unit this holding transaction belongs to.
AND Select AND radio box if you want those criteria added together.
OR Select OR radio box if you want to get the result if either of the criteria is met

Functional buttons

  • Find: – click the Find button to search.
  • Clear:– click the Clear button to clear all the criteria.

Search Result Holdings & Position

Holdings & Position search result screen

The top part is the table which shows the list of the Holdings & Position that meet the search criteria. The bottom part is the details and the list of detail transactions of the selected entry.

Note

There is no Create New or Update/Delete function on Holdings & Position.