AP Certification

The compliance officer or system admin create certifications and assign access to person. Accessed persons can submit the required certification via the AP Certification menu.

Click the AP Certification in the left navigation menu under Firm Policy and a new AP Certification Tab folder will be created in the right panel.

There are 2 sub-Tab folders: Search AP Certification and Search Result AP Certification

AP Certification search screen

Search AP Certification

Search Criteria

Field Name Description
Cert Id This is the unique number for the certification entry in the system.
Name Name of this certification entry.
Start Date The start date when access person can start submit certification.
End Date The end date when access person can start submit certification.
Cert Type The type of the certification; can be Holding, Broker Account, Transaction, Custom, etc.
Status code The status code. eg: New, Assigned, Submit, etc.
AssignTo Access person that this certification is assigned to.
AssignToGroup The user group that this certification is assigned 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 AP Certification

AP Certification search result screen

The top part is the table which shows the list of the AP Certification that meet the search criteria. The bottom part is the details, Documents, Emails, and Audit Logs of the selected entry. Depending on the certification type, they may have the Broker Account, Holdings or Transaction tab.

Update/Delete AP Certification

Double Click the selected record in the table to modify this entry. A new tab folder Update/Delete Alt. Name will be added, as shown below:

AP Certification update/delete screen

Functional buttons

  • Action Dropdown list: – Depends on the current certification status and user’s permission. It will show a list of action that the user is allowed to perform. Select one of the actions from the dropdown list. Typically, Users can add a comment, add document, submit certification, etc. Those actions are configured via the workflow. Please see Workflow section for details.
  • Action Reason Dropdown list :– Select one of the action reasons from the dropdown list.
  • Comments:– A free text box to allows users to input the comments of this action. Comments will show in the action logs.
  • Submit:– A pop down will show success or failure after performing this action. Depending on the action performed, it may change the action status. It will stay on this page to allow the user to perform another actions.
  • Reset:– Reset the data to its initial value and discard all the changes.
  • Close:– Cancel this change(if any) and close this page and switch back to “Search result AP Certification” Tab.

Note

Creating a new certification is a system admin or compliance officer task. it is via Certification menu.