Restricted Security

The compliance officer or system admin can create lists of Restricted or Non Monitored Securities to enforce the firm trade policy. Those restricted or non-monitored securities can use rule builder to monitor employee trade transactions.

Click the Restricted Security in the left navigation menu under Firm Policy and a new Restricted Security Tab folder will be created in the right panel. There are 3 sub-Tab folders: Search Restricted Security, Search Result Restricted Security and Create New Restricted Security.

Restricted Security search screen

Search Restricted Security

Search Criteria

Field Name Description
RS Id This is the unique number for the Restricted Security entry in the system.
Symbol The symbol of the security.
Security Name The name of the security.
Start Date The date when this restrict will take affect.
End Date The date then this restrict will end.
RS Type The type of the Restriction; eg. Restricted or non-monitor.
Org Unit Code The org unit this restricted apply to.
CreatedByDate Date and Time when this entry is created.
CreatedByUser User who created this entry.
ModifiedByDate Last modified date and time.
ModifiedByUser Last modified user.
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 criteria is met

Functional buttons

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

Search Result Restricted Security

Restricted Security search result screen

The top part is the table which shows the list of the Restricted Security that meet the search criteria. The bottom part is the details of the selected entry.

Update/Delete Restricted Security

Double Click the selected record in the table to modify this entry. A new Tab folder “Update/Delete Restricted Security” will be added, as shown below.

Restricted Security update/delete screen

Functional buttons

  • Update: – Make changes on the Restricted Security and save and switch back to the “Search result Restricted Security” Tab. Some of the fields in this form are read only, like RS Id, created/modified user, and date.
  • Reset:– Reset the data to its initial value and discard all the changes.
  • Cancel:– Cancel this change and switch back to the “Search result Restricted Security” Tab.
  • Delete:– Delete this entry and then switch back to the “Search result Restricted Security” Tab.

Create New Restricted Security

Select the “Create New Restricted Security” Tab to create a new entry.

Restricted Security create new screen
Field Name Description
RS Id This is the unique system generated number.
Org Unit Code The org unit this Restricted Security is applied to.
Symbol The symbol of the security.
Security Name The name of the security; read only and it will populate after the symbol is inputted.
Start Date The date when this restrict will take affect.
End Date The date then this restrict will end. If it is empty, it will take affect forever.
RS Type The type of the Restriction; eg. Restricted or non-monitor.
Comments Comments on this entry.
Option1 reserved field; not used now.
Option2 reserved field; not used now.
CreatedByDate Date and Time when this Restricted Security entry was created. It is a read only field.
CreatedByUser User who created this this Restricted Security entry. It is a read only field.
ModifiedByDate Last modified date and time; It is a read only field.
ModifiedByUser Last modified user; It is a read only field.

Functional buttons

  • Create: – Click the Create button to create a new Restricted Security entry and switch to “Search result Restricted Security” Tab. Symbol, Start date, RS type, and org unit code are mandatory fields; if any of them is empty, an error message will be shown.
  • Clear:– Click the Clear button to clear all the fields.
  • Cancel:– Click the Cancel button to cancel operation and switch back to “Search result Restricted Security” Tab.