Compliance

Using the Compliance Queue
To access the compliance queue, in the sidebar go to Transactions and then the Compliance Queue. Please note that this will only show up if you are...
Mon, Aug 9, 2021 at 9:07 AM
Sorting Compliance Queue
While using the Compliance Queue, you are able to sort by oldest-newest or newest-oldest.  To being, go to Transactions-Compliance Queue. To access this...
Mon, Aug 29, 2022 at 2:09 PM
Lightning Queue
The Lightning Queue enhances your workflow by streamlining the transaction compliance review process. In this guide, we'll provide you with a comprehens...
Tue, Nov 14, 2023 at 2:50 PM
Overriding a Transaction's Checklist Item Requirement
Compliance Officers can toggle the requirement of checklist items in individual transactions within TotalBrokerage. This might be necessary in various scena...
Mon, Jan 29, 2024 at 2:21 PM