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• Alert Status Flags

• Alert Types

• Employees

• Alert Values

• Alert Schedulers

Alert Status Flags

Rw ui steps macro
Rw step To add a new alert status flag, enter: Status Flag Name Description Flag Value. Rw step To add a new alert status flag, click ADD. Once you have created the flag, click SAVE to store it for future use.

Alert Types

The Alert Types subtab displays a list of all defined alert types. It contains the following information for each Alert Type. You can also single-click a row (1) to view assigned lookup tables (2) and employee assignment rules (3).

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Alert Type Details

Double-click on the alert type to access the Alert Type Detail window. Make the necessary adjustments within this window, and then click SAVE to apply your changes.

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Edit Lookup Table Assignment

Double-click the lookup table to access the Edit Lookup Table Assignment window. In this window, you can modify the dates or click DETAILS to adjust the lookup values. Once you have made your changes, click SAVE to finalize your updates.

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After making the necessary changes, click SAVE (3).

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Employee Assignment Rule Setup

In the Employee Assignment Rule Setup tab, choose the desired Employee Assignment Rule from the available list. Once you have made your selection, click SAVE to finalize your changes.

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Adjusting Risk Value

The system employs multiple alert types, each requiring assessment against a Risk Value of 1. By default, every alert is assigned a risk value according to its specific type.

To proceed, select the Alert Type (2) — for instance, Missing Suitability Profile — and double-click on the Assigned Lookup Table (3).

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Examples of Alert Types Tasks

Rule Building

The Rule Building tab allows you to create individual alert types.

Rw ui steps macro

Rw step Click on the Setup > Alert Types tabs. Rw step Click on the relevant alert type. In this example, we chose Age Exception. Note: The alert type is under the Assigned Lookup Tables tab at the bottom of the screen. Double-clicking it opens the Alert Type Detail window, where you can modify the risk score in the Risk Values field. After adjustments, click SAVE to finalize changes. Rw step [Optional] If necessary, change the start and end dates. Click the Detail button in the Edit Lookup Table Assignment window. This opens the Age Alert table. Check the boxes next to each parameter you want to ignore, and click SAVE when you have completed your selections. Note: When a box is checked, the associated parameter is disregarded, enabling the process to advance to the next line. If the first line is checked, it is ignored, and the system continues to the second line, and so on. Unchecked lines preserve the selected parameters, acting as gatekeepers. Once the system satisfies all key-value criteria, it can present Return Values (2), which are displayed without the Key Values boxes. These return values evaluate the parameters and can trigger alerts for significant findings. Rw step Double-click the Alert Lookup – Age Rules table row to access the configuration options. This table outlines all the rules established for the flag. Carefully consider which rules you want to add, delete, modify, insert, or renumber. To add a new rule, click Add. This action will append a new parameter at the end of the table. To delete a rule, click Delete. To modify an existing rule, click Edit or double-click the line. To insert a rule, click Insert. This feature primarily groups several alerts and assigns their group IDs, enabling the evaluation of these alert rules sequentially in ascending or descending order. For instance, when dealing with large trades, it is beneficial to verify the rules for various ranges (trade amounts) such as $25,000, $50,000, and $75,000. To renumber a rule, click Renumber. Select the parameters for your alert based on the specific needs of your rules.

Risk Values

The Risk Values tab sets the risk value of your alert.

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Rw ui steps macro

Rw step Click on the Setup > Alert Type tabs. Rw step Double-click Alert Type. Info There are 46 alert types, and each can have a risk value assigned to it. These risk values can be adjusted within that type. Here, you can assign the risk value. If you flag multiple alerts, the result is the sum of them. For example, For trades, there can be Commission Exception (5) and Employee Trade (2). The risk of the trade will be 7.

Suppression Days

The Suppression Days tab enables you to configure the suppression days for alerts. This feature specifically pertains to the five Account Alerts available in the system: Account Concentration, Account Dates, Account Exception, Account Turnover, and Account Value Change.

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Rw ui steps macro
Rw step Click on the Setup > Alert Type tab. Rw step Double-click Alert Type. Note: Account Alerts are a snapshot in time. Several Account Alerts are run monthly. But if you want to look at the particular alert every quarter instead of every month, you can suppress that alert for 90 days. Enter the value in the Suppression Days field.

Employees

In the Employees subtab, you can:

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Alert Values

The Alert Values tab enables you to assign names to your alerts effectively.

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• Click Column Selector (5) to adjust the report options as needed.

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Column Selector

In the Column Selector window, you can perform several actions to customize your view:

• Define the page size, with a default value of 20 and a maximum of 200.

• Select a column and use the up or down arrow to reposition it within the list.

• Check the Fixed Column Size option to lock the column width.

• Click on Column Resizing to adjust the width of each column (see Figure 6). Remember to click Save to apply your changes.

• Use the checkbox in the Include in the Report column to ensure this column appears in the report.

• Check the box in the Total column to calculate the total value for that column.

• Enable sorting of records by selecting the checkbox in the Sort By column.

• Finally, click Save when you have completed your adjustments.

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Alert Value Detail

The Alert Value Detail Window includes the following fields:

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