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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 Click ADD to To add the a new alert status flag, click ADD.Click Once you have created the flag, click SAVE to save the flag for reusestore 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).

• Alert Type Name

• Alert Type Description

• Alert Type Code

• Alert Risk Value

• Suppression Days

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Alert Type Details

Double-click on the alert type to open access the Alert Type Detail window.Select the required alert type for the assigned lookup tables and the employee assignment rule setup. Double-click the lookup table to open the Edit Lookup Table Assignment window. Click the Employee Assignment Rule Setup tab to assign the rule.

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Make changes in the Alert Type Detail window and click SAVEthe necessary adjustments within this window, and then click SAVE to apply your changes.

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Edit Lookup Table Assignment

Modify dates in 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 modify adjust the lookup values. Click SAVE when finishedOnce you have made your changes, click SAVE to finalize your updates.

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Click DETAIL to display the complete To view the full lookup table for the selected alert type, click on DETAIL. Each line is represents a separate distinct alert with categorized under the Missing Suitability Profile type. DoubleTo explore a specific alert, double-click the row you are interested in (relevant row, such as Missing Suitability - Birth Date Unsolicited in the example )provided.

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In the Lookup Table Row Detail window (see Figure), verify check the flags (: Birth Date = should be set to Yes (1), and Solicited = should be set to No (2)). If these details overestimate the indicators suggest an overestimated risk, you can decrease lower the risk value by adjusting it. If this accordingly. For instance, if the alert flag is 10 for Missing Suitability is 10, you can may adjust it to -8. Then, it will flag as This adjustment will result in a risk value= of 2.

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

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Employee Assignment Rule Setup

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

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Adjusting Risk Value

The system uses various alert types. Each type must be evaluated with the Risk Value (1)employs multiple alert types, each requiring assessment against a Risk Value of 1. By default, each alert has its every alert is assigned a risk value based on according to its specific type.

Select To proceed, select the Alert Type (2) (— for instance, Missing Suitability Profile in the example) — and double-click on the corresponding 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.

Image Removed

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. Image Removed Note: At the bottom, you will see this The alert type below is under the Assigned Lookup Tables tab at the bottom of the screen. Double-clicking the alert type it opens the Alert Type Detail window, where you can adjust modify the risk score by entering the value in the Risk Values field. Click SAVE when finishedAfter adjustments, click SAVE to finalize changes. Image Added Rw step Image Removed Note: [Optional] If necessary, change the start and end dates and click . Click the Detail button in the Edit Lookup Table Assignment window. This opens the Age Alert table. Image Added 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. Image Added Rw step Double-click on the Alert Lookup – Age Rules table row to access the configuration options. The This table contains outlines all the rules set up established for the flag. Consider Carefully consider which rules you should want to add, delete, changemodify, insert, or renumber. To add a new rule, click Add. It adds This action will append a new parameter at the end of the table. To delete a rule, click Delete. To change the modify an existing rule, click Edit ( or double-click the line). To insert a rule, click Insert. This function mainly feature primarily groups several alerts and sets assigns their group IDs. It allows for evaluating , enabling the evaluation of these alert rules one by one sequentially in ascending or descending order. For exampleinstance, for when dealing with large trades, verifying it is beneficial to verify the rules for different various ranges (trade amounts) ($25000, $50000, and $75000) is usefulsuch as $25,000, $50,000, and $75,000. To renumber a rule, click Renumber. Select the parameters for your alert based on your rule's needsthe specific needs of your rules. info
Info: There are Key Values boxes (1) for many parameters. When this box is checked, the parameter is ignored. This means - the system goes to line one. If line one is checked, it is ignored. The system goes to line two. If line two is checked, it is ignored, etc. If the line is not checked, the system saves selected parameters. They are gatekeepers. Then, the system reaches the bottom (meets all criteria of the key values); at the bottom, there can be Return Values (2) (displayed without Key Values boxes). They analyze the values and can create alerts to flag.

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 allows enables you to set configure the suppression days for an alertalerts. This is applicable only feature specifically pertains to the five Account Alerts available in the system (: Account Concentration, Account Dates, Account Exception, Account Turnover, and Account Value Change).

Rw ui steps macro
Rw step Click on the Setup > Alert Type tab. Rw step Double-click Alert Type. Image Removed 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. Image Added

Employees

In the Employees subtab, you can:

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Alert Values

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

Click To get started, click on the Setup (1) > tab followed by the Alert Values (2) tabstab.

• Enter Input the Value name, Code, Description, and/or Severity (3), then click FILTER (4) to display view only the filtered records.

• DoubleTo display or edit record details, double-click the record ( or select the record it and click DETAIL) to display or edit record details. Edit details . Make your edits in the Alert Value Detail window and , then click SAVE.

• Click ADD to To create a new record. Add , click ADD, fill in the details in the Alert Value Detail window, and click SAVE.

• Select the record To remove a record, select it and click DELETE to delete the record.

• Click EXPORT to To export the report, click EXPORT to save it in CSV or XLS format (see Figure 3).

• Click IMPORT to To import the a CSV file into the report, click IMPORT (see Figure 4).

• Click Column Selector (5) to configure 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 click use the up or down arrow to move this column up or down in reposition it within the list.

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

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

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

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

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

• Click Finally, click Save when finishedyou have completed your adjustments.

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Alert Value Detail

The Alert Value Detail Window includes the following fields:

• Name: A summary of the alert, also known as the alert flag.

• Description - short description or some details of : A brief overview or additional details regarding the alert.

• Code: recommended: Recommended to use an abbreviated name or alert symbol.

• Severity: defines how critical an alert is. Select Indicates the criticality of the alert. Please select from the dropdown options: Critical Error, Error, or Warning.

• Adjustment Factor

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Once you have completed your entries, click SAVE to finalize your changes.

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