There are several subtabs in the Setup tab.

Alert Status Flags

Open

Alert Types

The Alert Types subtab displays a list of all defined alert types. It contains:

• Alert Type Name

• Alert Type Description

• Alert Type Code

• Alert Risk Value

• Suppression Days

Alert Type Details

Double-click the alert type to open the Alert Type Detail window.

Select the required alert type to see the assigned lookup tables and 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.

Open

Make changes in the Alert Type Detail window and click SAVE.

Edit Lookup Table Assignment

Modify dates in the Edit Lookup Table Assignment window or click DETAILS to modify lookup values.

Click SAVE when finished.

Click DETAIL to display the complete lookup table for the selected alert type. Each line is a separate alert with the Missing Suitability Profile type. Double-click the row you are interested in (Missing Suitability - Birth Date Unsolicited in the example).

In the Lookup Table Row Detail window (Figure), verify the flags (Birth Date = Yes (1), and Solicited = No (2)). If these details overestimate the risk, you can decrease the risk value by adjusting it. If this alert flag is 10 for Missing Suitability, you can adjust it to -8. Then it will flag as a risk value=2.

Click SAVE (3).

Employee Assignment Rule Setup

In the Employee Assignment Rule Setup tab, select the Employee Assignment Rule from the list.

Click SAVE when finished.

Adjustment Factor

The system uses various alert types. Each type must be evaluated with the Risk Value (1). By default, each alert has its risk value based on its type.

Select Alert Type (2) (Missing Suitability Profile in the example) and double-click the corresponding Assigned Lookup Table (3).

Employees

In the Employees subtab, you can:

• Search employee records

• Add new employees

• Delete/modify existing employees

• View historical employee data

Alert Schedule Setup

1. Select the Schedule type:

   • Manually

   • Daily

   • Weekly (enter the week) (W)

   • Monthly (enter the day of the month) (M)

2. Select the time (hour) when to display the alert.

3. Click Alert Source Parameters to configure the alert (see the details in the next screens).

4. Click SAVE when finished.

Trades

Click the Trades tab to open a Trades Alert Schedulers window. Configure required parameters:

1. Select the Date Type:

   1. Trade Date

   2. Entry Date

   3. Settlement Date

2. Select the Start and End Dates for the Alert.

3. Enter the System ID.

4. Enter the Rep Company.

5. Select the Operation from the dropdown list.

6. Enter the Minimum Amount for the trade.

7. Select the Alert Type from the dropdown list.

8. Check boxes as needed (New Trades Only, Generate Multiple Alerts per Alert Type, and/or Generate Debug Alerts if required).

9. Click OK when finished.

Accounts

Click the Accounts tab to open an Accounts Alert Schedulers window. Configure required parameters:

1. Select Location from the dropdown list.

2. Enter the Account Number.

3. Select Account Type from the list.

4. Select Account Subtype from the list.

5. Enter the Rep Company.

6. Select the Alert Type from the dropdown list.

7. Enter As Of Date.

8. Check boxes as needed (Exclude Closed Accounts, New Accounts Only, Generate Multiple Alerts per Alert Type, and/or Generate Debug Alerts).

9. Click OK when finished.

Addresses

Click the Addresses tab to open an Addresses Alert Schedulers window. Configure required parameters:

1. Select the Alert Type from the dropdown list.

2. Check boxes as needed (Generate Multiple Alerts per Alert Type and Generate Debug Alerts).

3. Click OK when finished.

Audits

Click the Audits tab to open an Audits Alert Schedulers window. Configure required parameters:

1. Select the Start and End Dates for the Alert.

2. Select the Alert Type from the dropdown list.

Check Generate Multiple Alerts per Alert Type, and/or Generate Debug Alerts if required. Click OK when finished.

Contracts

Click the Contracts tab to open a Contracts Alert Schedulers window.

Configure required parameters:

1. Select the Security Role from the dropdown list.

2. Select the Company from the dropdown list.

3. Select the State from the dropdown list.

4. Select the Alert Type from the dropdown list.

5. Check to Generate Multiple Alerts per Alert Type and/or Generate Debug Alerts if required.

6. Click OK when finished.

Employees

Click the Employees tab to open an Employees Alert Schedulers window.

Configure required parameters:

1. First and Last Name of the employee.

2. Enter the Rep ID.

3. Select the Business Role from the dropdown list.

4. Select the Security Role from the dropdown list.

5. Select the Alert Type from the dropdown list.

6. Check the boxes as needed (Exclude Closed Employees, New Employees Only, Generate Multiple Alerts per Alert Type, and/or Generate Debug Alerts).

7. Click OK when finished.

Licenses

Click the Licenses tab to open a Licenses Alert Scheduler window. Configure required parameters:

1. Select the Security Role from the dropdown list.

2. Select the License Type from the dropdown list.

3. Select the Jurisdiction: Country(ies) or State(s).

4. Select the Country(ies) or State(s) of the jurisdiction from the dropdown list.

5. Select the Alert Type from the dropdown list.

6. Check boxes as needed (New Licenses Only, Generate Multiple Alerts per Alert Type, and/or Generate Debug Alerts).

7. Click OK when finished.

Orders

Click the Orders tab to open an Orders Alert Schedulers window.

Configure required parameters:

1. Select the Date Type:

   • Order Date

   • Expiration Date

   • Submission Date

2. Select the Start and End Dates for the Alert.

3. Select the Alert Type from the dropdown list.

4. If necessary, check New Orders Only, Generate Multiple Alerts per Alert Type, and/or Generate Debug Alerts.

5. Click OK when finished.

Alert Values

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

Click the Setup (1)> Alert Values (2) tabs.

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

• Double-click the record (or select the record and click DETAIL) to display or edit record details. Edit details in the Alert Value Detail window and click SAVE.

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

• Select the record and click DELETE to delete the record.

• Click EXPORT to export the report to CSV or XLS format (Figure 3).

• Click IMPORT to import the CSV file into the report (Figure 4).

• Click Column Selector (5) to configure the report options.

Column Selector

• Define page size (default value 20, maximum 200).

• Select a column and click the up or down arrow to move this column up or down in the list.

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

• Click Column Resizing and adjust the width of each column (Figure 6). Click Save to save the settings.

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

• Click the checkbox in the Total column to calculate the total value in this column.

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

• Click Save when finished.

Alert Value Detail

• Name: summary of the alert, alert flag.

• Description - short description or some details of the alert.

• Code: recommended: abbreviated name or alert symbol.

• Severity: defines how critical an alert is. Select from the dropdown: Critical Error, Error, or Warning.

• Adjustment Factor

Click SAVE when finished.