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Enforced compliance: mark an item as compliant during linking

Mark products as compliant or noncompliant to determine whether it will be paid to the adviser or not.

Amanda de Bruyn avatar
Written by Amanda de Bruyn
Updated over a week ago

This is part of our premium features package.

What is it?

Indicate the product compliant status and prevent payout for noncompliant products.

Example of NonCompliant Product Agreement

If a product agreement is made noncompliant, then a noncompliant reason must be provided.

Examples of noncompliance: FICA, KYC, Accreditation, Sanction, etc.

Your noncompliant reasons are custom reasons that need to be captured (like Product Category or Providers) in the Settings page of an Office.

When a user marks a product agreement as noncompliant, the user can then select a reason from the Noncompliant reason list.

Note: Commspace allows multiple reasons per product agreement.


Setting compliance individually

During standard individual linking, mark the item as compliant or noncomplaint:
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Setting compliance using an unlinked report

When completing the unlinked report, insert the headers

Compliant = (Y/N)

Noncompliance Reasons = As captured on Commspace

Process as per usual.

Contact [email protected] if you would like to enable your compliance or have any questions. πŸŽ‰

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