Release Notes: Compliance

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August 2021

Historical Documents Addition to Inform

The new section gives advisors the ability to bring documents from another firm into Inform and assign out to the employee that completed them

How to get there: Orion Connect > Compliance > Inform > Historical Documents
Inform Questionnaires Reorder Option

The change gives advisors the ability to make changes to their questionnaires when they are creating them by dragging questions into a different order.

How to get there: Orion Connect > Compliance > Inform > Questionnaires
Inform Active Filters

The change gives advisors the ability to mark items under the Tasks, Library, and Affirmations as active or inactive to help keep their pages organized with items they are currently using.

How to get there: Orion Connect > Compliance > Inform > Tasks
Update to the Suitability Section at the Registration Level

The change gives advisors the ability to complete suitability with a client, mark it complete and time stamp the completion date.

How to get there: Orion Connect > Portfolio Audit > Registration > Suitability

July 2021

Customize Front Running Trade Rule

This update gives the advisor the ability to set the number of days before and after the trade for front running monitoring.

How to get there: Orion Connect > Compliance > Inform > Trade Rules
Custody Custom Import Update

Advisors can now assign First Party or Third Party Custody en masse, as it relates to question 9 (custody) of their ADV filing with the updated Custom Import, (Account Update – 13f/ADV)

How to get there: Orion Connect > Compliance > ADV Dashboard

May 2021

Customized Email Notifications within Inform

Compliance admins now have the ability to customize the email notifications sent to employees for a more personal look.  These will be for questionnaires as well as the tasks created in Inform.  The admin will have several templates to choose from for customization.

How to get there: Orion Connect > Compliance > Inform > Manage Options
Inform Trade Violations Update

Compliance admins now have the ability to leave comments on trade violations en masse as opposed to updating them individually.  This will help admins complete their reviews in a more timely manner. 

How to get there: Orion Connect > Compliance > Inform > Trade Violations

February 2021

Additional Filters

Advisors with multiple databases now have the ability to filter based on those databases throughout the Compliance apps, Supervise and Disclose.

How to get there: Orion Connect > Compliance > Supervise or Disclose
Updated Questionnaires in Inform

Advisors now have another option for answers on questionnaires within Inform with the new functionality of checklist answers.

How to get there: Orion Connect > Compliance > Inform > Questionnaires

January 2021

The Policies Section in Inform Now Named “Library”

We’ve changed the Policies section to now be called “Library”, while giving advisors the ability to maintain Policies, Manuals and Forms within this new location.  This is a convenient space for the advisors to store multiple documents while controlling what the employees can see from their Inform page. 

How to get there: Orion Connect > Compliance>Inform>Library
Inform’s Holdings and Transactions Page Updated

We’ve added the institution name to both the firm holdings and firm transactions for employee accounts in Inform, adding additional transparency to identifying information. View our On-Demand Inform webinar, Stay on the Right Side of Compliance with Inform.

How to get there: Orion Connect > Compliance>Inform>Holdings or Transactions

December 2020

Multiple Gifts Entry

In Inform, you can now easily enter multiple gifts at one time within the “Tasks” sections on our app. 

How to get there: Orion Connect > Compliance > Inform
Watch List

In Inform, the “Trade Rules” section was enhanced giving you the ability to maintain a “Watch List” of positions they are concerned about.

How to Get There: Orion Connect > Compliance > Inform
Notifications

The “Notifications” section in Inform will now generate notifications for approved tasks, offering confirmation for all users types.

How to Get There: Orion Connect > Compliance > Inform

October 2020

13f dashboard expansion

We’ve updated the dashboard to provide additional information to the advisor for completing their cover page, by expanding to two tiles.

How to Get There: Compliance >13f Dashboard

September 2020

User Notes in Inform

To help your firm better collaborate and keep a record of important developments, Compliance Admins will now have the ability to add user specific notes with the choice of letting the employee see those notes or not.

How to Get There: Compliance>Inform>UserInformation
Pre-Clearance Requests in Inform

Based on your feedback, Inform users will now have the ability to cancel a pre-clearance request that has not been acted on by the Compliance Admin, as well as being able to place a pre-clearance request on an Unconnected Account.

How to Get There: Compliance>Inform>Task>Pre-Clearance

August 2020

Add Custom Licenses to a Profile

To help create more accurate profiles of your team, you now have the ability to add custom licenses to a profile in the Inform Tool, in addition to the existing FINRA licenses already available.

Compliance > Inform > Manage Options

July 2020

Disclose for Advisors with Employee Households Enabled

With this update, any advisor with the “Employee Households” security feature enabled in Manage Users will be able to see the household information displayed on the Disclose Dashboards. There will also be a warning displayed if the information is incomplete or does not include certain accounts marked as Employee Households.

Orion Connect > Compliance > Disclose

June 2020

SLOA Custom Imports

With this release, you are now able to make SLOAs active en masse through a Custom Import, rather than having to do them one by one. The fields on the Import include: SLOA Active, Notes, Account Number, Custody 9a (First Party) and Custody 9b (Third Party).

Orion Connect > Portfolio Audit > Accounts > Actions > SLOA Import
Deleted Users

When a user is Deleted in Orion Connect, it has a negative impact on Inform, causing Trade Rules failures. With the update, the system will identify a user that has been deleted in Orion Connect and move them to Inactive in Inform, thus bypassing the Trade Rules and maintaining the user’s disclosed information for audit purposes.

Orion Connect > Inform

May 2020

Account Name on Trade Violations Grid

As the Inform compliance admin, you may want to see the account name and institution on the trade violations grid so that you know which account is being reviewed. Now, in Inform, when you look at the grid, the account name and institution name for the account in question appear.

Orion Connect > Compliance > Inform > Trade Violations
Require Statements Option

When disclosing or closing accounts in Inform, you were historically required to add a copy of your statement. Now, as a compliance admin, you can choose whether to require a statement when taking those actions. The default for connecting or closing accounts would remain Statement Required.

Orion Connect > Compliance > Inform > Manage Options
SLOA Date on ADV Dashboard

Now, on the ADV Dashboard, the as-of date will respect the SLOA’s date, so you can be sure the SLOA tile represents complete SLOA information.

Orion Connect > Compliance > ADV Dashboard

2445-OAS-09/23/2020