Compliance team meeting

How many compliance rule types are available within CMGR?

The different custom data which can be added within CMGR are ____.

TSCF, CCLS, NAV, IRAT, and Benchmark

TSCF & CCLS

TSCF, WATCHLIST, CCLS, and NAV

TSCF, CCLS, NAV, IRAT, Benchmark, and custom issuer

The available compliance uploads are ____.

Watchlist, TSCF, CCLS

TSCF, Account Value, and Benchmark

Benchmark, watchlist, TSCF, Custom Rating, and Account Value

watchlist, custom rating, TSCF, CCLS, and Benchmark

Client is enabled for two PROD pricing numbers and would like to replicate the rules from one database to another in bulk. The only option available would be to manually create rules or upload rules via a feed.

True

False

List the functions enabled for Regulatory Compliance Package.

Client is requesting access to edit watchlist but is a Compliance View Only user. Client will unfortunately not be able to edit watchlist with view only access and will need to contact an internal compliance officer.

True

False

A Regulatory Compliance package client would like to create and schedule a transactional report for a specific event?

AUDT

ERA

AUDR

If pre-trade is checked within a rule, this means that the rule will trigger for orders and if checked for post trade it will trigger for trades that have been sent to ticket.

True

False

What data requires a backend refresh?

TSCF, Benchmarks & Models, and CCLS

CCLS Nodes, IRAT, TSCF, Benchmarks & Models, and Security level data change

Watchlist, CCLS, and TSCF

Account Attribute, account value, and TSCF

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