Using the Pre-Trade Compliance Tool

Use the Pre-Trade Compliance tool to apply trade-related rules and restrictions to an account or user, or to an entire account family, including all client/sub-accounts. Restrictions applied by the Master user at the family level are inherited by all current and all future client and sub-accounts.

Common Tasks

• Open the Pre-Trade Compliance tool
• Create a Restriction
• Apply a restriction to an account or user.
• Create a list of items that can be used in a rule as a single entity.
• Run a report of accounts, users, restrictions and lists.
• Set up a Trade Monitor to generate custom, trade-related reports.