All pending Intro Notes awaiting Compliance approval can be found in the Supervised Users section of the Compliance Officers account, under the Advisor column.
Intro Notes are Triggered For Approval When:
- A new Intro is created
- When changes are made to a previously approved Intro Note.
To Review a Pending Intro Note:
- Click on your username at the top right-hand corner, then from the dropdown, click Supervised Users
- On the directory of users, there is a column called, Advisor click on the Name of the advisor, this will bring up the information the advisor has added in there, Profiles, Personal Brands, Shared Brands, Intro Notes, Rep ID and Broker.
- Under the Intro Notes section, you will see in bold what notes needs approval with the message displaying : Needs Approval
- Click on the title of the Intro Note to review the message.
- Review the message or make any edits on the behalf of the advisor.
- Click on Save Changes & Approve if changes were made.
- Add a note if you need to reject the message and click reject, or if the message is good to go, click on approve.
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