SurgeONE.ai Logo Code of Ethics Online Help                             
Table of Contents

× This online help page is dedicated to the SurgeONE.ai Code of Ethics screen and its associated functionalities. Get to know about making entries and defining rules related to various activities that can come under the regulatory compliance umbrella - such as recording of securities trading activities, reporting of gifts provided, political contributions made, complaints reporting, etc.

The accessibility and functionalities of the different sections of the Code of Ethics module, as well as its reports are dependent on the role based access controls / permissions set for the logged-in user. For more details refer to the Roles online help.

1. Navigating to the Code of Ethics page



The Code of Ethics page serves as the entry point for all compliance activities. By centralizing rules, workflows, and reporting in one place, it reduces the complexity of managing ethical obligations.

Benefit: Users can quickly access relevant Code of Ethics modules, track submissions, and adhere to set standards.

Click on the Code of Ethics menu of the left navigation panel. The following screenshot displays the Code of Ethics screen. The page lists the Time Trends, Pending Review and various Modules that are applicable.

Code of Ethics page

Fig: 1 - Code of Ethics page

NOTE: If the user has navigated to this screen for the first time, the datasets of different sections can be blank.

2. Understanding the Various Elements of the Code of Ethics page



This page acts like a dashboard, giving you a clear picture of compliance activities. From trends to pending reviews, it’s designed to keep you informed and in control.

Benefit: Manage your compliance activities with the help of this intuitive dashboard view.

Refer to the following screenshot which is marked with numerical values that correspond to the below stated points.

Understanding the various elements of the Code of Ethics page

Fig: 2 - Understanding the various elements of the Code of Ethics page


  1. 1
    Time Trends
    Displays a bar chart showing the number of activities across different modules over a selected time period.
    Benefit: Helps users quickly analyze activity distribution and identify areas with higher engagement or issues.

  2. 2
    Pending Review
    Shows a summary of items pending review along with a visual pie chart distribution across modules.
    Benefit: Allows users to quickly identify pending workload and prioritize reviews effectively.

  3. 3
    Add Rule
    Provides an option to create and configure new rules within the Code of Ethics module.
    Benefit: Enables administrators to define and enforce compliance policies efficiently.

  4. 4
    Past Report
    Allows users to access previously generated reports related to activities and compliance.
    Benefit: Provides historical insights and helps track previous records for audits or analysis.

  5. 5
    Modules Section
    Displays different compliance modules such as Securities Trading, Gifts & Entertainment, and others in a card layout.
    Benefit: Provides structured access to various categories, making navigation simple and organized.

  6. 6
    View/Add Entries
    Allows users to view existing entries or add new entries within each module.
    Benefit: Enables quick access to manage records and ensures smooth data entry and tracking.

NOTE: The visibility of the datasets on the different sections of Code of Ethics and its reports are dependent on the role based access controls / permissions set for the user. For more details refer to the Roles online help.


2.1. Time Trends



Time Trends section shows how compliance activities evolve over time, helping you spot patterns and progress.

Benefit: Lets you see the bigger picture at a glance.

The Time Trends visualization displays the count of the entries of the six modules of Code of Ethics in the form of horizontal bars which are color coded. By default, the current year is set. You can use the year selection dropdown at the top right to select another year, only if there is at least one entry created for that year. Changing the year selection loads the applicable count of module-wise entries for that year.

Color coded horizontal bar chart getting displayed Fig: 3 - Color coded horizontal bar chart getting displayed

You can hover over any displayed bar chart to display a balloon tooltip denoting the module name and its count, beside the bar chart.

Balloon tooltip over horizontal bar chart getting displayed on mouse pointer hover Fig: 4 - Balloon tooltip over horizontal bar chart getting displayed on mouse pointer hover


2.2. Pending Review



Pending Review flags items requiring attention, ensuring nothing slips through and accountability is maintained.

Benefit: Keeps you from missing important review activities.

The Pending Review visualization displays the count of the pending entries of the six modules of Code of Ethics. The color coded pie chart denotes the percentage-wise distribution of the pending entries. If there is no pending entry, then that module-wise entry will be absent in the visible pie chart. Other applicable entries take up the pie chart area.

Color coded pie chart getting displayed Fig: 5 - Color coded pie chart getting displayed

You can hover over this pie chart to display a balloon tooltip above it, denoting the module name and its count.

Color coded balloon tooltip over pie chart getting displayed on mouse pointer hover Fig: 6 - Color coded balloon tooltip over pie chart getting displayed on mouse pointer hover


2.3. + Add Rule



The + Add Rule option empowers users to customize compliance frameworks, tailoring oversight to organizational needs.

Benefit: Gives you control to shape rules according to your firm's requirements.

Use the button to create a new rule applicable for any of the following four Code of Ethics modules - Political Contributions, Outside Business Activities, Gifts & Entertainment and Securities Trading.

+ Add Rule button Fig: 7 - + Add Rule button

More details have been mentioned in the respective Add New Rule sub-sections of this online help.


2.4. Past Code of Ethics Report



Provides a record of past compliance activities for auditing, reporting and benchmarking.

Benefit: Helps you learn from historical data and generate required reports.

Click on the Past Code of Ethics Report button to navigate to the report of the Code of Ethics associated modules.

Past Code of Ethics Report button Fig: 8 - Past Code of Ethics Report button

Here is the view of the report page. More details have been mentioned in the respective report related sub-section of this online help.

Past Code of Ethics Report Fig: 9 - Past Code of Ethics Report

Only the entries which are either having Status as Approved or Rejected will get displayed in the report. For more information, refer to this section.


2.5. Modules



Modular approach towards Code of Ethics related entries helps users to confidently and accurately perform associated activities.

Benefit: Seggregates various Code of Ethics modules so that it is simple to navigate and use.

The following six modules are present in this section:

  1. Securities Trading
  2. Gifts & Entertainment
  3. Political Contributions
  4. Outside Business Activities
  5. Complaints
  6. Outside Accounts
NOTE: All of the modules display Last reviewed, New Entries count and Latest Entry count.


2.6. View/Add Entries



The View/Add Entries option enables the user to view all records related to the particular Code of Ethics module.

Benefit: Lets you dive deeper into modular entries present in the system.

Click on the View/Add Entries option of any of the six modules to load its respective grid view.

Click on View/Add Entries option of Securities Trading module to load the detailed view

Fig: 10 - Click on View/Add Entries option of Securities Trading module to load the detailed view

3. Securities Trading

× A security is any financial instrument with a fungible value that investors can trade. Given the scope of the SurgeONE.ai application, securities include stocks only. In an effort to improve and update ethics compliance program, the Securities and Exchange Commission (SEC) periodically adopts changes to its rules. The rules, which regulate the securities holdings and transactions of all agency employees, their spouses, and their minor children, are updated by the SEC. Hence, you might need to setup defined rules and create trade related entries for your safekeeping or business compliance related purposes. Use this Securities Trading module to verify that all regulatory requirements and corporate policies are satisfied in employee trading and investing.



The Securities Trading section centralizes trade compliance, giving users confidence that all transactions align with ethical standards.

Benefit: Gives peace of mind that your trades are always compliant.

Securities Trading is the first module present in the Code of Ethics page. There are two tabs present at the top labeled as Pre-Trade Approvals and Post-Trade. The following sub-sections explain in detail the associated functionalities.

3.1. Pre-Trade Approvals



Pre‑Trade Approvals safeguard against conflicts before trades occur, reinforcing proactive compliance.

Benefit: Stops problems before they start.

This tab is selected by default. Existing pre-trade entries are listed out in the grid view. Click on the + Add Pre-Trades button to add a new entry. You can also search for existing entries using the search bar and filters. The following sub-sections illustrate these functionalities step-by-step.

3.1.1. Adding a new Pre-Trade > Adding Account Details



Adding Account Details ensures transparency by linking trades to verified accounts.

  1. Click on the + Add Pre-Trades button to add a new entry.

    2. + Add Pre-Trades button Fig: 11 - + Add Pre-Trades button

    The following screen loads. There are three tabs present as ADD ACCOUNT DETAILS, ADD PRE-TRADES and TRADES ATTESTATION.

    ADD ACCOUNT DETAILS tab Fig: 12 - ADD ACCOUNT DETAILS tab

  2. Enter a suitable account name in the Account Name field.

    3. Account Name field Fig: 13 - Account Name field

  3. Enter a suitable account number in the Account No. field.
  4. Select a suitable account type in the Type of Account dropdown. The provided options are Brokerage, IRA, 401(k), Managed, 529, 403(b) and Equity.

    5. Type of Account dropdown Fig: 14 - Type of Account dropdown

  5. Select a suitable account relation type in the Account Relation dropdown. The provided options are Personal, Spouse, Child, Family and Trustee.

    6. Account Relation type dropdown Fig: 15 - Account Relation type dropdown

  6. Click on the Add Account button to add the specified account details.

    7. Add Account button Fig: 16 - Add Account button

  7. The specified account details get added. A new account details section load below it. You can edit the added account details if required.

    8. Added new account details section Fig: 17 - Added new account details section

  8. Perform the same steps as described above to provide multiple account details at one go. Click on the I don't have any accounts to add checkbox once your accounts are added. The Add Account button gets disabled after this checkbox selection.

    9. Checkbox selection to proceed Fig: 18 - Checkbox selection to proceed

  9. Click on the Next button to proceed to the second stage.

    10. Next button Fig: 19 - Next button


NOTE:
  • If you click on the Add Account button and data is not entered in the four mandatory fields, then the system will prompt appropriate validation tooltip below the concerned field.

    • Field validation prompts Fig: 20 - Field validation prompts

  • Validation is employed on duplicate account numbers while adding the account details of pre-trade transactions.

    • Duplicate account number validation tooltip Fig: 21 - Duplicate account number validation tooltip

3.1.2. Adding a new Pre-Trade > Adding Pre-Trades



Adding Pre‑Trades captures intent, allowing oversight before execution.

Get redirected to the ADD PRE-TRADES tab to manually add pre trades. The following screen loads.

+ Add Pre-Trades tab Fig: 22 - + Add Pre-Trades tab

  1. Click on the Account No. dropdown to load its options. The account numbers that you added in the previous tab or you may have added earlier in sessions get listed here.

    2. Added account number visible on expanded dropdown Fig: 23 - Added account number visible on expanded dropdown

    Select a listed option of the Account No. dropdown.

  2. Select a suitable security type from the Security Type dropdown list.

    3. Security Type selection dropdown Fig: 24 - Security Type selection dropdown

  3. Select a suitable security name from the Security Name dropdown list.

    4. Security Name and Ticker field Fig: 25 - Security Name and Ticker field

    After you select a stock, its corresponding ticker value gets auto-populated on the Ticker field. You cannot edit it.

  4. Click on the Trade Date field to load the calendar. Select appropriate date to mark it as the date of trade. You cannot select a past date here since you are setting pre trade information.

    5. Trade Date field date selection calendar Fig: 26 - Trade Date field date selection calendar

  5. Select a suitable trade action type in the Trade Action dropdown. You can select either BUY or SELL.

    6. Type of trade dropdown Fig: 27 - Type of trade dropdown

  6. Enter the traded quantity of the selected stocks in the Trade Quantity field. It should be a positive numeric value.
  7. Enter the traded price per selected stock in the Trade Price field. It should be a positive numeric value.

    8. Trade Quantity and Trade Price field Fig: 28 - Trade Quantity and Trade Price field

  8. Click on the Add Trade button to add these details with all the details of the mandatory field denoted with asterisk(*) should be filled properly correct details.

    9. Add Trade button Fig: 29 - Add Trade button

    The specified account details get added in the grid view.

    Added trades visible in grid view Fig: 30 - Added trades visible in grid view

  9. Perform the same steps as described above to provide multiple pre-trade details at one go.
  10. Click on the Next button to proceed to the last stage. You should have at least one trade added to proceed.

    11. Next button Fig: 31 - Next button


NOTE: If you click on the Add Account button and data is not entered in the mandatory fields, then the system will prompt appropriate validation tooltip below the concerned field.

Field validation prompts Fig: 32 - Field validation prompts

3.1.3. Adding a new Pre-Trade > Attesting Pre-Trades



Trades Attestation secures accountability by requiring user acknowledgement.

Get redirected to the TRADES ATTESTATION tab to self-attest the added pre trades. The following screen loads.

TRADES ATTESTATION tab showing added pre-trade Fig: 33 - TRADES ATTESTATION tab showing added pre-trade

  1. Click on the checkbox labeled as I attest that this is a complete list of trades for the given time frame and this data is accurate to the best of my knowledge.

    2. Attestation checkbox Fig: 34 - Attestation checkbox

  2. After the checkbox selection, the Submit gets enabled. Click on it to submit the pre-trade entry.

    3. Submit button Fig: 35 - Submit button

  3. You get redirected to the Securities Trading page. The new pre-trade entry is visible in the grid view. The system displays a success notification at the top.

    4. New pre-trade entry added in the grid view along with success notification Fig: 36 - New pre-trade entry added in the grid view along with success notification

3.2. Post-Trade



Post‑Trade workflows validate completed trades, ensuring they meet compliance requirements.

Benefit: Keeps your records clean and trustworthy.

This tab is next to the Pre-Trade Approvals tab. Existing post-trade entries are listed out in the grid view. Click on the + Add Post-Trades button to add a new entry. You can also search for existing entries using the search bar and filters. The following sub-sections illustrate these functionalities step-by-step.

3.2.1. Adding a new Post-Trade > Adding Account Details



Adding Account Details ties trades to proper ownership records.

  1. Click on the Post-Trades tab and then on the + Add Post-Trades button to add a new entry.

    2. + Add Post-Trades button Fig: 37 - + Add Post-Trades button

    NOTE: Permitted user can also create post-trade entries by importing. It has been detailed here.

    The following screen loads. There are three tabs present as ADD ACCOUNT DETAILS, ADD PRE-TRADES and TRADES ATTESTATION.

    ADD ACCOUNT DETAILS tab Fig: 38 - ADD ACCOUNT DETAILS tab

  2. Enter a suitable account name in the Account Name field.

    3. Account Name field Fig: 39 - Account Name field

  3. Enter a suitable account number in the Account No. field.
  4. Select a suitable account type in the Type of Account dropdown. The provided options are Brokerage, IRA, 401(k), Managed, 529, 403(b) and Equity.

    5. Type of Account dropdown Fig: 40 - Type of Account dropdown

  5. Select a suitable account relation type in the Account Relation dropdown. The provided options are Personal, Spouse, Child, Family and Trustee.

    6. Type of Account dropdown Fig: 41 - Type of Account dropdown

  6. Click on the Add Account button to add the specified account details.

    7. Add Account button Fig: 42 - Add Account button

  7. The specified account details get added. A new account details section load below it. You can edit the added account details if required.

    8. New account details section Fig: 43 - New account details section

  8. Perform the same steps as described above to provide multiple account details at one go. Click on the I don't have any accounts to add checkbox once your accounts are added. The Add Account button gets disabled after this checkbox selection.

    9. Checkbox selected Fig: 44 - Checkbox selected

  9. Click on the Next button at the bottom right, to proceed to the second stage.

NOTE:
  • If you click on the Add Account button and data is not entered in the four mandatory fields, then the system will prompt appropriate validation tooltip below the concerned field.

    • Field validation prompts Fig: 45 - Field validation prompts

  • Validation is employed on duplicate account numbers while adding the account details of pre-trade transactions.

    • Duplicate account number validation tooltip Fig: 46 - Duplicate account number validation tooltip

3.2.2. Adding a new Post-Trade > Adding Post-Trades



Adding Post‑Trades documents executed transactions for audit readiness.

Get redirected to the ADD POST-TRADES tab to manually add post trades. The following screen loads.

Add Post-Trades tab Fig: 47 - Add Post-Trades tab

  1. Click on the Account No. dropdown to load its options. The account numbers that you added in the previous tab or you may have added earlier in sessions get listed here.

    2. Added account number visible on expanded dropdown Fig: 48 - Added account number visible on expanded dropdown

    Select a list option on the Account No. dropdown.

  2. Select a suitable security type from the Security Type dropdown list and then select a suitable security name from the Security Name dropdown list.

    3. After you select it, its corresponding ticker value gets auto-populated on the Ticker field. You cannot edit it.

    Stock ticker value gets auto-populated Fig: 49 - Stock ticker value gets auto-populated

  3. Click on the Trade Date field to load the calendar. Select appropriate date to mark it as the date of trade. You cannot select a future date here since you are setting post trade information.

    4. Trade Date field Fig: 50 - Trade Date field

  4. Select a suitable trade action type in the Trade Action dropdown. You can select either BUY or SELL.

    5. Type of trade dropdown Fig: 51 - Type of trade dropdown

  5. Enter the traded quantity of the selected stocks in the Trade Quantity field. It should be a positive numeric value.
  6. Enter the traded price per selected stock in the Trade Price field. It should be a positive numeric value.

    7. Trade Quantity and Trade Price field Fig: 52 - Trade Quantity and Trade Price field

  7. Click on the Add Trade button to add these details with all the details of the mandatory field denoted with asterisk(*) should be filled properly correct details.

    8. Add Trade button Fig: 53 - Add Trade button

    The specified account details get added in the grid view.

    Added trades visible in grid view Fig: 54 - Added trades visible in grid view

  8. Perform the same steps as described above to provide multiple pre-trade details at one go.
  9. Click on the Next button to proceed to the last stage.

    10. Next button Fig: 55 - Next button


NOTE:
  • If you click on the Add Account button and data is not entered in the mandatory fields, then the system will prompt appropriate validation tooltip below the concerned field.

    • Field validation prompts Fig: 56 - Field validation prompts

  • You can click on the Upload Trades button to upload a .csv file instead of having to manually enter each trade details.

    • Upload Trades button Fig: 57 - Upload Trades button

    An Upload Trades dialog box loads for you to upload the filled-up template file. Click on the Continue button to upload the file, after browsing and selecting it.

    Upload Trades dialog box Fig: 58 - Upload Trades dialog box

    To obtain the template file, you can download it using the Download Template button of the Post-Trades tab. The following screenshot displays the format of the downloaded template file. The file name is COE_Account_Trade_Import_Template.

    Downloading template Fig: 59 - Downloading template

3.2.3. Adding a new Post-Trade > Attesting Post-Trades



Trades Attestation confirms accuracy and integrity of reported trades.

Get redirected to the TRADES ATTESTATION tab to self-attest the added post trades. The following screen loads.

TRADES ATTESTATION tab showing added post-trade Fig: 60 - TRADES ATTESTATION tab showing added post-trade

  1. Click on the checkbox labeled as I attest that this is a complete list of trades for the given time frame and this data is accurate to the best of my knowledge.
  2. After the checkbox selection, the Submit gets enabled. Click on it to submit the post-trade entry.

    3. Submit button Fig: 61 - Submit button

  3. You get redirected to the Securities Trading page. The new post-trade entry is visible in the Post-Trades tab grid view. The system displays a success notification at the top.

    4. New post-trade entry added in the grid view along with success notification Fig: 62 - New post-trade entry added in the grid view along with success notification

3.3. Securities Trading > Uploaded Trades



Shows all submitted trade documents in one place for easy monitoring.

Benefit: Saves time by keeping everything organized.

Details about the tab are explained in this section.

3.4. Securities Trading > Add Rule



The Add Rule option in trading allows customization of oversight, aligning compliance with evolving regulations.

Benefit: Helps adapt to your organization’s unique needs.

Details about the tab are explained in this section.

3.5. Securities Trading > Other Associated Functionalities



Additional functionalities enhance flexibility, offering users features to perform various compliance activities such as approval or rejection of trade entries.

Benefit: Gives you flexibility to handle special operations.

You can perform additional activities such as searching for added entries, approving a new entry, rejecting a new entry and viewing more information. Each of these activities have been briefly explained below.


1. Search operation
  1. Enter the name of any existing Securities Trading entry in the search bar.

    2. Search bar Fig: 63 - Search bar

  2. To further drill down search operation results, select an option of the Status dropdown. The following options are provided - All, Pending, Approved and Rejected in the Status dropdown of Pre-Trade Approvals and Post-Trades tabs. While in the Uploaded Trades tab, the Status dropdown contains the following options: All, AI Prefill In Progress, Ready for Submission, Completed, AI Response Error and Pending Review.

    3. Status dropdown options to set filter in different tab views Fig: 64 - Status dropdown options to set filter in different tab views

  3. You can also select an option of the Action dropdown. The following options are provided - BUY and SELL. This filter dropdown is not present in the Uploaded Trades tab.

    4. Action dropdown options to set filter Fig: 65 - Action dropdown options to set filter

  4. You can also select the starting date from the Start date calendar selection.

    5. Start Date field to set filter Fig: 66 - Start Date field to set filter

  5. Similarly, the ending date can be set from the End date calendar selection.

    6. Start Date field to set filter Fig: 67 - End Date field to set filter

  6. After setting the appropriate filters, you can click on the Apply Filter button.
  7. Search results can be seen if matching entries are found.

    8. Search results

    Fig: 68 - Search results

    You can click on the reset icon to remove the set filters.

    A No matching records found label can be seen in the grid view, if no results are found from the search operation.

    No search results found

    Fig: 69 - No search results found

NOTE:

All the columns are sortable, except for ACTION.



2. Approve a new entry
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options. Approve and Reject buttons are only available to users with appropriate permissions.
  2. Click on the expanded Approve option.

    3. Approve context menu option Fig: 70 - Approve context menu option

    NOTE: The Status column must show the Pending label for an entry to be approved. A rejected entry cannot be approved.

  3. A dialog box titled as Approve loads. Enter any applicable note in the Notes field, if required.
  4. Upload a relevant attachment, if needed, using the Attachments - Click to upload file button.
  5. Click on the Approve button.

    6. Approve dialog box Fig: 71 - Approve dialog box

  6. You will get redirected to the listing page. The system will display a success notification at the top. The Status value changes to Approved.

    7. Approved success notification Fig: 72 - Approved success notification


NOTE: An email will get triggered to the user who created the trade entry in SurgeONE.ai, when the entry is approved.

Approved email triggered Fig: 73 - Approved email triggered



3. Reject a new entry
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options. Approve and Reject buttons are only available to users with appropriate permissions.
  2. Click on the expanded Reject option.

    3. Reject menu option Fig: 74 - Reject menu option


    NOTE: The Status column must show the Approved or Pending label for an entry to be rejected.

  3. Enter any applicable note in the Notes field, if required.
  4. Upload a relevant attachment, if needed, using the Attachments - Click to upload file button.
  5. Click on the Reject button.

    6. Reject button Fig: 75 - Reject button

  6. In the listing page, the system displays a success notification at the top and the Status value changes to Rejected.

    7. Rejected success notification Fig: 76 - Rejected success notification


NOTE: An email will get triggered to the user who created the trade entry in SurgeONE.ai, when the entry is rejected.

Rejected email triggered Fig: 77 - Rejected email triggered



4. View more information
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options.
  2. Click on the expanded More Info option.

    3. More Info context menu option Fig: 78 - More Info context menu option

    NOTE: The More Info context menu is available for any listed entry of the Pre-Trade Approvals and Post-Trades tabs. It is not present in the Uploaded Trades tab view.

  3. A dialog box titled as PRE-TRADE DETAIL or POST-TRADE DETAIL loads (depending on the current tab selection). You can view the entry details as well as the approval / rejection notes and attachment filenames here.

    4. Dialog box loads after clicking on More Info context menu option Fig: 79 - Dialog box loads after clicking on More Info context menu option

4. Gifts & Entertainment

× Gifts and entertainment policies are needed to be created to assist you in complying with all relevant regulations. Enterprises ought to follow protocols and guidelines that particularly tackle presents, tips, and amusement, along with the possible conflicts of interest that may arise during the operations. This module lets you set rules and make related entries for gifts & entertainment purposes. Rules can be incorporated to comply with regulations against bribery and corruption, and entries can be processed and managed swiftly.



The Gifts & Entertainment section ensures that discretionary benefits such as gifts, meals, or events are tracked and managed transparently. It helps organizations avoid reputational risks and regulatory issues by keeping clear records and applying rules consistently.

Benefit: Keeps gift‑giving and receiving fair, transparent, and compliant.

Gifts & Entertainment is the second module present in the Code of Ethics page. The following sub-sections explain in detail the associated functionalities.

Click on the View/Add Entries option of the Gifts & Entertainment module.

View/Add Entries option of the Gifts & Entertainment module Fig: 80 - View/Add Entries option of the Gifts & Entertainment module

The following image shows the screen that loads.

Gifts & Entertainment module Recent Listings

Fig: 81 - Gifts & Entertainment module Recent Listings

4.1. Gifts & Entertainment > Create New Entry



This feature allows users to log new gifts or entertainment activities directly into the system. Each entry captures essential details, ensuring accountability and visibility.

Benefit: Lets you record gifts quickly so nothing goes unnoticed.
  1. Click on the + Add New Entry button of the Gifts & Entertainment Recent Listings page.

    2. Add New Entry button Fig: 82 - Add New Entry button

    The following image shows the page that loads.

    Gifts & Entertainment > Add New Entry

    Fig: 83 - Gifts & Entertainment > Add New Entry

  2. Click on the Date Sent On field to load the calendar. Select appropriate date the gift was sent on. You can make past or future-dated selection here.

    3. Date Sent On field Fig: 84 - Date Sent On field

  3. Click on the Date Received On field to load the calendar. Select appropriate date the gift was received on. You can make past or future-dated selection here given that date received is greater than date sent on. This is an optional field.
  4. Enter applicable price of the gift in the Amount($) field. It should be a positive integer greater than 0.

    5. Amount($) field Fig: 85 - Amount($) field

  5. Enter the name of the gift receiver in the Recipient Name field.

    6. Recipient Name field Fig: 86 - Recipient Name field

  6. Click on the Recipient Type dropdown and select an appropriate option. The provided options are Client, Vendor and Employee respectively.

    7. Recipient Type dropdown Fig: 87 - Recipient Type dropdown

  7. Enter the name of the gift sender in the Received From field.

    8. Received From field Fig: 88 - Received From field

  8. Enter the account number of the client in the Client Account No. field. This field is enabled only when the Client option is selected in the Recipient Type dropdown.

    9. Client Account No. field Fig: 89 - Client Account No. field

  9. Select the type of the listing in the Type field. Two options are provided as Gift and Entertainment. You can hover your mouse pointer over the info icon to reveal the associated tooltip.

    10. Type dropdown Fig: 90 - Type dropdown

  10. Enter the description in the Type Description field. This is an optional field.

    11. Type Description field Fig: 91 - Type Description field

  11. Enter a note in the Notes field. This is an optional field.

    12. Notes field Fig: 92 - Notes field

  12. Click on the Add Entry button below it to store the entry as specified.

    13. Add Entry button to add details

    Fig: 93 - Add Entry button to add details

  13. The new entry gets listed in the grid view. The above fields become blank. You can add more entries if you want. Perform the same steps as described above to provide multiple Gift and Entertainment entries details at one go.

    14. Added new entry row

    Fig: 94 - Added new entry row

  14. Select the I attest that this is a complete list of entries and this data is accurate to the best of my knowledge checkbox at the bottom. The Submit button gets enabled.

    15. Selecting the declaration checkbox

    Fig: 95 - Selecting the declaration checkbox

  15. Click on the Submit button add this new entry. You will get redirected to the Gifts & Entertainment Recent Listings page. The new entry is visible in the grid view. The system also displays a success notification at the top.

    16. View of new entry added to recent listings and success notification

    Fig: 96 - View of new entry added to recent listings and success notification

NOTE:

    Validations employed
  • If you click on the Add Entry button and have not entered data in all of the mandatory fields, then the system will prompt appropriate validation tooltip below the concerned field(s).

    • Field validation prompts Fig: 97 - Field validation prompts

  • The date selection of the Date Received On field cannot be less than the date selection of the Date Sent On.

    • Date validation tooltip Fig: 98 - Date validation tooltip

  • If the amount entered on the Amount($) field exceeds the defined transaction limit based on applied active rule, then the system will display validation tooltip below the field. You need to reduce it to be within the limit or increase the set limit to include it to proceed.

    • Amount exceeds active rule validation tooltip Fig: 99 - Amount exceeds active rule validation tooltip

  • If the amount entered on the Amount($) field is less than one dollar, then the system will display validation tooltip below the field. You need to increase it above one dollar to proceed.

    • Amount low validation tooltip Fig: 100 - Amount low validation tooltip

  • The entered value of the Amount($) field should be either an integer or a float value to proceed. If you enter a text value, then the system will prompt an appropriate validation tooltip below the field.

    • Amount($) field validation Fig: 101 - Amount($) field validation


    Edit an entry
  • If you add a new entry but are yet to submit it, and you click on the vertical ellipsis icon of the ACTION column, then a context menu loads. Click on the Edit option.

    • Edit context menu option Fig: 102 - Edit context menu option

  • The below screenshot has four numerical values indicated in it. The following points correlate with these values.
    1. The fields become populated with the entry details and are editable. You can modify any value.
    2. Two buttons labeled as Update Entry and Cancel can be seen below the fields. Click on the former to save any modifications made. Click on the latter to abort making any changes and leave the entry unedited.
    3. The context menu options are inactive during entry editing.
    4. The I attest that this is a complete list of entries and this data is accurate to the best of my knowledge checkbox becomes greyed out.

    • Various UI aspects while editing an entry Fig: 103 - Various UI aspects while editing an entry


    Delete an entry
  • If you add a new entry but are yet to submit it, and you click on the vertical ellipsis icon of the ACTION column, then a context menu loads. Click on the Delete option.

    • Delete context menu option Fig: 104 - Delete context menu option

  • The entry gets removed.

    • Entry removed Fig: 105 - Entry removed

4.2. Gifts & Entertainment > Add Rule



Users can set boundaries and rules around gifts and entertainment, such as value limits or approval requirements. This ensures consistency across the organization.

Benefit: Add a rule to define limits for Gifts & Entertainment activities.
  1. Click on the + Add Rule button of the Gifts & Entertainment listing screen.

    2. Add Rule button Fig: 106 - Add Rule button

    The following image shows the Add Rule screen that loads. There are three sections labeled as USD Limit Per Transaction, USD Limit Per Time Period and Frequency of Transaction Limit.

    Adding rule for the Gifts & Entertainment module

    Fig: 107 - Adding rule for the Gifts & Entertainment module


    1. USD Limit Per Transaction
  2. Click on the Minimum Limit or Maximum Limit field under the For Gift header to enter the appropriate gift limit price. The amount entered here denotes the minimum or maximum permissible price of accepting a gift. If this price range is crossed while adding a gift entry, then system will block that addition and will prompt appropriate validation to the user.

    3. USD limit per transaction for a gift entry as Minimum and Maximum Limit Fig: 108 - USD limit per transaction for a gift entry as Minimum and Maximum Limit

  3. Click on the Minimum Limit or Maximum Limit field under the For Entertainment header to enter the appropriate gift limit price. The amount entered here denotes the minimum or maximum permissible price of accepting a gift. If this price range is crossed while adding an entertainment entry, then system will block that addition and will prompt appropriate validation to the user.

    4. USD limit per transaction for a entertainment entry Fig: 109 - USD limit per transaction for an entertainment entry


    2. USD Limit Per Time Period
  4. Click on the Time Period dropdown under the For Gift label to select the applicable time period for which the rule is being added. There are three selectable options as Monthly, Quarterly and Annually.

    5. Time Period dropdown under the For Gift label Fig: 110 - Time Period dropdown under the For Gift label

  5. Under the For Gift label, enter the gift limit price in the USD Limit field. The amount entered here denotes the maximum permissible total price of accepting a gift for the selected time period. If this total price is exceeded for the time period while adding a gift entry, then system will block that addition and will prompt appropriate validation to the user.

    6. USD Limit field under the For Gift label Fig: 111 - USD Limit field under the For Gift label

  6. Click on the Time Period dropdown under the For Entertainment label to select the applicable time period for which the rule is being added. There are three selectable options as Monthly, Quarterly and Annually.

    7. Time Period dropdown under the For Entertainment label

    Fig: 112 - Time Period dropdown under the For Entertainment label

  7. Under the For Entertainment label, enter the gift limit price in the USD Limit field. The amount entered here denotes the maximum permissible total price of accepting any entertainment for the selected time period. If this total price is exceeded for the time period while adding an entertainment entry, then system will block that addition and will prompt appropriate validation to the user.

    8. USD Limit field under the For Entertainment label Fig: 113 - USD Limit field under the For Entertainment label


    3. Frequency of Transaction Limit
  8. Click on the Frequency dropdown under the For Gift label to select the applicable frequency for which the rule is being added. There are three selectable options as Monthly, Quarterly and Annually.

    9. Frequency dropdown under the For Gift label Fig: 114 - Frequency dropdown under the For Gift label

  9. Under the For Gift label, enter the gift limit price in the No. of Transactions field. The amount entered here denotes the maximum permissible transaction count of accepting a gift for the selected time period. If this total count of transactions is exceeded for the time period while adding a gift entry, then system will block that addition and will prompt appropriate validation to the user.

    10. No. of Transactions field under the For Gift label Fig: 115 - No. of Transactions field under the For Gift label

  10. Click on the Frequency dropdown under the For Entertainment label to select the applicable frequency for which the rule is being added. There are three selectable options as Monthly, Quarterly and Annually.

    11. Frequency dropdown under the For Entertainment label Fig: 116 - Frequency dropdown under the For Entertainment label

  11. Under the For Entertainment label, enter the entertainment limit price in the No. of Transactions field. The amount entered here denotes the maximum permissible transaction count of accepting any entertainment for the selected time period. If this total count of transactions is exceeded for the time period while adding an entertainment entry, then system will block that addition and will prompt appropriate validation to the user.

    12. No. of Transactions field under the For Entertainment label

    Fig: 117 - No. of Transactions field under the For Entertainment label

  12. Click on the Submit button below it. The new rule(s) gets added.
NOTE:
  • You can add a rule in one field or in multiple fields of the Add Rule screen.
  • You add click on the + Add Rule button to view the submitted rules.

    • Added Gifts & Entertainment rules visible Fig: 118 - Added Gifts & Entertainment rules visible

4.3. Gifts & Entertainment > Other Associated Functionalities



Additional tools support nuanced scenarios, such as exceptions or special approvals, making the system adaptable to real‑world situations.

Benefit: Gives you flexibility to handle unique activities smoothly.

You can perform additional activities such as searching for added entries, approving a new entry, rejecting a new entry and viewing more information. Each of these activities have been briefly explained below.


1. Search operation
  1. Enter the name of any existing Gifts & Entertainment entry in the search bar.

    2. Search bar Fig: 119 - Search bar

  2. To further drill down search operation results, select an option of the Review Status dropdown. The following options are provided - All, Pending, Approved and Rejected.

    3. Review Status dropdown options to set filter Fig: 120 - Review Status dropdown options to set filter

  3. Search results can be seen if matching entries are found.

    4. Search results Fig: 121 - Search results

    A No matching records found label can be seen in the grid view, if no results are found from the search operation.

    No search results found Fig: 122 - No search results found

NOTE:

All the columns are sortable, except for ACTION.



2. Approve a new entry
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options. Approve and Reject buttons are only available to people with appropriate permissions.
  2. Click on the expanded Approve option.

    3. Approve context menu option Fig: 123 - Approve context menu option

    NOTE: The Status column must show the Pending label for an entry to be approved. A rejected entry cannot be approved.

  3. A dialog box titled as Approve loads. Enter any applicable note in the Notes field, if required.

    4. Approve dialog box Fig: 124 - Approve dialog box

  4. Upload a relevant attachment, if needed, using the Attachments - Click to upload file button.
  5. Click on the Approve button.

    6. Approve button Fig: 125 - Approve button

  6. You will get redirected to the listing page. The system will display a success notification at the top. The Status value changes to Approved.

    7. Approved success notification Fig: 126 - Approved success notification


NOTE: An email will get triggered to the user who created the Gifts & Entertainment entry in SurgeONE.ai, when the entry is approved.

Approved email triggered Fig: 127 - Approved email triggered



3. Reject a new entry
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options. Approve and Reject buttons are only available to people with appropriate permissions.
  2. Click on the expanded Reject option.

    3. Reject context menu option Fig: 128 - Reject context menu option

    NOTE: The Status column must show the Approved or Pending label for an entry to be rejected.

  3. A dialog box titled as Reject loads. Enter any applicable note in the Notes field, if required.

    4. Reject dialog box Fig: 129 - Reject dialog box

  4. Upload a relevant attachment, if needed, using the Attachments - Click to upload file button.

    5. Attachment upload button Fig: 130 - Attachment upload button

  5. Click on the Reject button.

    6. Reject button Fig: 131 - Reject button

  6. You will get redirected to the listing page. The system will display a success notification at the top. The Status value changes to Rejected.

    7. Rejected success notification Fig: 132 - Rejected success notification


NOTE: An email will get triggered to the user who created the Gifts & Entertainment entry in SurgeONE.ai, when the entry is rejected.

Rejected email triggered Fig: 133 - Rejected email triggered



4. View more information
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options.
  2. Click on the expanded More Info option.

    3. More Info context menu option Fig: 134 - More Info context menu option

    NOTE: The More Info context menu is available for any listed entry.

  3. A dialog box titled as GIFTS & ENTERTAINMENT loads. You can view the entry details as well as the approval / rejection notes and attachment filenames here.

    4. Dialog box loads after clicking on More Info context menu option Fig: 135 - Dialog box loads after clicking on More Info context menu option

5. Political Contributions

× Election campaigns bring in large sums of money for political causes every few years, making it difficult for compliance teams to continue being productive. Contributions to multiple entities and groups make handling conflicts of interest and compliance challenges more difficult. Investment advisors and corporates may face compliance issues and reputational hazards as a result of political contributions. Keep track of the names of people or political organizations that have benefited from any donations given by staff members or your organization. This module lets you set rules and make related entries for any political contribution purposes, to establish guidelines for data checking upon submission, thereby mitigating the likelihood of conflicts slipping through the cracks.



This section promotes transparency in political donations, ensuring compliance with disclosure requirements and organizational policies.

Benefit: Keeps political contributions organized and avoids regulatory surprises.

It is the third module present in the Code of Ethics page. The following sub-sections explain in detail the associated functionalities.

Click on the View/Add Entries option of the Political Contributions module.

View/Add Entries option of the Political Contributions module Fig: 136 - View/Add Entries option of the Political Contributions module

The following image shows the screen that loads.

Political Contributions module Recent Listings

Fig: 137 - Political Contributions module Recent Listings

5.1. Political Contributions > Create New Entry



Enables users to log new political contributions, capturing details for audit trails and compliance checks.

Benefit: Lets you record any contributions made for full transparency.
  1. Click on the + Add New Entry button of the Political Contributions listing screen.

    2. Add New Entry button Fig: 138 - Add New Entry button

    The following image shows the screen that loads.

    Political Contributions > Add New Entry

    Fig: 139 - Political Contributions > Add New Entry

  2. Click on the Date Given On field to load the calendar. Select appropriate date the political contribution was made or is to be made. You can make past or future-dated selection here.

    3. Date Given On field Fig: 140 - Date Given On field

  3. Enter the name of the donor who is making this political contribution in the Donor Name field.

    4. Donor Name field Fig: 141 - Donor Name field

  4. Select the relationship of the donor with the employee who is making this entry. From the Employee Relation dropdown you can select either of the following options - Self, Spouse, Child, Family, Trustee and Others.

    5. Employee Relation dropdown Fig: 142 - Employee Relation dropdown

  5. Enter the name of the receiver who is going to get this political contribution in the Donated To field.

    6. Donated To field Fig: 143 - Donated To field

  6. Enter the current designation or the position held by the contribution receiver in the Political Position field.

    7. Political Position field Fig: 144 - Political Position field

  7. Enter the contributed amount in the Amount($) field. It should be a positive numeric value.

    8. Amount($) field Fig: 145 - Amount($) field

  8. Select the state name from the State dropdown. Currently, the states of USA are listed here.

    9. State dropdown Fig: 146 - State dropdown

  9. Select the city name from the City dropdown. The dropdown is enabled after state selection and is populated with the cities of the selected state.

    10. City dropdown Fig: 147 - City dropdown

  10. Enter a note in the Notes field. This is an optional field.

    11. Notes field Fig: 148 - Notes field

  11. Click on the Add Entry button below it to store the entry as specified.

    12. Add Entry button to add details

    Fig: 149 - Add Entry button to add details

  12. The new entry gets listed in the grid view. The above fields become blank. You can add more entries if you want.

    13. Added new entry row

    Fig: 150 - Added new entry row

  13. Select the I attest that this is a complete list of entries and this data is accurate to the best of my knowledge checkbox at the bottom. The Submit button gets enabled.

    14. Selecting the declaration checkbox

    Fig: 151 - Selecting the declaration checkbox

  14. Click on the Submit button add this new entry. You will get redirected to the Political Contributions Recent Listings page. The new entry is visible in the grid view. The system also displays a success notification at the top.

    15. View of new entry added to recent listings and success notification

    Fig: 152 - View of new entry added to recent listings and success notification

NOTE:

    Validations employed
  • If you click on the Add Entry button and have not entered data in all of the mandatory fields, then the system will prompt appropriate validation tooltip below the concerned field(s).

    • Field validation prompts Fig: 153 - Field validation prompts

  • If the amount entered on the Amount($) field exceeds the defined transaction limit based on applied active rule, then the system will display validation tooltip below the field. You need to reduce it to be within the limit or increase the set limit to include it to proceed.

    • Amount exceeds active rule validation tooltip Fig: 154 - Amount exceeds active rule validation tooltip

  • If there is no defined transaction limit or no active rule is set, then the system will prompt a confirmation dialog box. You need to click on the Yes button to proceed.

    • Confirmation prompt to proceed Fig: 155 - Confirmation prompt to proceed

  • If the amount entered on the Amount($) field is less than one dollar, then the system will display validation tooltip below the field. You need to increase it above one dollar to proceed.

    • Amount low validation tooltip Fig: 156 - Amount low validation tooltip

  • If the amount entered on the Amount($) field is a text (instead of an integer or float), then the system will display validation tooltip below the field. You need to remove it and insert valid numeric value to proceed.

    • Amount field text validation tooltip Fig: 157 - Amount field text validation tooltip


    Edit an entry
  • If you add a new entry but are yet to submit it, and you click on the vertical ellipsis icon of the ACTION column, then a context menu loads. Click on the Edit option.

    • Edit context menu option Fig: 158 - Edit context menu option

  • The below screenshot has four numerical values indicated in it. The following points correlate with these values.
    1. The fields become populated with the entry details and are editable. You can modify any value.
    2. Two buttons labeled as Update Entry and Cancel can be seen below the fields. Click on the former to save any modifications made. Click on the latter to abort making any changes and leave the entry unedited.
    3. The context menu options are inactive during entry editing.
    4. The I attest that this is a complete list of entries and this data is accurate to the best of my knowledge checkbox becomes greyed out.

    • Various UI aspects while editing an entry Fig: 159 - Various UI aspects while editing an entry


    Delete an entry
  • If you add a new entry but are yet to submit it, and you click on the vertical ellipsis icon of the ACTION column, then a context menu loads. Click on the Delete option.

    • Delete context menu option Fig: 160 - Delete context menu option

  • The entry gets removed.

5.2. Political Contributions > Add Rule



Allows organizations to enforce limits around contributions, aligning with legal and ethical standards.

Benefit: Helps you stay within safe boundaries by using custom rules.
  1. Click on the + Add Rule button of the Political Contributions listing screen.

    2. Add Rule button Fig: 161 - Add Rule button

    The following image shows the Add Rule screen that loads. There are two sections labeled as USD Limit Per Transaction and USD Limit Per Time Period.

    Adding rule for the Political Contributions module

    Fig: 162 - Adding rule for the Political Contributions module


    1. USD Limit Per Transaction
  2. Enter the limit of political contribution in USD in the USD Limit Per Transaction field. The amount entered here denotes the maximum permissible price of accepting a contribution in the system. If this price is exceeded while adding a political contribution entry, then system will block that addition and will prompt appropriate validation to the user.

    3. USD limit per transaction for a political contribution entry Fig: 163 - USD limit per transaction for a political contribution entry


    2. USD Limit Per Time Period
  3. Click on the Time Period dropdown under the USD Limit Per Time Period label to select the applicable time period for which the rule is being added. There are three selectable options as Monthly, Quarterly and Annually.

    4. Time Period dropdown under the USD Limit Per Time Period label Fig: 164 - Time Period dropdown under the USD Limit Per Time Period label

  4. Enter the political contribution limit price in the USD Limit field. The amount entered here denotes the maximum permissible total price of accepting a political contribution for the selected time period. If this total price is exceeded for the time period while adding a political contribution entry, then system will block that addition and will prompt appropriate validation to the user.

    5. USD Limit field under the USD Limit Per Time Period label Fig: 165 - USD Limit field under the USD Limit Per Time Period label

  5. Click on the Submit button below it. The new rule(s) gets added.
NOTE:
  • You can add a rule in one field or in multiple fields of the Add Rule screen.
  • You add click on the + Add Rule button to view the submitted rules.

    • Added Political Contribution rules visible Fig: 166 - Added Political Contribution rules visible

5.3. Political Contributions > Other Associated Functionalities



Provides extra tools for managing entry submissions or special reporting needs, ensuring adaptability.

Benefit: Access and manage additional features that support approval, rejection, etc. for Political Contributions.

You can perform additional activities such as searching for added entries, approving a new entry, rejecting a new entry and viewing more information. Each of these activities have been briefly explained below.


1. Search operation
  1. Enter the name of any existing Political Contributions entry in the search bar.

    2. Search bar Fig: 167 - Search bar

  2. To further drill down search operation results, select an option of the Review Status dropdown. The following options are provided - All, Pending, Approved and Rejected.

    3. Review Status dropdown options to set filter Fig: 168 - Review Status dropdown options to set filter

  3. Search results can be seen if matching entries are found.

    4. Search results Fig: 169 - Search results

    A No matching records found label can be seen in the grid view, if no results are found from the search operation.

NOTE:

All the columns except for ACTION are sortable.



2. Approve a new entry
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options. Approve and Reject buttons are only available to people with appropriate permissions.
  2. Click on the expanded Approve option.

    3. Approve context menu option Fig: 170 - Approve context menu option

    NOTE: The Status column must show the Pending label for an entry to be approved. A rejected entry cannot be approved.

  3. A dialog box titled as Approve loads. Enter any applicable note in the Notes field, if required.

    4. Approve dialog box Fig: 171 - Approve dialog box

  4. Upload a relevant attachment, if needed, using the Attachments - Click to upload file button.
  5. Click on the Approve button.

    6. Approve button Fig: 172 - Approve button

  6. You will get redirected to the listing page. The system will display a success notification at the top. The Status value changes to Approved.

    7. Approved success notification Fig: 173 - Approved success notification


NOTE: An email will get triggered to the user who created the Political Contributions entry in SurgeONE.ai, when the entry is approved.

Approved email triggered Fig: 174 - Approved email triggered



3. Reject a new entry
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options. Approve and Reject buttons are only available to people with appropriate permissions.
  2. Click on the expanded Reject option.

    3. Reject context menu option Fig: 175 - Reject context menu option

    NOTE: The Status column must show the Approved or Pending label for an entry to be rejected.

  3. A dialog box titled as Reject loads. Enter any applicable note in the Notes field, if required.

    4. Reject dialog box Fig: 176 - Reject dialog box

  4. Upload a relevant attachment, if needed, using the Attachments - Click to upload file button.

    5. Attachment upload button Fig: 177 - Attachment upload button

  5. Click on the Reject button.

    6. Reject button Fig: 178 - Reject button

  6. You will get redirected to the listing page. The system will display a success notification at the top. The Status value changes to Rejected.

    7. Rejected success notification Fig: 179 - Rejected success notification


NOTE: An email will get triggered to the user who created the Political Contributions entry in SurgeONE.ai, when the entry is rejected.

Rejected email triggered Fig: 180 - Rejected email triggered



4. View more information
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options.
  2. Click on the expanded More Info option.

    3. More Info context menu option Fig: 181 - More Info context menu option

    NOTE: The More Info context menu is available for any listed entry.

  3. A dialog box titled as Political Contributions loads. You can view the entry details as well as the approval / rejection notes and attachment filenames here.

    4. Dialog box loads after clicking on More Info context menu option Fig: 182 - Dialog box loads after clicking on More Info context menu option

6. Outside Business Activities

× Conflicts of interest may arise between individuals and the registered investment advisers who hire them as a result of their Outside Business Activities (OBAs). Any business or activity that a registered representative engages in that is not related to their member firm falls under the purview of an OBA. Financial advisors are required to give written notice to their member companies prior to conducting any business outside of the firm. The power to accept or reject proposed OBAs is held by member firms. The protection of the company and its client interests depends heavily on this. This module lets you set rules and make related entries to keep track of outside business activities. Prevent employees external business activities from causing regulatory compliance violations. It is simple to keep track of the connected individuals, family members, and employees' related activities, as well as donations to charities.



This section manages external engagements to prevent conflicts of interest. It ensures employees disclose outside activities and organizations set clear boundaries.

Benefit: Protects both you and your organization from risks of not declaring OBAs.

It is the fourth module present in the Code of Ethics page. The following sub-sections explain in detail the associated functionalities.

Click on the View/Add Entries option of the Outside Business Activities module.

View/Add Entries option of the Outside Business Activities module Fig: 183 - View/Add Entries option of the Outside Business Activities module

The following image shows the screen that loads.

Outside Business Activities module Recent Listings

Fig: 184 - Outside Business Activities module Recent Listings

6.1. Outside Business Activities > Create New Entry



Create a new entry to disclose and document any external business activity, ensuring transparency, proper review, and compliance with organizational policies and regulatory requirements.

Benefit: Makes it simple to declare outside work or activities performed.
  1. Click on the + Add New Entry button of the Outside Business Activities listing screen.

    2. Add New Entry button Fig: 185 - Add New Entry button

    The following image shows the screen that loads.

    Outside Business Activities > Add New Entry

    Fig: 186 - Outside Business Activities > Add New Entry

  2. Click on the Start Date field to load the calendar. Select appropriate start date the outside business activity began or is to be started. You can make past or future-dated selection here.

    3. Start Date calendar selection Fig: 187 - Start Date calendar selection

  3. Click on the End Date field to load the calendar. Select appropriate end date the outside business activity was finished on. You can make past or future-dated selection here. However, the end date must be later than the start date.

    4. End Date calendar selection Fig: 188 - End Date calendar selection

  4. Enter the name of the participant of this outside business activity in the Participant field.

    5. Participant field Fig: 189 - Participant field

  5. Select the relationship of the participant with the employee who is making this entry. From the Employee Relation dropdown you can select either of the following options - Self, Spouse, Child, Family, Trustee and Others.

    6. Employee Relation dropdown Fig: 190 - Employee Relation dropdown

  6. Enter the name of the concerned business in the Outside Business Name(OBA) field.

    7. Outside Business Name(OBA) field Fig: 191 - Outside Business Name(OBA) field

  7. Enter a suitable description of this in the OBA Description field.

    8. OBA Description field Fig: 192 - OBA Description field

  8. Enter the current position or affiliation or the relationship with this outside business in the Position/Title/Relation with Outside Business field. It is an optional field.

    9. Position/Title/Relation with Outside Business field Fig: 193 - Position/Title/Relation with Outside Business field

  9. Enter the address of this outside business in the Address of Outside Business field. It is an optional field.

    10. Address of Outside Business field Fig: 194 - Address of Outside Business field

  10. Enter the type of this outside business or the service(s) offered by it in the Nature of Outside Business field. It is an optional field.

    11. Nature of Outside Business field Fig: 195 - Nature of Outside Business field

  11. Specify whether the organization is involved in investment-related activities or projects. It is an optional field. To select, enable the Is Business Investment Related? slider.

    12. Is Business Investment Related? slider Fig: 196 - Is Business Investment Related? slider

  12. Enter the duration of the total time (Hrs Per Month) spent in this outside business in the Time Devoted in Outside Business (Hrs Per Month) field.

    13. Time Devoted in Outside Business (Hrs Per Month) field Fig: 197 - Time Devoted in Outside Business (Hrs Per Month) field

  13. Enter the duration of the total time (Hrs Per Month) spent outside business during trading hours in the Time Devoted in Outside Business During Trading (Hrs Per Month) field. It is an optional field.

    14. Time Devoted in Outside Business (Hrs Per Month) field Fig: 198 - Time Devoted in Outside Business (Hrs Per Month) field

  14. Enter a note in the Notes field. This is an optional field.

    15. Notes field Fig: 199 - Notes field

  15. Click on the Add Entry button below it to store the entry as specified.

    16. Add Entry button to add details

    Fig: 200 - Add Entry button to add details

  16. The new entry gets listed in the grid view. The above fields become blank. You can add more entries if you want.

    17. Added new entry row

    Fig: 201 - Added new entry row

  17. Select the I attest that this is a complete list of entries and this data is accurate to the best of my knowledge checkbox at the bottom. The Submit button gets enabled.

    18. Selecting the declaration checkbox

    Fig: 202 - Selecting the declaration checkbox

  18. Click on the Submit button add this new entry. You will get redirected to the Outside Business Activities Recent Listings page. The new entry is visible in the grid view. The Status column displays the Pending status. The system also displays a success notification at the top.

    19. View of new entry added to recent listings and success notification

    Fig: 203 - View of new entry added to recent listings and success notification

NOTE:

    Validations employed
  • If you click on the Add Entry button and have not entered data in all of the mandatory fields, then the system will prompt appropriate validation tooltip below the concerned field(s).

    • Field validation prompts Fig: 204 - Field validation prompts

  • The date selection of the End Date field cannot be less than the date selection of the Start Date. It must be a later date or the same date.

    • Date validation tooltip Fig: 205 - Date validation tooltip

  • The durations entered in the Time Devoted in Outside Business (Hrs Per Month) field and the Time Devoted in Outside Business During Trading (Hrs Per Month) field must be integers and not float values or text.

    • Duration validation tooltip Fig: 206 - Duration validation tooltip


    Edit an entry
  • If you add a new entry but are yet to submit it, and you click on the vertical ellipsis icon of the ACTION column, then a context menu loads. Click on the Edit option.

    • Edit context menu option Fig: 207 - Edit context menu option

  • The below screenshot has four numerical values indicated in it. The following points correlate with these values.
    1. The fields become populated with the entry details and are editable. You can modify any value.
    2. Two buttons labeled as Update Entry and Cancel can be found below the fields. Click on the former to save any modifications made. Click on the latter to abort making any changes and leave the entry unedited.
    3. The context menu options are inactive during entry editing.
    4. The I attest that this is a complete list of entries and this data is accurate to the best of my knowledge checkbox becomes greyed out.

    • Various UI aspects while editing an entry Fig: 208 - Various UI aspects while editing an entry


    Delete an entry
  • If you add a new entry but are yet to submit it, and you click on the vertical ellipsis icon of the ACTION column, then a context menu loads. Click on the Delete option.

    • Delete context menu option Fig: 209 - Delete context menu option

  • The entry gets removed.

6.2. Outside Business Activities > Add Rule



Allows organizations to define rules around permissible activities, ensuring clarity.

Benefit: Keeps boundaries clear and easy to follow.
  1. Click on the + Add Rule button of the Outside Business Activities listing screen.

    2. Add Rule button Fig: 210 - Add Rule button

    The following image shows the Add Rule screen that loads. There is a section labeled as Prohibited Activities.

    Adding rule for the Outside Business Activities module

    Fig: 211 - Adding rule for the Outside Business Activities module

  2. Enter the applicable prohibited activity in the Prohibited Activities field with the placeholder label Enter Prohibited Activities.

    3. Field to state a prohibited activity Fig: 212 - Field to state a prohibited activity

  3. Click on the Add button beside it.

    4. Add button to define a prohibited activity Fig: 213 - Add button to define a prohibited activity

  4. The new rule(s) gets added to the right. You can view the added rule. If it is long, then the text is displayed as truncated. If required, click on the cross icon to remove it. On mouse hover, the rule label gets displayed in the form of a tooltip.

    5. Stated rule visible Fig: 214 - Stated rule visible

    You can click on the More Info button to view it. After viewing the added rule in the Prohibited Activities dialog box, click on the Close button to exit this view.

    More Info dialog box Fig: 215 - More Info dialog box

  5. Click on the Submit button below it.

    6. Rule Submit button Fig: 216 - Rule Submit button

    The new rule(s) gets added. You will get redirected to the Outside Business Activities Recent Listings page.

NOTE:
  • You add add multiple rules at one go. Here is the view of two rules added.

    • Two added rules visible Fig: 217 - Two added rules visible

  • You add click on the + Add Rule button to view the submitted rules.

    • Added Outside Business Activities rules visible Fig: 218 - Added Outside Business Activities rules visible

  • If you click on the Add button without entering any text in the field to state a new prohibited activity, the system will prompt validation tooltip below it.

    • Validation tooltip to enter text Fig: 219 - Validation tooltip to enter text

  • If you click on the Add button after entering any text in the field to state a new prohibited activity, and the entered text matches with any existing Outside Business Activity (OBA) rule, then the system will prompt validation tooltip below it.

    • Validation tooltip on duplicate rule Fig: 220 - Validation tooltip on duplicate rule

6.3. Outside Business Activities > Other Associated Functionalities



This section consists of options to view, manage or review OBA disclosures.

Benefit: Provides features to perform supported OBA activities.

You can perform additional activities such as searching for added entries, approving a new entry, rejecting a new entry and viewing more information. Each of these activities have been briefly explained below.


1. Search operation
  1. Enter the name of any existing Outside Business Activities entry in the search bar.

    2. Search bar Fig: 221 - Search bar

  2. To further drill down search operation results, select an option of the Review Status dropdown. The following options are provided - All, Pending, Approved and Rejected.

    3. Review Status dropdown options Fig: 222 - Review Status dropdown options

  3. Search results can be seen if matching entries are found.

    4. Search results Fig: 223 - Search results

    A No matching records found label can be seen in the grid view, if no results are found from the search operation.

    No search results found Fig: 224 - No search results found

NOTE:

All the columns are sortable, except for ACTION.



2. Approve a new entry
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options. Approve and Reject buttons are only available to people with appropriate permissions.
  2. Click on the expanded Approve option.

    3. Approve context menu option Fig: 225 - Approve context menu option

    NOTE: The Status column must show the Pending label for an entry to be approved. A rejected entry cannot be approved.

  3. A dialog box titled as Approve loads. Enter any applicable note in the Notes field, if required.

    4. Approve dialog box Fig: 226 - Approve dialog box

  4. Upload a relevant attachment, if needed, using the Attachments - Click to upload file button.
  5. Click on the Approve button.

    6. Approve button Fig: 227 - Approve button

  6. You will get redirected to the listing page. The system will display a success notification at the top. The Status value changes to Approved.

    7. Approved success notification Fig: 228 - Approved success notification


NOTE: An email will get triggered to the user who created the Outside Business Activities entry in SurgeONE.ai, when the entry is approved.

Approved email triggered Fig: 229 - Approved email triggered



3. Reject a new entry
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options. Approve and Reject buttons are only available to people with appropriate permissions.
  2. Click on the expanded Reject option.

    3. Reject context menu option Fig: 230 - Reject context menu option

    NOTE: The Status column must show the Approved or Pending label for an entry to be rejected.

  3. A dialog box titled as Reject loads. Enter any applicable note in the Notes field, if required.

    4. Reject dialog box Fig: 231 - Reject dialog box

  4. Upload a relevant attachment, if needed, using the Attachments - Click to upload file button.

    5. Attachment upload button Fig: 232 - Attachment upload button

  5. Click on the Reject button.

    6. Reject button Fig: 233 - Reject button

  6. You will get redirected to the listing page. The system will display a success notification at the top. The Status value changes to Rejected.

    7. Rejected success notification Fig: 234 - Rejected success notification


NOTE: An email will get triggered to the user who created the Outside Business Activities entry in SurgeONE.ai, when the entry is rejected.

Rejected email triggered Fig: 235 - Rejected email triggered



4. View more information
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options.
  2. Click on the expanded More Info option.

    3. More Info context menu option Fig: 236 - More Info context menu option

    NOTE: The More Info context menu is available for any listed entry.

  3. A dialog box titled as Outside Business Activities loads. You can view the entry details as well as the approval / rejection notes and attachment filenames here.

    4. Dialog box loads after clicking on More Info context menu option Fig: 237 - Dialog box loads after clicking on More Info context menu option

7. Complaints

× Users can report possible securities law violations like insider trading, cryptocurrency, manipulation of securities/prices, advance fee fraud, account administration and processing, transfer of account, theft/forgery, short selling, delivery of funds/proceeds, high-yield investment schemes, etc.



The Complaints section provides a structured way to log, track, and resolve issues, reinforcing trust and accountability.

Benefit: Ensures every concern gets proper attention.

It is the fifth module present in the Code of Ethics page. The following sub-sections explain in detail the associated functionalities.

Click on the View/Add Entries option of the Complaints module.

View/Add Entries option of the Complaints module Fig: 238 - View/Add Entries option of the Complaints module

The following image shows the screen that loads.

Complaints module Recent Listings

Fig: 239 - Complaints module Recent Listings

7.1. Complaints > Create New Entry



Allows users to record new complaints with all necessary details for follow‑up.

Benefit: Makes it easy to raise or record detected issues formally.
  1. Click on the + Add New Entry button of the Complaints listing screen.

    2. Add New Entry button Fig: 240 - Add New Entry button

    The following image shows the screen that loads.

    Complaints < Add New Entry

    Fig: 241 - Complaints > Add New Entry

  2. Click on the Date Received field to load the calendar. Select appropriate start date the complaint is received or is to be lodged on. You can make past or current-dated selection here.

    3. Date Received calendar selection Fig: 242 - Date Received calendar selection

  3. Enter the name of the client who reported the complaint in the Client Name field. It is an optional field.

    4. Client Name field Fig: 243 - Client Name field

  4. Enter the account number of the client who reported the complaint in the Account Number field.

    5. Account Number field Fig: 244 - Account Number field

  5. Select the type of the reported complaint in the Complaint Type dropdown. The provided options are Email, Phone Call, In Person and Self.

    6. Complaint Type dropdown Fig: 245 - Complaint Type dropdown

  6. Select the type of the violation in the Violation dropdown. The provided options are Excessive Trading, Forgery, Poor Customer Service, Unauthorized Transactions, Stolen Securities/Funds, Transfer of account problem, Unsuitable recommendations, Business Owner and Employment.

    7. Violation dropdown Fig: 246 - Violation dropdown

  7. Enter the disputed amount in dollars in the Dispute Amount ($) field. It should be a positive numeric value.

    8. Dispute Amount ($) field Fig: 247 - Dispute Amount ($) field

  8. Select the type of security related with the complaint in the Security Type dropdown. The provided options are Stock, Equity, Debt, Derivative, Hybrid and Other - Manual Entry. It is an optional field.

    9. Security Type dropdown Fig: 248 - Security Type dropdown

  9. Select the security name from the Security Name dropdown options. After you select it, the ticker value corresponding to the security gets populated in the Ticker field.

    10. Security Symbol dropdown Fig: 249 - Security Symbol dropdown

  10. Enter the name of the involved security in the Security Name field. It is an optional field.

    11. Security Name field Fig: 250 - Security Name field"/span>

  11. Specify whether the client has already reported to the SEC or FINRA. If the answer is yes, then enable the Has the client filed a complaint with the SEC or FINRA? slider. It is an optional field.

    12. Has the client filed a complaint with the SEC or FINRA? slider Fig: 251 - Has the client filed a complaint with the SEC or FINRA? slider

  12. Select the date of issue/dispute occurence in the Date of Event field.

    13. Date of Event field Fig: 252 - Date of Event field

  13. Click on the Add Entry button below it to store the entry as specified.

    14. Add Entry button to add details

    Fig: 253 - Add Entry button to add details

  14. The new entry gets listed in the grid view. The above fields become blank. You can add more entries if you want.

    15. Added new entry row

    Fig: 254 - Added new entry row

  15. Select the I attest that this is a complete list of entries and this data is accurate to the best of my knowledge checkbox at the bottom. The Submit button gets enabled.

    16. Selecting the declaration checkbox

    Fig: 255 - Selecting the declaration checkbox

  16. Click on the Submit button add this new entry. You will get redirected to the Complaints Recent Listings page. The new entry is visible in the grid view. The Status column displays the Pending status. The system also displays a success notification at the top.

    17. View of new entry added to recent listings and success notification

    Fig: 256 - View of new entry added to recent listings and success notification

NOTE:

    Validations employed
  • If you click on the Add Entry button and have not entered data in all of the mandatory fields, then the system will prompt appropriate validation tooltip below the concerned field(s).

    • Field validation prompts Fig: 257 - Field validation prompts

  • The date selection of the Date Received calendar cannot be a future-dated selection.

    • Date Received calendar constraint Fig: 258 - Date Received calendar constraint

  • The date selection of the Date of Event field should be less or equal to the Date Received field value.

    • Date of Event field validation Fig: 259 - Date of Event field validation

  • The entered value of the Dispute Amount ($) field should be either an integer or a float value to proceed. If you enter a text value, then the system will prompt an appropriate validation tooltip below the field.

    • Dispute Amount ($) field validation Fig: 260 - Dispute Amount ($) field validation


    Edit an entry
  • If you add a new entry but are yet to submit it, and you click on the vertical ellipsis icon of the ACTION column, then a context menu loads. Click on the Edit option.

    • Edit context menu option Fig: 261 - Edit context menu option

  • The below screenshot has four numerical values indicated in it. The following points correlate with these values.
    1. The fields become populated with the entry details and are editable. You can modify any value.
    2. Two buttons labeled as Update Entry and Cancel load below the fields. Click on the former to save any modifications made. Click on the latter to abort making any changes and leave the entry unedited.
    3. The context menu options are inactive during entry editing.
    4. The I attest that this is a complete list of entries and this data is accurate to the best of my knowledge checkbox becomes greyed out.

    • Various UI aspects while editing an entry Fig: 262 - Various UI aspects while editing an entry


    Delete an entry
  • If you add a new entry but are yet to submit it, and you click on the vertical ellipsis icon of the ACTION column, then a context menu loads. Click on the Delete option.

    • Delete context menu option Fig: 263 - Delete context menu option

  • The entry gets removed.

7.2. Complaints > Other Associated Functionalities



This section provides access to supporting tools and features that enhance complaint management, such as tracking progress, assigning responsibility, generating reports

Benefit: Improves efficiency and transparency by enabling tracking and management of complaints.

You can perform additional activities such as searching for added entries, approving a new entry, rejecting a new entry and viewing more information. Each of these activities have been briefly explained below.


1. Search operation
  1. Enter the name of any existing Complaints entry in the search bar.

    2. Search bar Fig: 264 - Search bar

  2. To further drill down search operation results, select an option of the Review Status dropdown. The following options are provided - All, Pending, Approved and Rejected.

    3. Review Status dropdown options Fig: 265 - Review Status dropdown options

  3. Search results can be seen if matching entries are found.

    4. Search results Fig: 266 - Search results

    A No matching records found label can be seen in the grid view, if no results are found from the search operation.

    No search results found Fig: 267 - No search results found

NOTE:

All the columns except for ACTION are sortable.



2. Approve a new entry
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options. Approve and Reject buttons are only available to people with appropriate permissions.
  2. Click on the expanded Approve option.

    3. Approve context menu option Fig: 268 - Approve context menu option

    NOTE: The Status column must show the Pending label for an entry to be approved. A rejected entry cannot be approved.

  3. A dialog box titled as Approve loads. Enter any applicable note in the Notes field, if required.

    4. Approve dialog box Fig: 269 - Approve dialog box

  4. Upload a relevant attachment, if needed, using the Attachments - Click to upload file button.
  5. Click on the Approve button.

    6. Approve button Fig: 270 - Approve button

  6. You will get redirected to the listing page. The system will display a success notification at the top. The Status value changes to Approved.

    7. Approved success notification Fig: 271 - Approved success notification


NOTE: An email will get triggered to the user who created the Complaints entry in SurgeONE.ai, when the entry is approved.

Approved email triggered Fig: 272 - Approved email triggered



3. Reject a new entry
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options. Approve and Reject buttons are only available to people with appropriate permissions.
  2. Click on the expanded Reject option.

    3. Reject context menu option Fig: 273 - Reject context menu option

    NOTE: The Status column must show the Approved or Pending label for an entry to be rejected.

  3. A dialog box titled as Reject loads. Enter any applicable note in the Notes field, if required.

    4. Reject dialog box Fig: 274 - Reject dialog box

  4. Upload a relevant attachment, if needed, using the Attachments - Click to upload file button.

    5. Attachment upload button Fig: 275 - Attachment upload button

  5. Click on the Reject button.

    6. Reject button Fig: 276 - Reject button

  6. You will get redirected to the listing page. The system will display a success notification at the top. The Status value changes to Rejected.

    7. Rejected success notification Fig: 277 - Rejected success notification


NOTE: An email will get triggered to the user who created the Complaints entry in SurgeONE.ai, when the entry is rejected.

Rejected email triggered Fig: 278 - Rejected email triggered



4. View more information
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options.
  2. Click on the expanded More Info option.

    3. More Info context menu option Fig: 279 - More Info context menu option

    NOTE: The More Info context menu is available for any listed entry.

  3. A dialog box titled as Complaints loads. You can view the entry details as well as the approval / rejection notes and attachment filenames here.

    4. Dialog box loads after clicking on More Info context menu option Fig: 280 - Dialog box loads after clicking on More Info context menu option

8. Outside Accounts

× Use this Outside Accounts module to disclose all outside accounts in which ownership is held.



This section manages external financial accounts to ensure transparency and compliance.

Benefit: Keeps you aware of outside accounts at all times.

It is the sixth module present in the Code of Ethics page. The following sub-sections explain in detail the associated functionalities.

Click on the View/Add Entries option of the Outside Accounts module.

View/Add Entries option of the Outside Accounts module Fig: 281 - View/Add Entries option of the Outside Accounts module

The following image shows the screen that loads.

Outside Accounts module Recent Listings

Fig: 282 - Outside Accounts module Recent Listings

8.1. Outside Accounts > Create New Entry



Lets users log or store entries related to new external accounts, ensuring visibility and oversight.

Benefit: Makes outside account disclosure quick and straightforward.
  1. Click on the + Add New Entry button of the Outside Accounts listing screen.

    2. Add New Entry button Fig: 283 - Add New Entry button

    The following image shows the screen that loads.

    Outside Accounts < Add New Entry

    Fig: 284 - Outside Accounts > Add New Entry

  2. Click on the Employment Date field to load the calendar. Select the appropriate start date. You can make past, current or future-dated selection here.

    3. Employment Date calendar selection Fig: 285 - Employment Date calendar selection

  3. Enter the name of the firm in the Firm Name field. It is an optional field.

    4. Firm Name field Fig: 286 - Firm Name field

  4. Select the relationship of the account holder with the employee who is making this entry. From the Employee Relation dropdown you can select either of the following options - Self, Spouse, Child, Family, Trustee and Others.

    5. Employee Relation dropdown Fig: 287 - Employee Relation dropdown

  5. Specify whether the account is open or not. If the answer is yes, then enable the Is the account open? slider. It is an optional field.

    6. Is the account open? slider Fig: 288 - Is the account open? slider

    NOTE: Depending the above slider selection, you can provide account details. The following image depicts that after slider selection, the two fields get enabled.

    Selected slider enables following two fields Fig: 289 - Selected slider enables following two fields



  6. Enter the account number of the outside accounts in the Account Number field.

    7. Account Number field Fig: 290 - Account Number field

    NOTE: By default, it is a disabled field, but it becomes an enabled, mandatory field when the Is the account open? slider is enabled.

    Enabled fields view Fig: 291 - Enabled fields view



  7. Select a suitable type of the outside account in the Account Type dropdown. The provided options are Brokerage, IRA, 401(k), Managed, 529, 403(b) and Equity.

    8. Type of Account dropdown Fig: 292 - Type of Account dropdown

    NOTE: By default, it is a disabled field, but it becomes an enabled, mandatory field when the Is the account open? slider is enabled.

    Selected slider enables following two fields Fig: 293 - Selected slider enables following two fields



  8. Click on the Add Entry button below it to store the entry as specified.

    9. Add Entry button to add details

    Fig: 294 - Add Entry button to add details

  9. The new entry gets listed in the grid view. The above fields become blank. You can add more entries if you want.

    10. Added new entry row

    Fig: 295 - Added new entry row

  10. Select the I attest that this is a complete list of entries and this data is accurate to the best of my knowledge checkbox at the bottom. The Submit button gets enabled.

    11. Selecting the declaration checkbox

    Fig: 296 - Selecting the declaration checkbox

  11. Click on the Submit button add this new entry. You will get redirected to the Outside Accounts Recent Listings page. The new entry is visible in the grid view. The Status column displays the Pending status. The system also displays a success notification at the top.

    12. View of new entry added to recent listings and success notification

    Fig: 297 - View of new entry added to recent listings and success notification

NOTE:

    Validations employed
  • If you click on the Add Entry button and have not entered data in all of the mandatory fields, then the system will prompt appropriate validation tooltip below the concerned field(s). There can be two scenarios applicable for this validation. If the Is the account open? slider is disabled, then the following validations are applicable for the mandatory fields.

    • Field validation prompts displayed when the Is the account open? slider is disabled Fig: 298 - Field validation prompts displayed when the Is the account open? slider is disabled

  • However, when the Is the account open? slider is enabled, then additional validation is applicable for two more fields.

    • Additional field validations for Account Number and Account Type fields when the Is the account open? slider is enabled Fig: 299 - Additional field validations for Account Number and Account Type fields when the Is the account open? slider is enabled


    Edit an entry
  • If you add a new entry but are yet to submit it, and you click on the vertical ellipsis icon of the ACTION column, then a context menu loads. Click on the Edit option.

    • Edit context menu option Fig: 300 - Edit context menu option

  • The below screenshot has four numerical values indicated in it. The following points correlate with these values.
    1. The fields become populated with the entry details and are editable. You can modify any provided value.
    2. Two buttons labeled as Update Entry and Cancel can be found below the fields. Click on the former to save any modifications made. Click on the latter to abort making any changes and leave the entry unedited.
    3. The context menu options are inactive during entry editing.
    4. The I attest that this is a complete list of entries and this data is accurate to the best of my knowledge checkbox becomes greyed out.

    • Various UI aspects while editing an entry Fig: 301 - Various UI aspects while editing an entry


    Delete an entry
  • If you add a new entry but are yet to submit it, and you click on the vertical ellipsis icon of the ACTION column, then a context menu loads. Click on the Delete option.

    • Delete context menu option Fig: 302 - Delete context menu option

  • The entry gets removed.

    • Added entry removed after clicking on the Delete context menu option Fig: 303 - Added entry removed after clicking on the Delete context menu option

8.2. Outside Accounts > Other Associated Functionalities



Provides monitoring options for reviewing account details.

Benefit: Helps you keep track of external accounts easily and manage efficiently.

Permitted user can perform additional activities such as searching for added entries, approving a new entry, rejecting a new entry and viewing more information. Each of these activities have been briefly explained below.


1. Search operation
  1. Enter the name of any existing Outside Accounts entry in the search bar.

    2. Search bar Fig: 304 - Search bar

  2. To further drill down search operation results, select an option of the Review Status dropdown. The following options are provided - All, Pending, Approved and Rejected.

    3. Review Status dropdown options Fig: 305 - Review Status dropdown options

  3. Search results can be seen if matching entries are found.

    4. Search results Fig: 306 - Search results

    A No matching records found label can be seen in the grid view, if no results are found from the search operation.

    No search results found Fig: 307 - No search results found

NOTE:

All the columns except for ACTION are sortable.



2. Approve a new entry
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options. Approve and Reject buttons are only available to people with appropriate permissions.
  2. Click on the expanded Approve option.

    3. Approve context menu option Fig: 308 - Approve context menu option

    NOTE: The Status column must show the Pending label for an entry to be approved. A rejected entry cannot be approved.

  3. A dialog box titled as Approve loads. Enter any applicable note in the Notes field, if required.

    4. Approve dialog box Fig: 309 - Approve dialog box

  4. Upload a relevant attachment, if needed, using the Attachments - Click to upload file button.

    5. Attachment upload button Fig: 310 - Attachment upload button

  5. Click on the Approve button.

    6. Approve button Fig: 311 - Approve button

  6. You will get redirected to the listing page. The system will display a success notification at the top. The Status value changes to Approved.

    7. Approved success notification Fig: 312 - Approved success notification


NOTE: An email will get triggered to the user who created the Outside Accounts entry in SurgeONE.ai, when the entry is approved.

Approved email triggered Fig: 313 - Approved email triggered



3. Reject a new entry
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options. Approve and Reject buttons are only available to people with appropriate permissions.
  2. Click on the expanded Reject option.

    3. Reject context menu option Fig: 314 - Reject context menu option

    NOTE: The Status column must show the Approved or Pending label for an entry to be rejected.

  3. A dialog box titled as Reject loads. Enter any applicable note in the Notes field, if required.

    4. Reject dialog box Fig: 315 - Reject dialog box

  4. Upload a relevant attachment, if needed, using the Attachments - Click to upload file button.

    5. Attachment upload button Fig: 316 - Attachment upload button

  5. Click on the Reject button.

    6. Reject button Fig: 317 - Reject button

  6. You will get redirected to the listing page. The system will display a success notification at the top. The Status value changes to Rejected.

    7. Rejected success notification Fig: 318 - Rejected success notification


NOTE: An email will get triggered to the user who created the Outside Accounts entry in SurgeONE.ai, when the entry is rejected.

Rejected email triggered Fig: 319 - Rejected email triggered



4. View more information
  1. Click on the vertical ellipsis icon of the Action column to reveal the context menu options.
  2. Click on the expanded More Info option.

    3. More Info context menu option Fig: 320 - More Info context menu option

    NOTE: The More Info context menu is available for any listed entry.

  3. A dialog box titled as Outside Accounts loads. You can view the entry details as well as the approval / rejection notes and attachment filenames here.

    4. Dialog box loads after clicking on More Info context menu option Fig: 321 - Dialog box loads after clicking on More Info context menu option

9. Understanding the Past Code Of Ethics Report

× The Past Code Of Ethics Report lets you search for existing transactions or entries made in respect to the various Code of Ethics modules. Set appropriate filters to generate report results as required. You can also export the generated report results.
You can also view the same report from the Reports page. Refer to the following screenshot which shows the View All option of Code of Ethics card. Click on it to load the same report.

View All option of Code of Ethics card Fig: 323 - Past Code of Ethics Report button



Offers historical insights into code of ethics activities, helping users benchmark progress and identify recurring challenges.

Benefit: Gives you drilldown from historical data to guide better decisions.

To see the report within Code of Ethics module perform the following steps:

  1. Click on the Past Code Of Ethics Report button of the Code of Ethics screen to navigate to the report of the Code of Ethics associated modules.

    2. Past Code of Ethics Report button Fig: 323 - Past Code of Ethics Report button

    The following image shows the report page that loads. The following columns are present in the grid view - Employee Name, Module Type, No. Of Entries, No. Of RedFlags and Actions.

    Past Code of Ethics Report view Fig: 324 - Past Code of Ethics Report view

  2. Enter suitable text in the search bar based on which you want execute the search operation.

    3. Search bar Fig: 325 - Search bar

  3. Select the module type from the Type dropdown. By default, all selection is set.

    4. Type dropdown options Fig: 326 - Type dropdown options

    Search result(s) populate the grid view based on the filters set.

    Search results generated Fig: 327 - Search results generated

    A No matching records found label can be seen in the grid view, if no results are found from the search operation.

NOTE:
  • All the columns except for ACTION are sortable.
  • Only the entries which are either having Status as Approved or Rejected will get displayed in the report.
  • Click on the Export button to load the export options (to download a local copy the generated report). Two options labeled as CSV and PDF load below the button. Click on the former to download an excel file or on the latter to download a .pdf copy. The following image shows the view of a downloaded pdf file.

    • Exported Report Fig: 328 - Exported Report

  • You can click on the reset icon to set the report filters to its default state.

    • Filters reset Fig: 329 - Filters reset

10. Downloading Template and Importing Post-Trade Entries



Provides template that simplifies data entry and ensures consistency across compliance records.

Benefit: Saves effort and reduces mistakes associated with manual record entry.

Permitted user can download the template from the Post-Trades tab and update the downloaded template file.

The updated template can be later uploaded into the application as the system automatically parses the trades specified in the file. Each of these activities have been briefly explained below.


1. Downloading Template
  1. To download the template file, click on the Download Template button of the Post-Trades tab under Securities Trading.

    2. Download Template button Fig: 330 - Download Template button

  2. The template file gets downloaded. Open it to begin editing it.

    3. Downloaded file Fig: 331 - Downloaded file


2. Updating the Downloaded Template
  1. There are two sheets in the template, labeled as Accounts and PostTrades. Both are blank by default. Refer to the following two screenshots which display the default views.

    2. Default Template view - Accounts sheet Fig: 332 - Default Template view - Accounts sheet

    Default Template view - PostTrades sheet Fig: 333 - Default Template view - PostTrades sheet

    The following columns are present in the Accounts tab:

    1. AccountNo
    2. AccountName
    3. AccountType
    4. AccountRelation

    The following columns are present in the PostTrades tab:

    1. AccountNo
    2. TradeDate
    3. SecurityType
    4. SecurityName
    5. Ticker
    6. Action
    7. Quantity
    8. Price
    9. Status
  2. Enter the valid account number under the AccountNo column of the Accounts sheet. You can add multiple row entries.
  3. Enter the valid account name under the AccountName column of the Accounts sheet. You can add multiple row entries.
  4. Select the applicable account type from the provided dropdown options under the AccountName column of the Accounts sheet. Proceed to make selections for each of the row entries provided.

    5. Provided options under the AccountName column Fig: 334 - Provided options under the AccountName column

  5. Select the applicable account type from the provided options under the AccountType column of the Accounts sheet. Proceed to make selections for each of the row entries provided.

    6. Provided options under the AccountType column Fig: 335 - Provided options under the AccountType column

    Here is a sample view of data populated in the Accounts sheet. Next, proceed to the PostTrades sheet.

    Sample view of data populated in the Accounts sheet Fig: 336 - Sample view of data populated in the Accounts sheet

  6. Select a value from the AccountNo options of the PostTrades sheet. The values which are populated under the AccountNo column of the Accounts sheet are displayed in this dropdown. Proceed to set for each of the row entries provided.

    7. Set sample options of the AccountName column Fig: 337 - Set sample options of the AccountName column

  7. Set the trade date using the calendar of the TradeDate column of the PostTrades sheet. Proceed to make date selections for each of the row entries provided.

    8. Set sample trade dates of the TradeDate column Fig: 338 - Set sample trade dates of the TradeDate column

  8. Select appropriate SecurityType column values. The following values are provided as options:

    9. Options of SecurityType column Fig: 339 - Options of SecurityType column

  9. Select appropriate SecurityName column values. The options load based on the selection of the previous column.

    10. Options of SecurityName column load based on the SecurityType selection Fig: 340 - Options of SecurityName column load based on the SecurityType selection

  10. After security name selection, the Ticker column values are auto-populated.

    11. Auto-populated ticker Fig: 341 - Auto-populated ticker

  11. Select either Buy or Sell option in the Action column.

    12. Buy or Sell Action Fig: 342 - Buy or Sell Action

  12. Enter the traded quantity in the Quantity cell.
  13. Enter the price at which the trades were executed in the Price cell.
  14. Set the Status column to Pending Request.

    15. Pending Request Status Fig: 343 - Pending Request Status

Here is a sample view of data populated in the PostTrades sheet. Save the excel file to import its dataset into SurgeONE.ai.

Sample view of data populated in the PostTrades sheet Fig: 344 - Sample view of data populated in the PostTrades sheet

3. Importing Populated Template Dataset into SurgeONE.ai
  1. Begin to create a new post-trade. Click on the + Post Trades button of the Post-Trades tab under Securities Trading. Proceed to provide relevant details in the ADD ACCOUNT DETAILS tab and proceed to the ADD PRE-TRADES tab. Click on the Upload Trades button.
  2. The following UPLOAD TRADES modal window loads. Click on the Click to upload file button.

    3. Uploading Trades Fig: 345 - Uploading Trades

  3. Browse the populated file and then click on the Continue button. The template file gets uploaded if validations are passed. Here is the view of the parsed dataset.

    4. Imported dataset visible in UI Fig: 346 - Imported dataset visible in UI

NOTE:
  • Account exceptions or errors can be prompted if the imported dataset is not appropriate.

    • Account exceptions prompted on the sample dataset which was uploaded Fig: 347 - Account exceptions prompted on the sample dataset which was uploaded

  • You need to attest the imported dataset in the TRADES ATTESTATION tab.

    • Imported Trades Attestation view Fig: 348 - Imported Trades Attestation view

11. Understanding Red-Flagged Entries



Red-flagged entries are records that trigger alerts due to unusual, incomplete, or potentially non-compliant information. These flags are generated based on predefined rules. The purpose is to draw attention to entries that require additional review, validation, or corrective action to ensure accuracy and compliance.

Benefit: Red-flagged entries act as early warning signals to identify potential compliance issues.

Red flagged entries can exist in the Code of Ethics modules where rules are applicable and are set.

  1. As mentioned previously in this user guide, rules can be set for Gifts, Political Contributions and Outside Business Activities, at the transactional and time period levels. In this example, let us illustrate that a Political Contributions rule is set, as displayed in the following screenshot.

    2. Setting Rule for Political Contribution Fig: 349 - Setting Rule for Political Contribution

  2. Now, consider that an entry is made for the Political Contributions module, where the entry amount is more than the transactional limit set, but less than the monthly limit. After this entry is added, the More Info modal window displays the red flag information. The approval or rejection of this red-flagged entry depends on the discretion of the reviewer.

    3. Red flag information visible when viewing more info of an entry Fig: 350 - Red flag information visible when viewing more info of an entry

  3. The same is reflected in the Compliance Overview Report under Reports. The following screenshot displays the number of red-flagged entries found.

    4. Reg-flagged items count displayed in Compliance Overview Report Fig: 351 - Reg-flagged items count displayed in Compliance Overview Report

  4. Click on the above-marked Code of Ethics row to navigate to its detailed view.

12. Understanding Uploaded Trades tab



Centralizes trade document management with options to upload, view, edit, approve, reject, or delete. It ensures that trade records remain organized and actionable.

Benefit: Keeps your trade documents tidy and easy to manage.

Click on the Securities Trading - View/Add Entries option of the Code of Ethics page, and then on the Uploaded Trades tab to load the tab view. There you can find an Upload Brokerage Statement button which can be used to directly upload a relevant file containing trades data, instead of having to manually enter each trade details.

Upload Brokerage Statement button of the Uploaded Trades tab Fig: 352 - Upload Brokerage Statement button of the Uploaded Trades tab

12.1. Uploading Brokerage Statement into SurgeONE.ai



Upload new statements for automated compliance checks, ensuring visibility and accuracy.

Benefit: Makes trade data uploads quick and reliable.
  1. Click on the Upload Brokerage Statement button.
  2. The Upload Brokerage Statement modal window loads.

    3. Upload Brokerage Statement modal window Fig: 353 - Upload Brokerage Statement modal window

  3. Click on the Click to upload file button of the Attachments section. A file browser loads as a modal window where you can find and select the relevant file which is to be uploaded. The file name gets displayed. Click on the Submit button. This button gets enabled only after a file is successfully uploaded.

    4. Submit button Fig: 354 - Submit button

  4. The grid view gets populated with the trade details present in the uploaded file. The initial status is set to AI Prefill In Progress. A success notification gets triggered as the brokerage statement is successfully uploaded.

    5. Brokerage statement successfully uploaded Fig: 355 - Brokerage statement successfully uploaded

12.2. Using the View menu option



The View menu option is your gateway to deeper insights about each uploaded trade. Instead of just seeing a file name or status, you can open the record and explore all the details tied to that trade. This includes account information, submission history, and compliance notes. By giving you a clear window into the specifics, the View menu supports better decision‑making and ensures that nothing important is overlooked.

Benefit: Lets you instantly dive into the details so you can make confident, informed choices.
  1. Click on the vertical ellipsis icon of the Action column of the Uploaded Trades tab view. Click on the expanded View menu option.

    2. View menu option Fig: 356 - View menu option

  2. A trade details modal window loads. It displays the various trade entries which were present in the uploaded document/file.

    3. View of the trade details Fig: 357 - View of the trade details

  3. To understand the various supported functionalities better, refer to the below image.

    4. Elements of the Trade Details modal window Fig: 358 - Elements of the Trade Details modal window

    1. 1
      Edit Account
      Allows users to modify and update account-related details as required.
      Benefit: Ensures account information remains accurate and up-to-date.

    2. 2
      View
      Provides a read-only view of detailed information for a selected record.
      Benefit: Enables users to review information without making changes.

    3. 3
      Approve
      Allows users to approve a request or record as part of the workflow process.
      Benefit: Speeds up decision-making and ensures smooth workflow progression.

    4. 4
      Reject
      Enables users to reject a request or record based on validation or business rules.
      Benefit: Maintains data quality by preventing invalid or incorrect entries.

    5. 5
      Edit
      Allows users to make changes or update existing records or form entries.
      Benefit: Provides flexibility to correct or enhance existing data.

    6. 6
      Pagination
      Enables navigation across multiple pages of records and controls the number of entries displayed per page.
      Benefit: Improves usability and performance when working with large datasets.

    The above-mentioned points are explained in the below sub-sections.

    NOTE:
    1. The View menu option is disabled when the trade entry status is set to AI Prefill In Progress.

      2. View menu option disabled Fig: 359 - View menu option disabled

    2. Hover your mouse pointer over the info icon (if present on the Rule Result column) to view the error tooltip. The icon is present when an error occurs (Failed).

      3. Error tooltip Fig: 360 - Error tooltip



    12.2.1. Using the Edit Account button



    The Edit Account button allows you to correct or update account details linked to a trade. Whether it’s fixing a typo, updating ownership information, or aligning records with brokerage data, this feature ensures accuracy. Precise account details are critical for compliance and reporting, so having the ability to edit them directly saves time and prevents errors from spreading.

    Benefit: Keeps your records precise and trustworthy with quick corrections.

    Click on the Edit Account button to load the Edit Account modal window.

    Edit Account modal window Fig: 361 - Edit Account modal window

    The following fields are present - Account Number, Account Name, Account Type (dropdown), Account Relation (dropdown), Statement Start Date (calendar date selection) and Statement End Date (calendar date selection). Fields can be populated based on the trade data uploaded earlier.

    All fields are mandatory. Ensure all fields are populated before clicking on the Submit button to record any changes done to the account.

    12.2.2. Using the View menu option



    By using the View menu, you can clearly see the trade’s full details — from who uploaded it to its current compliance status. This transparency helps you evaluate the trade without guesswork. It’s especially useful when reviewing multiple trades, as you can quickly compare and confirm information.

    Benefit: Grants you quick clarity and information when viewing trade related data.

    Click on the vertical ellipsis icon of the Action column in the grid view against any displayed trade row entry. Click on the expanded View menu option.

    The View Trade modal window loads. All fields are displayed in read-only state.

    View menu option loads the View Trade modal window Fig: 362 - View menu option loads the View Trade modal window

    The following fields are present:

    Sl. No. Field / Section Label / Action Description and Benefit
    1 Security Name
    Captures the name of the security involved in the transaction.

    Benefit: Ensures clear identification of the asset being traded.
    2 Ticker
    Specifies the unique ticker symbol associated with the security.

    Benefit: Enables quick and accurate reference to the security in the market.
    3 Security Type
    Defines the category of the security, such as equity, bond, or derivative.

    Benefit: Helps classify transactions for reporting and compliance purposes.
    4 Trade Action
    Indicates the action performed, such as buy or sell.

    Benefit: Clearly defines the intent of the transaction for tracking and auditing.
    5 Quantity
    Records the number of units or shares involved in the trade.

    Benefit: Provides accurate volume details for financial calculations and compliance.
    6 Price
    Specifies the price per unit at which the trade was executed.

    Benefit: Helps in calculating trade value and analyzing transaction performance.
    7 Trade Date
    Captures the date when the trade was executed.

    Benefit: Ensures proper timeline tracking for reporting, compliance, and auditing.

    Click on the cross (x) icon at the top-right to close the modal window.

    12.2.3. Using the Approve button / menu option



    The Approve feature is used to confirm that a trade meets compliance standards and is ready for submission. Once approved, the trade moves forward in the workflow, signaling that it has passed review. This feature ensures that compliant trades don’t get stuck in limbo and that the process continues smoothly.

    Benefit: Makes trade entry approvals simple and easy with a single click.

    There are two methods to approve any listed trade entry:

    1. Using the Approve button: First select the checkbox against a displayed row entry which you wish to approve. Next click on the Approve button.

      2. Using the Approve button Fig: 363 - Using the Approve button

      The status changes to Approved and a success notification gets triggered.

      Approve status update with success notification Fig: 364 - Approve status update with success notification

    2. Using the Approve menu option: Click on the vertical ellipsis icon of the Action column in the grid view against any displayed trade row entry. Click on the expanded Approve menu option.

      3. Using the Approve menu option Fig: 365 - Using the Approve menu option

      The status changes to Approved and a success notification gets triggered.

      Approve status update with success notification Fig: 366 - Approve status update with success notification

    12.2.4. Using the Reject button / menu option



    The Reject feature allows you to flag trades that do not meet compliance requirements. Instead of letting problematic entries slip through, you can stop them at the review stage.

    Benefit: This protects compliance integrity and ensures progression of trades which are valid to you.

    There are two methods to reject any listed trade entry:

    1. Using the Reject button: First select the checkbox against a displayed row entry which you wish to reject. Next click on the Reject button.

      2. Using the Reject button Fig: 367 - Using the Reject button

      The status changes to Rejected and a success notification gets triggered.

      Reject status update with success notification Fig: 368 - Reject status update with success notification

    2. Using the Reject menu option: Click on the vertical ellipsis icon of the Action column in the grid view against any displayed trade row entry. Click on the expanded Reject menu option.

      3. Using the Reject menu option Fig: 369 - Using the Reject menu option

      The status changes to Rejected and a success notification gets triggered.

      Reject status update with success notification Fig: 370 - Reject status update with success notification

    12.2.5. Using the Edit menu option



    The Edit menu option lets you update trade information directly. Whether it’s adjusting details, fixing errors, or adding missing data, this feature ensures that records remain accurate and complete. It reduces the need for re‑uploads and keeps workflows efficient.

    Benefit: Lets you fix mistakes easily without starting over.
    1. Click on the vertical ellipsis icon of the Action column in the grid view against any displayed trade row entry. Click on the expanded Edit menu option.

      2. Edit menu option Fig: 371 - Edit menu option

      The Edit Trade modal window loads.

      Edit Trade modal window Fig: 372 - Edit Trade modal window

    2. Make necessary changes to the field values. All fields are mandatory. Click on the Submit button after the changes are done.

      3. Submit button to proceed Fig: 373 - Submit button to proceed

    3. A confirmation modal window loads. Click on the Submit button within it to provide your confirmation.

      4. Providing trade details update confirmation Fig: 374 - Providing trade details update confirmation

    4. The modal window closes. The updated values get reflected in the trade details grid view. A success notification also gets triggered.

      5. Updated trade data and success notification Fig: 375 - Updated trade data and success notification

    12.2.6. Using the Download Attachment menu option



    This menu option allows you to download trade documents for offline access. Having files locally can be useful for audits, reviews, or sharing with stakeholders outside the system. It ensures that important documents are always within reach, even without internet access.

    Benefit: Enables quick access to supporting documents for offline record management.
    1. The Download Attachment menu option can only be found in the Uploaded Trades tab view of Securities Trading module. Hence, first navigate to this tab.
    2. Next click on the vertical ellipsis icon of the Action column and then on the expanded Download Attachment menu option.

      3. Download Attachment menu option Fig: 376 - Download Attachment menu option

    3. A local copy of the previously uploaded file containing trading data gets download. Here is the partial view of one such sample downloaded file content.

      4. Downloaded file content partial view Fig: 377 - Downloaded file content partial view

    12.2.7. Using the pagination options



    Pagination helps you navigate large sets of trade entries by breaking them into manageable pages. Instead of scrolling endlessly, you can move through records in an organized way. This makes it easier to find specific trades and reduces the risk of missing entries.

    Benefit: Users can efficiently navigate to the exact set of entries they need without unnecessary scrolling.

    Pagination options are provided at the bottom-left, to navigate through multiple pages of trade detail entries, which populate the grid view as per the selected count of items per page. Selectable options are 10, 25, 50 and 100, where the former is set by default.

    Left (<) and right (>) arrow icons are also provided to navigate to the next and previous pages respectively, along with individual page numbers to navigate to a particular view.

    Pagination options Fig: 378 - Pagination options

    12.3. Using the Delete menu option of Uploaded Trades tab



    The Delete menu option in the Uploaded Trades tab allows users to remove previously uploaded trade records from the system. This functionality helps maintain accurate and up-to-date data by enabling users to delete incorrect, duplicate, or no-longer-required entries.

    Benefit: Ensures data accuracy by allowing users to safely remove unwanted or incorrect trade entries.

    The Delete menu option of Uploaded Trades tab is present ONLY for entries which contain AI response or processing error.

    Perform the following steps to remove a row entry from the grid view of Uploaded Trades tab:

    1. Navigate to the Code Of Ethics > Securities Trading module of the application.
    2. Select the Uploaded Trades tab to view all uploaded trade documents.
    3. Locate the trade document you want to remove by checking its File Name and Status.
    4. To delete a document, click the Delete menu option under the Action column for that entry.

      5. Delete menu option Fig: 379 - Delete menu option

    5. Wait for the notification prompt to appear with the message “Trade document deleted successfully.” The total number of entries will decrement to indicate that the document has been removed from the grid view and the system.

      6. Uploaded document deletion success notification Fig: 380 - Uploaded document deletion success notification

    13. Using the Add Rule button of Securities Trading



    The Add Rule button allows you to create custom values or limits to compliance rules specific to securities trading. This flexibility ensures that oversight can adapt to organizational policies, regulatory changes, or unique scenarios. It empowers users to take control of compliance.

    Benefit: Gives you the power to set specific rules that fit your security trading activities.

    Perform the following steps to set your custom rule for Securities Trading module:

    1. Navigate to the Securities Trading module of Code of Ethics. To do so, click on the View/Add Entries option of the Securities Trading module card within the Code of Ethics page.
    2. Locate and click the Add Rule button. Ensure that you are in the Uploaded Trades tab view as this button is present ONLY in this tab.

      3. Add Rule button of Uploaded Trades tab Fig: 381 - Add Rule button of Uploaded Trades tab

    3. Enter the specific compliance values or limits you want to apply (e.g., trade thresholds, account restrictions). The following rule related sliders and fields are present:
      • Pending Status Limit (Days) slider with input field - Sets the maximum number of days a trade can remain pending (slider enabled, default field value set as 8).
      • Same Account Ticker Limit (Days) slider with input field - Restricts how frequently the same ticker can be traded in an account (slider enabled, default field value set as 5).
      • Employee Account Limit (Times) slider with input field - Limits the number of trades an employee can make in an account (slider enabled, default field value set as 2).
      • Employee Ticker Limit (Days) slider with input field - Restricts how often an employee can trade the same ticker (slider enabled, default field value set as 10).
      • Trade Price Deviation (%) from Average Price slider with input field - Defines the allowed variance from the average trade price (slider enabled, default field value set as 30).
      • Employee Account Limit (Days) slider with input field - Limits the duration within which trades can occur for an employee account (slider enabled, default field value set as 30).
      • Duplicate Trade Detection slider - Enables detection of repeated or identical trades (slider enabled by default).
      • Account Relation Check slider - Validates relationships between accounts for compliance (slider enabled by default).
      • Mandatory Field Missing slider - Flags trades with missing required information (slider enabled by default).
      • Trade Quantity Greater Than Average Quantity slider - Detects trades exceeding normal quantity thresholds (slider enabled by default).

      Securities Trading rule sliders and fields Fig: 382 - Securities Trading rule sliders and fields

      You can disable any slider. You can also hover your mouse pointer over any displayed info icon next to the field label to view the related tooltip.

    4. Save the changes done by clicking on the Submit button.

      5. Saving changes using Submit button Fig: 383 - Saving changes using Submit button

    14. Using the Add Rule button of Code of Ethics



    This feature extends customization across the broader Code of Ethics framework. By adding rules here, you can shape compliance standards beyond trading, covering gifts, contributions, outside activities, and more. It ensures that your ethics program evolves alongside organizational priorities.

    Benefit: Keeps your compliance framework flexible and future‑ready.

    Perform the following steps to set your custom rule for Code of Ethics supported modules:

    1. Go to the Code of Ethics page and click on the Add Rule button to begin creating a new compliance rule.

      2. Add Rule button on Code of Ethics page Fig: 384 - Add Rule button on Code of Ethics page

    2. Scroll down the page fields or use the top tab headers to navigate directly to a page section. Input the criteria or limits that should apply to the selected fields of scope of the rule (e.g., gifts, contributions, outside activities), or use the sliders wherever applicable.
    3. Save the rule by clicking on the Submit button to integrate it into the broader Code of Ethics framework.

    Add Rule page view Fig: 385 - Add Rule page view

    NOTE:

    The following sections and fields are present:

    A. Political Contributions

    1. USD Limit Per Transaction input field - Defines the maximum allowed amount for a single political contribution.
    2. USD Limit Per Time Period section
      • Time Period dropdown field - Specifies the duration (Monthly, Quarterly or Annually) over which contributions are tracked.
      • USD Limit input field - Sets the maximum total contribution allowed within the defined time period.

    B. Outside Business Activities

    1. Prohibited Activities input field - Captures activities that employees are not allowed to engage in.
      • + Add button to store custom entries - Allows users to store and include custom prohibited activities, as entered in the above field.

    C. Gifts & Entertainment

    1. USD Limit Per Transaction section
      1. For Gift header
        • Minimum Limit input field - Defines the minimum acceptable value for a gift transaction.
        • Maximum Limit input field - Defines the maximum allowable value for a gift transaction.
      2. For Entertainment header
        • Minimum Limit input field - Defines the minimum acceptable value for an entertainment expense.
        • Maximum Limit input field - Defines the maximum allowable value for an entertainment expense.
    2. USD Limit Per Time Period section
      1. For Gift header
        • Time Period dropdown field - Specifies the duration (Monthly, Quarterly or Annually) over which gifts are tracked.
        • USD Limit input field - Sets the maximum cumulative gift value within the period.
      2. For Entertainment header
        • Time Period dropdown field - Specifies the duration (Monthly, Quarterly or Annually) over which entertainment expenses are tracked.
        • USD Limit input field - Sets the maximum cumulative entertainment value within the period.
    3. Frequency of Transaction Limit section
      1. For Gift header
        • Frequency input field - Defines how often gift transactions are allowed.
        • No. of Transactions input field - Limits the number of gift transactions in a period.
      2. For Entertainment header
        • Frequency input field - Defines how often entertainment transactions are allowed.
        • No. of Transactions input field - Limits the number of entertainment transactions in a period.

    D. Securities Trading

    1. Pending Status Limit (Days) slider with input field - Sets the maximum number of days a trade can remain pending (slider enabled, default field value set as 8).
    2. Same Account Ticker Limit (Days) slider with input field - Restricts how frequently the same ticker can be traded in an account (slider enabled, default field value set as 5).
    3. Employee Account Limit (Times) slider with input field - Limits the number of trades an employee can make in an account (slider enabled, default field value set as 2).
    4. Employee Ticker Limit (Days) slider with input field - Restricts how often an employee can trade the same ticker (slider enabled, default field value set as 10).
    5. Trade Price Deviation (%) from Average Price slider with input field - Defines the allowed variance from the average trade price (slider enabled, default field value set as 30).
    6. Employee Account Limit (Days) slider with input field - Limits the duration within which trades can occur for an employee account (slider enabled, default field value set as 30).
    7. Duplicate Trade Detection slider - Enables detection of repeated or identical trades (slider enabled by default).
    8. Account Relation Check slider - Validates relationships between accounts for compliance (slider enabled by default).
    9. Mandatory Field Missing slider - Flags trades with missing required information (slider enabled by default).
    10. Trade Quantity Greater Than Average Quantity slider - Detects trades exceeding normal quantity thresholds (slider enabled by default).

    15. Using the Export button



    The Export button makes it easy to share compliance records outside the system. Whether you need to provide data to auditors, managers, or regulators, exporting ensures that information can be transferred seamlessly. It supports collaboration and external analysis without disrupting your workflow.

    Benefit: Makes reporting simple, portable, and shareable.

    The Export button is available on all Code of Ethics modules' Recent Listings pages, except Securities Trading.

    Perform the following steps to export grid view data:

    1. Navigate to the Code of Ethics module (except Securities Trading) Recent Listings page containing the compliance records you want to share.
    2. Locate the Export button at the top-right. Click the button to initiate the export process.

      3. Export button Fig: 386 - Export button

    3. Choose between either CSV or PDF options to decide the format of the file that is to be downloaded.

      4. Export file format options Fig: 387 - Export file format options

    4. Wait for the system to generate the export file. It get automatically downloaded. You may open and view its contents or later on share the exported file as needed.

      5. Here is the view of the contents of a downloaded sample PDF file.

      Exported file content view Fig: 388 - Exported file content view

    16. Customizing the grid columns



    This feature enables you to tailor the grid view to show data which enhance user experience by providing flexibility and control, making it easier to focus on the most pertinent details.

    Benefit: Puts you in control of your view so you work in accordance to your preference.

    This feature is available on all Code of Ethics modules' Recent Listings pages, except Securities Trading.

    Perform the following steps to customize the visibility of grid view columns:

    1. To alter the columns of the view, you can click on the vertical ellipsis icon at the right of the Export button.

      2. Option to proceed to customize the applicable columns Fig: 389 - Option to proceed to customize the applicable columns

      A modal window loads to display the list of columns and its current selection. The columns of the grid view which are visible by default are pre-selected in this modal window. You can customize and control the columns displayed in the grid view.

      Loaded modal window Fig: 390 - Loaded modal window

    2. Make permissible checkbox selections to set the grid view according to your preference. Use the top checkbox to select all selectable checkboxes or toggle it to deselect all selectable checkboxes. The checkbox selections which cannot be modified are greyed-out.

      3. Making checkbox selections Fig: 391 - Making checkbox selections

    3. Click on the Save button to store changes made and close this modal window.

      4. Customizing the applicable columns Fig: 392 - Customizing the applicable columns

    NOTE: If you click on the Reset to System button, then the checkbox selections are restored to the default state.

    Reset to System button Fig: 393 - Reset to System button






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