Adding Compliance Statements - v7.3.3

Adding Compliance Statements - v7.3.3


Steps to Add Compliance Statements

Launching ‘Add Compliance Statements’

Put your cursor on the location within the report where you would like to insert the compliance statements. After you have placed your cursor on the correct location within your document, click on the ‘Add Compliance Statements’ icon on the ANALEC ResearchWise ribbon.


Perform Sweep

After clicking on the icon to add compliance statements, the system will prompt you on whether you would like to perform a document sweep to search for potential instruments that you may have referred to in your research report, and hence need to provide their compliance statements as well. Hence, if you have referred to any company which is under your firm’s coverage, this feature would automatically bring up such “likely” matches and then you can choose whether you would also like to drop disclaimers applicable to these instruments. You can choose to either perform (click ‘Yes’) or not perform (click ‘No’) the document sweep.


Choosing to perform the document sweep

If you choose to perform the document sweep, system will search for instruments in the report, tagged or not tagged within the report.


You can also filter the search results based on the following criteria:

  1. Very Likely
  2. Likely
  3. Potentially
  4. Unlikely
  5. Exact Matches Only

Select the checkboxes as per your selection. For instance to tag the instrument that is not tagged, select the checkbox under the column, ‘Tagged?’ and then click ‘Save and close’.



Adding Compliance Statements

After clicking on the ‘Save and Close’ button on the instrument selection screen, the below screen will appear. Select the compliance list from the available list in the dropdown, and then click on the ‘Insert Statements’ button to insert the statements. Please note that you would get multiple lists under the dropdown only if you have access to more than one statement.


Copyright

This document is the property of ANALEC and its subsidiaries. Under no circumstances, should any of this material be copied, transmitted, forwarded to any individual and/or organization without the explicit approval of the ANALEC and/or any of its Group companies. This information is strictly private and confidential between the ANALEC and their Customers. Any unauthorized distribution of this document is illegal.

© ANALEC. All Rights Reserved  


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