Onboarding

Compliance call for final approval

As required by some regulatory bodies, a telephone call by compliance must be placed in order to verify the customer’s details.

Once activated, a customer will be unable to be approved until a call has been placed and confirmed in the “Compliance Call” widget on the customer’s compliance profile page.

If a compliance call has not been made, and a compliance or back office user tries to approve or change the compliance status to “Approved”, a system notice will be generated reminding the agent that the compliance has yet to be made.

Making a Compliance Call

To make a compliance call, click on any of the telephone numbers listed on “Compliance Call” widget on the customer’s compliance profile page. The widget will change into a dialer.

After a call has been made, a slider will become available on the widget where the agent can active to confirm that the compliance call has been made. Even if the agent closes the browser and comes back at another point in time, the slider will still be available to be marked as compliance call completed.

Records of all compliance calls will be stored in the customer profile under telephone recordings, customer logs and listed as an feed event. See the customer profile documentations for more details.

Skip Compliance Call / Mark as complete

If “Compliance officer can skip Compliance call” has been activated, then a tick box will appear in the compliance call section on the customer’s compliance profile page where a Compliance Officer (user) can tick to bypass this function entirely.

This can also be used to mark the compliance call as complete.

Account on read only by default

This setting controls whether the client’s Account will be automatically set to “Read Only” on his trading account until compliance changes the customer’s “Compliance Status” to “Approved”.

Once activated, the customer will only be able to login to the trading account but not be able to operate the account.

This setting is integrated directly into your trading platform using the MT4 API and will automatically update on an ongoing basis. Refer to the Compliance Status Settings section. This function will be used also to restrict clients from trading due to other compliance reasons using the compliance dashboard.

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