As a user of Glass, you will be automatically notified through the messaging application when you have a new disclosure due, but you have the ability to log a disclosure at any time. The most common disclosures are:
- Outside Business Activities
- Political Contributions
- Gifts & Entertainment
Consult your compliance officer for your firm's requirements and the type of activity that needs to be logged in each section.
Types of Disclosures
There are two types of disclosures:
- System generated
- Ad-hoc
System Generated Disclosures
Users will be notified on their dashboard, as well in their messages (in the disclosure channel), if there are disclosure actions required by the administrator. To complete this task:
- Click on the disclosure line item in the needs your attention section on the dashboard
- Click the '+' sign next to the disclosures. Disclosures that are required will show at the top of the screen. If there is more than one, complete the workflow for the first, then continue clicking the '+' sign next to the other disclosure categories until complete.
- If there is nothing to disclose for the disclosure type, click nothing to disclose, otherwise click yes.
- Fill out the required information. Fields with a red box around them are required, while the other fields are optional.
- Click submit when finished. If there are more disclosures that are required, repeat the process above.
Ad-hoc Disclosure Recording
If, as a user, you would like to log disclosures before you are reminded to do so by your compliance administrator, you may do so at any time within the Glass application. To log a disclosure ad-hoc, click the '+' sign on the bottom right of the screen, click on the appropriate disclosure type, and follow the above process.