Compliance Officers can toggle the requirement of checklist items in individual transactions within TotalBrokerage. This might be necessary in various scenarios, such as accommodating unique transaction circumstances or addressing specific compliance needs.
Instructions:
1) Log in to TotalBrokerage and navigate to the transaction that requires checklist modifications.
2) Open the Checklist tab of the transaction.
3) To change a checklist item from optional to required:
- Locate the item you wish to modify.
- Click on Make Applicable found to the right of the checklist item.
- This sets the item as a requirement for the agent handling the transaction.
To change a checklist item from required to optional:
- Find the required item that needs to be modified.
- Select Make Not Applicable to the right of the checklist item.
- This makes the checklist step optional for the transaction.
These modifications are specific to the individual transaction and do not impact the global checklist settings found in Setup → Transactions → Checklists.