Managing restricted client accounts

This article outlines the steps needed to identify clients with account restrictions and understand the reasons for these restrictions. For detailed information about specific restrictions and guidance on how to address them, please review Restrictions explained.

How to work with restrictions?

The Dashboard (1) has a tile (2) where you can always see the number of restricted clients: The dashboard tile is clickable and will send you to the view of all clients being restricted.

When navigating from the Restrictions dashboard tile, you are presented with a list of your restricted clients. Two columns are created showing (1) if the client is restricted, (2) Which Restriction type is applied. You can, as in any view on the Client Screener, add any column or change the order of the columns including changing sorting.

You can also filter based on specific Restriction types. Additionally, you will be able to use the "Is restricted" column as part of your daily work on the Client Screener, e.g., show me all my clients who have an account value above 500K EUR and are restricted, allowing you to prioritize your efforts.

When you have identified a specific client, you will be able to understand which Restriction actions have been put in place for the specific restriction. Note that it is possible for a client to have multiple restrictions. You can navigate to the individual client by using the Context menu and clicking "Go to restriction page".

After clicking, you will be presented with the Client view subpage Restrictions. On this page, you can see the (1) Active restriction and view (2) Historical restrictions providing a current and historical perspective. You can click "Details" to view detailed information about the individual restriction.

On the Restriction details, you are able to view:

1. Which Restriction actions are in place – what specific restrictions are placed on the clients account(s).
2. Termination action: Indicates if the restriction will result in a termination of the client engagement.
3. Start date: Shows the date the restriction was placed on the client.
4. Description: Provides a short description of the reason for restricting the client.