Setting Limits

Firms may choose, at each business unit level (department, region, etc.) how to enforce limits. Following are your different options:

	Hard Limit: Gifts that exceed the limit set by compliance management cannot be entered into the system. At the time the employee tries to enter the information, a pop-up window will appear informing him that his entry exceeds the limit and is not permitted.
	Soft Limit: Gifts that exceed the limit set by compliance management can be entered into the system. However, a warning pop-up window notifies the individual that the gift has exceeded the limit. Compliance may choose to have an automatic email generated to Compliance at this time, notifying the compliance team of the limit violation entry.

Attestations

With each entry, firms may elect to have a pop-up window appear asking individuals to attest that the information entered is accurate and complete. An example of this language is: "By clicking 'Submit,' you are certifying that this information is accurate and complete."

Periodic reports are sent proactively to management summarizing the activity by department, division, etc. Reports are also available 24x7 via the Internet and are described in more detail below in the section titled Reporting.