EM Validation Rules

what is a validation rule? a validation rule is a data quality check to ensure the data being submitted to entity management (em) meets the data governance needs of the client when are validation rules run? validation rules are run when updates are being made to an entity in a workflow, which includes both the user interface (ui) and workflow apis rules are run at different intervals to ensure issues are identified as soon as possible in the ui the same validation rules are executed in the api when a workflow request is sent note entity import uses major and minor file rejections to ensure the quality of data during file processing once imported, the data goes through the ui workflow and is then subject to validation rules in line validation rules in line validation rules give the user immediate feedback as the user inputs or removes a value in the user interface these rules are simple and run against user inputted fields that are required and/or check for an invalid format in line validation rules highlight the input field in red and provide the error message below the field when the rule is triggered the save button is disabled until the error(s) is fixed on save validation rules on save validation rules give the user feedback once entity changes are saved these rules are more basic and are triggered on one or more fields to check for data quality issues a rules execution result modal window is displayed if any rules are triggered the user can review the execution result and fix any errors or warnings that occur on transition validation rules on transition validation rules are complex and require calculations to be run and/or are dependent on the outcome of other validation rules on transition validation rules are triggered when the user submits the workflow task for review and initiates the workflow transition when a workflow task is submitted, the on transition validation rules are also triggered the user is navigated to the dashboard and can view the status of the workflow when processing is finished when the status is failed, the user can open the workflow task and a rules execution result modal window displays the user can review the execution results and fix any errors or warnings that occur independence rules independence rules are triggered when certain workflow states are submitted for approval to ensure the entity and designation changes adhere to the rules within personal independence (independence) the integration between em and independence utilizes a simulation mode and update mode that allows for a back and forth interaction between em and independence any exceptions, errors or warnings that occur are communicated back to em for the user to resolve prior to submitting in update mode once the batch is approved, the updated data is sent via web services to update independence are there different severity levels for validation rules? validation rules can have a severity level of error, warning, or informational the severity level determines if action needs to be taken to fix the data issue error an error must be fixed before changes can be saved or transitioned to the next workflow step warning a warning can either be fixed or accepted before transitioning to the next workflow step informational an informational message does not need to be fixed and provides details of a rule that triggered during workflow processing how can validation rules be viewed and edited? validation rules and rulesets can be viewed by a system administrator in rules management in the user interface or via rule apis the system administrator is technically able to edit and configure rules; however, it is highly recommended that the system administrator collaborate with the kingland services team to ensure rules and rulesets are set up and configured properly what are the in line validation rules? the in line validation rules check required fields and the format of fields all in line validation rules have a severity level of error and can be grouped into two types of rules 1) required fields missing and 2) invalid format required fields missing (ra1025) this rule ensures all required fields are populated the following fields are required by default out of the box required fields legal entity legal name domicile country headquarters city headquarters country data use flag natural person first name last name data use flag conditional fields if an address is added, then the following are required city country if a designation is added, then the following are required designation type designation reason designation level designation location if an association is added, then the following are required association type parent entity child entity if an identifier is added, then the following are required identifier value if a deactivation change occurs, then the following is required inactivation reason if last responsible party (rp) verification user or date are populated, then both are required last rp verification user last rp verification date invalid format (ra1026) this rule ensures fields are formatted correctly the following fields are checked for invalid format by default out of the box invalid format fields legal entity name type legal name or alias exceeds the 255 character limit name contains the following special characters " | = address type address contains the following special characters " | postal code exceeds the 19 character limit duns number exceeds the 9 character limit or contains non numeric characters (includes immediate parent duns, global ultimate parent duns, domestic ultimate parent duns) ownership percentage must be between 0 100 natural person first name first name exceeds the 255 character limit first name contains special characters other than the following , ' & \[ ] / ( ) \ % # ; ° $ + @ ! ´ ? ` ^ > < middle name middle name exceeds the 255 character limit middle name contains special characters other than the following , ' & \[ ] / ( ) \ % # ; ° $ + @ ! ´ ? ` ^ > < last name last name exceeds the 255 character limit last name contains special characters other than the following , ' & \[ ] / ( ) \ % # ; ° $ + @ ! ´ ? ` ^ > < what are the on save validation rules? the on save validation rules check various data quality issues involving one or more fields all on save validation rules have a severity level of error or warning and trigger once the user saves the changes made to an entity the on save validation rules are grouped under one of the following categories duplicate checks the following rules check for duplicate entities, fields, or users in the system when changes are saved duplicate checks duplicate entity id (ra199) this rule triggers an error if an entity is created with the same entity id as another entity this should be a rare scenario since the system creates and assigns the entity id duplicate names (ra60) this rule triggers an error if a legal name or alias name is the same name as the other type name on the entity the legal name cannot match the alias name natural person name matches alias (ra156) this rule triggers an error when the natural person name (first, middle, last) matches the alias name the given name of a natural person cannot match the alias name potential duplicate legal entity (ra188) this rule triggers a warning that a potential duplicate legal entity has been identified duplicate legal entities are evaluated by having a similar legal name using fuzzy match and an exact match on domicile country duplicate natural person (ra1008) this rule triggers an error when the natural person name (first, last) and address is an exact match to another natural person record duplicate associations (ra19) this rule triggers an error if an association matches the same parent and child combination on an existing association the association type is not considered when checking for association duplicates duplicate values (ra59) this rule triggers an error if a field type and field value matches an existing type and value for the same field the multiple choice/value fields are identifiers and classifications multiple type and value combinations can be defined for any entity but they cannot be duplicated (e g , sec cik 1234567890 and sec cik 1122334455 is allowed; sec cik 1234567890 and sec cik 1234567890 is not allowed) duplicate reference data (ra227) this rule triggers an error if a reference data value matches another value within the same reference data category duplicate user email (ra28a) this rule triggers an error if a user email address matches the email address of another user no two users can have the same email address duplicate user external id (ra28b) this rule triggers an error if a user external id matches the external id of another user no two users can have the same external id address conflict (ra64) this rule triggers an error when the headquarters address matches another address type on the entity a headquarters address cannot match another type of address all address fields must be exact matches for the rule to trigger duns number (ra1001) this rule triggers an error when the duns number is the same as the duns number on another entity the duns number must be unique across all entities designation conflicts and rules the following rules check for designation conflicts to ensure the proper combination of fields are provided when changes are saved designation checks domicile and office location mismatch (ra1013) this rule triggers a warning when the designation office location is not contained within the domicile country of the entity invalid designation locations (ra73) this rule triggers an error if more than one location exists on the following designation eu pie restricted, uk pie restricted, eu pie watchlist, reverse restricted, or relationship the locations are used to determine personal financial interest restrictions and these types of designations do not carry personal financial interest restrictions multiple designation locations (ra1012) this rule triggers a warning if more than one office location is applied to a direct designation change reason (ra74) this rule ensures a change reason is provided when a designation is removed a change reason modal displays in the ui when a designation is removed and a change reason is required to continue with the removal designation type/audit conflict (ra252) this rule triggers a one time error message to inform the user the audit field cannot be updated and will be removed from the batch this occurs when the designation type in reference data is not configured for audit information (i e , audit is not ‘yes’) designation type/local restrictions conflict (ra254) this rule triggers a one time error message to informs the user the local restrictions field cannot be updated and the change will be removed from the batch this occurs when the designation type in reference data is not configured for local restrictions information (i e , local restriction is not ‘yes’) is not eligible to have the local restrictions field due to the local restrictions field value in reference data management designation level is not global (ra270) this rule triggers an error when the designation type has local restrictions set to ‘yes’ in reference data and a designation level other than ‘global’ is selected designation missing local restriction level or local restriction type (ra271) this rule triggers an error if local restriction level is not provided along with local restriction type, or vice versa both fields are required if either is populated audit type required (ra267) this rule triggers an error when the designation type in reference data has audit set to ‘yes’ and no audit type is provided multiple default audit types (ra272) this rule triggers an error if more than one audit type value in reference data management has default set to ‘yes’ audit type value added (ra273) this rule triggers a warning informing the user the audit type was set to the default value group entity required (ra268) this rule triggers an error when the designation type in reference data has audit set to ‘yes’ and the selected audit type has component of group set to ‘yes’ in reference data, and no group entity is provided maximum number of group entities allowed exceeded (ra265) this rule triggers an error when the number of group entities added to a designation exceeds the limit of 10 group entities group entity not valid (ra266) this rule triggers an error when the selected group entity is not valid because it is inactive or is no longer exists association rules the following rules check for invalid and inactive associations that may occur between a parent and child entity when changes are saved association checks multiple control associations (ra20) this rule triggers an error if an association results in a child entity having more than one ownership control association there can be no more than one association with association group of ‘ownership’ and influence of ‘control’ to an entity inactive entity (ra148) this rule triggers an error if a parent association with association group of ‘ownership’ and influence of ‘control’ is added to an inactive global ultimate parent (gup) with an inactive reason of tree deactivation the gup must be reactivated before adding the association other scenarios involving an inactive parent or inactive child entity are controlled by inactive entity association (ra21) under association rules invalid association (ra251) this rule triggers an error when the entity type of the association parent is not found in reference data management this should be a rare scenario since the association entity types are system controlled (association node type) np and le association check (ra181) this rule triggers an error when the child in an association is a natural person and the parent is a legal entity in an association between a legal entity and a natural person, the legal entity is the child and the natural person is the parent circular relationship (ra1009) this rule triggers a warning if an entity becomes a child entity of itself through one or more associations for example, if entity a is the parent of entity b and entity b is the parent of entity c, and entity a is added as a child of entity c, a circular relationship would be created removal reason required (ra1006) this rule triggers an error when an association is removed and a removal reason is not provided data use flag (ra13) this rule triggers an error when the data use flag is not provided for an association this should be a rare scenario since data use flag is populated by default this rule will not be triggered by a natural person influence association because data use flag is not an attribute for the following association types director, officer, and financial reporting oversight (fror) classification conflicts the following rules check for conflicts between classifications and designations when changes are saved classification checks public interest entity classification conflict (ra236) this rule triggers an error if an entity has a public interest entity classification with designation of iesba restricted, eu pie restricted, or uk pie restricted designation but does not have an iesba pie restricted designation it is expected that an iesba pie restricted designation should be applied public interest entity classification conflict (ra237) this rule triggers an error if an entity has an iesba pie restricted designation, but does not have a public interest entity classification a public interest entity classification is required if an entity has an iesba pie restricted designation conflicting classifications eu pie (ra1014) this rule triggers a warning if an entity has both classifications of eu pie (upstream approval) and eu pie (no upstream approval) for entity classification conflicting classifications issuer and private (ra1015) this rule triggers a warning if an entity has both issuer of equities/debt and private investment as entity classifications classification conflict (ra1016) this rule triggers an error if an entity has more than one of the following entity classifications eligible, not eligible, or not determined responsible party and contact rules the following rules check for conflicts between the responsible party (rp), entity and services approval delegates (eapd, sapd) or service assistance delegate (sasd) when changes are saved user contact checks rp already assigned (ra137) this rule triggers an error if a user adds a rp to an entity that already has a direct rp assigned the existing direct rp must be removed before adding a new one rp eligibility (ra1002) this rule triggers an error if a rp is added to an entity but the user is not active or does not have the role of ‘eligible to be responsible party’ cannot remove rp eligibility (ra4) this rule triggers an error when the ‘eligible to be responsible party’ role is removed from a user who is currently assigned the role of rp, eapd, or sapd on an entity rp validation needed (ra182) this rule triggers a warning when the eapd or sapd is removed and alerts the rp needs to validate the sasd assignments before approving the removal there are no other checks to enforce the rp to do the validation or ensure that it occurred eapd user not rp eligible (ra97) this rule triggers an error if an eapd is added who is not a rp the eapd must have the role of ‘eligible to be rp’ sapd user not rp eligible (ra98) this rule triggers an error if a user adds a sapd that is not a rp the sapd must have the role of ‘eligible to be rp’ multiple entity approval delegates (ra1003) this rule triggers an error if more than one user is directly assigned as the eapd on an entity multiple service approval delegates (ra1004) this rule triggers an error if more than one user is directly assigned as the sapd on an entity workflow processing rules the following rules ensure the workflow and work items are saved and updated appropriately workflow processing checks cannot deactivate user (ra68) this rule triggers an error if a user who is assigned to one or more open workflows is inactivated the workflow(s) must be reassigned before inactivating the user on save failed (ra71) this rule is used to rollback the temporary work items when the current on save transition fails this is a backend rule that is not seen by end users workflow allowed changed types (ra185) this rule triggers an error if a change items in the workflow batch is not configured in the workflow definition under allowed change types update work item name (ra221) this rule triggers as informational message to notify a user that the name of the related work item(s) has been updated when an entity has been renamed all system permissions not applied/removed (ra274) this rule triggers an error if a role or a group with ‘all system’ permissions is added or removed from a user and the user who is submitting and/or approving the request does not have a role with ‘all system' permissions only a user with 'all system’ permissions is allowed to make this type of change designation generation rules the following rules are used to generate derived designations when changes are saved the em designation inheritance logic and em designation use and inheritance documents provide more information about designations designation generation rules sec monitored generation rule (ra180) this rule generates the derived sec monitored designation(s) based on sec monitored inheritance inheritance originates from the direct sec restricted designation business relationship restricted generation rule (ra183) this rule generates the derived business relationship restricted designation(s) based on business relationship restricted inheritance inheritance originates from the direct sec restricted designation loan rule restricted generation rule (ra184) this rule generates the derived loan rule restricted designation(s) based on loan rule restricted inheritance inheritance originates from the direct sec restricted designation iesba pie monitored generation rule (ra242) this rule generates the derived iesba pie monitored designation(s) based on iesba pie monitored inheritance inheritance originates from the direct iesba pie restricted designation business relationship watchlist generation rule (ra245) this rule generates the derived business relationship watchlist designation(s) based on business relationship watchlist inheritance inheritance originates from the direct sec watchlist designation loan rule watchlist generation rule (ra247) this rule generates the derived loan rule watchlist designation(s) based on loan rule watchlist inheritance inheritance originates from the direct sec watchlist designation locally restricted generation rule (ra253) this rule generates the derived locally restricted designation(s) based on manually applying inheritance inheritance originates from where local audit restrictions are applied to the direct designation audit team restricted generation rule (ra256) this rule generates the derived audit team restricted designation(s) based on audit team restricted inheritance inheritance originates from where audit team is applied to the direct designation designation inheritance rules the following rules are used to inherit designations to other entities in the tree hierarchy inheritance rules are run when changes are saved and when a workflow is transitioned the em designation inheritance logic and em designation use and inheritance documents provide more information about designations designation inheritance rules sec restricted inheritance rule (ra78) this rule calculates the inheritance for sec restricted designations iesba pie restricted inheritance rule for public entities (ra239) this rule calculates the inheritance for iesba pie restricted designations for public entities a public entity is one with a ‘public’ classification, which is defined as having a classification of ‘issuer of equities/debt’ or ‘aicpa audit client’ iesba pie restricted inheritance rule for private entities (ra240) this rule calculates the inheritance for iesba pie restricted designations for private entities a private entity is one without a ‘public’ classification, which is defined as having a classification of ‘issuer of equities/debt’ or ‘aicpa audit client’ iesba restricted inheritance rule for private entities (ra23) this rule calculates the inheritance for iesba restricted designations for private entities a private entity is one without a ‘public’ classification, which is defined as having a classification of ‘issuer of equities/debt’ or ‘aicpa audit client’ iesba restricted inheritance rule for public entities (ra24) this rule calculates the inheritance for iesba restricted designations for public entities a public entity is one with a ‘public’ classification, which is defined as having a classification of ‘issuer of equities/debt’ or ‘aicpa audit client’ eu pie restricted inheritance rule (ra42) this rule calculates the inheritance for eu pie restricted designations uk pie restricted inheritance rule (ra208) this rule calculates the inheritance for uk pie restricted designations loan rule restricted inheritance rule (ra173) this rule calculates the inheritance for loan rule restricted designations business relationship restricted inheritance rule (ra171) this rule calculates the inheritance for business relationship restricted designations assurance restricted inheritance rule (ra250) this rule calculates the inheritance for assurance restricted designations audit team restricted inheritance rule (ra255) this rule calculates the inheritance for locally restricted designations reverse restricted inheritance rule (ra178) this rule calculates the inheritance for reverse restricted designations locally restricted inheritance rule (ra249) this rule calculates the inheritance for locally restricted designations sec monitored inheritance rule (ra179) this rule calculates the inheritance for sec monitored designations iesba pie monitored inheritance rule (ra241) this rule calculates the inheritance for iesba pie monitored designations sec watchlist inheritance rule (ra243) this rule calculates the inheritance for sec watchlist designations eu pie watchlist inheritance rule (ra44) this rule calculates the inheritance for eu pie watchlist designations loan rule watchlist inheritance rule (ra248) this rule calculates the inheritance for loan rule watchlist designations business relationship watchlist inheritance rule (ra246) this rule calculates the inheritance for business relationship watchlist designations watchlist inheritance rule (ra85) this rule calculates the inheritance for watchlist designations relationship inheritance rule (ra177) this rule calculates the inheritance for relationship designations what are the on transition validation rules? on transition rules are complex and require calculations to be run or are dependent on the outcome of other validation rules validation checks have a severity level of error, warning, or informational and triggers once the workflow is transitioned to another workflow step duplicate checks the following rules check for duplicate entities and affiliates when the workflow is transitioned designation checks duplicate entity (ra1000) this rule triggers an error when more than one entity has the same legal name, headquarters address city, and headquarters address country potential matching affiliates (ra1011) this rule triggers a warning when an affiliate entities already exist the entities are not considered duplicates but rather entities that are similar to one another this rule looks for entities that have a similar name using a fuzzy match, but do not have the same domicile, and do not share the same gup designation conflicts and rules the following rules check for designation conflicts to ensure the proper combination of designations and fields are provided when the workflow is transitioned designation checks designation already exists (ra99) this rule triggers an error when there is more than one direct designation that has the same designation type, level and reason designation conflict (ra92) this rule triggers an error if an entity has a restricted direct designation and a watchlist direct designation an entity cannot have both restricted and watchlist direct designations designation conflict (ra214) this rule triggers a warning if an entity has a direct designation of restricted and reverse restricted an entity cannot have both restricted and reverse restricted direct designations designation conflict (ra215) this rule triggers a warning if an entity has a direct designation of restricted and relationship an entity cannot have both restricted and relationship direct designations iesba pie restricted designation conflict (ra238) this rule triggers an error if an entity has a direct designation of iesba restricted and iesba pie restricted an entity cannot have both iesba restricted and iesba pie restricted direct designations designation status change (ra1019) this rule triggers a warning that updates made in the workflow will update the calculated designation for the list of inherited entities direct designations removed (ra144) this rule triggers a warning if that a direct designation(s) exists when the entity is made inactive the designation(s) is automatically removed with a change reason of ‘deactivated from source’ when the warning is accepted designation added to inactive entity (ra142) this rule triggers a warning when a direct designation is added to an inactive entity the entity is automatically reactivated when the warning is accepted if the entity should be inactive, then the direct designation must be removed inactive entity designations (ra22) this rule triggers an error if a direct designation is added to an inactive entity due to tree deactivation the tree needs to be reactivated before the user is able to add a direct designation to the entity open service requests (ra94) this rule triggers a warning when all designations are removed from an entity with open service request engagements responsible party and contact rules the following rules check for conflicts between the rp, eapd, sapd, and user contacts when the workflow is transitioned user contact checks rp missing (ra8) this rule triggers an error if an entity has a directly applied or inherited designation and the entity does not have a directly applied or inherited rp a rp must be added to the entity rp removed (ra143) this rule triggers a warning if an entity has an assigned rp and is inactivated the assigned rp is automatically removed when the warning is accepted rp has no partner role (ra57) this rule triggers an error if a user is a directly assigned as the rp for the entity, but does not have a partner role conflicting eapd business rule (ra88) this rule triggers an error if more than one eapd is associated to the rp on an entity only one eapd is allowed to be associated to a rp on an entity conflicting sapd business rule (ra89) this rule triggers an error if more than one sapd is associated to the rp on an entity only one sapd is allowed to be associated to a rp on an entity entity missing eapd or sapd (ra172) this rule triggers a warning if an entity has either a eapd or sapd directly assigned and not the other both eapd and sapd should be assigned to an entity to ensure the appropriate reviews are being made to the entity invalid easd assignment (ra187) this rule triggers an error if an easd is assigned to an entity and the entity does not have a direct designation, is not an audit client (client set as primary auditor), and is a non gup partner roles removed (ra15) this rule triggers a warning and all partner roles are automatically remove from an entity when the entity or tree is deactivated delegate roles removed (ra14) this rule triggers a warning and all delegate roles are automatically removed from an entity when the entity or tree is deactivated delegate assignment not allowed (ra1005) this rule triggers an error when a delegate is added to an entity and the entity does not have a direct or indirect rp contact already exists (ra50) this rule triggers an error if a contact is added to the entity and that contact already exists this prevents adding the same user contact to an entity, which may occur when two separate workflows attempt to add the same contact user user assignment conflict (ra151) this rule triggers an error if both a lap approver user and lap informed party user is added to the same entity primary rp selection rule (ra176) this rule triggers an error when the primary rp cannot automatically be determined the user is prompted to manually select the primary rp for the entity link delegate to rp (ra195) this rule triggers a warning and attempts to automatically link each delegate to a rp the user is prompted to select the linked rp in cases where there is more than one rp eligible to be linked to a delegate open service requests (ra149) this rule triggers a warning when the rp is removed from the entity without adding a new rp, and open service requests/engagements are associated to the entity open service requests (ra150) this rule triggers a warning when the rp, eapd, or sapd is updated on an entity and there are open service requests/engagements associated to the entity association rules the following rules check for invalid and inactive associations that may occur between a parent and child entity when the workflow is transitioned association checks inactive entity association (ra21) this rule triggers an error if an association is added or updated to an inactive parent or child entity associations cannot be made to an inactive entity controlling interest associations (ra29) this rule triggers an error if a control association is added or updated on an entity that results in a circular relationship a circular relationship occurs when a downstream entity has a controlling association to an upstream entity for example, if entity a controls entity b and entity b controls entity c, then entity c cannot control entity a association conflict (ra101) this rule triggers an error if an entity is a parent in a business control association and a child in another business control association this prevents adding an entity into a business association in which it is the parent entity and the child entity with the same type of association, such as investment advisory tree deactivation inheritance business rule (ra81) this rule is used to inherit tree deactivation from the gup to all other eligible entities within the tree hierarchy entities that inherit tree deactivation are set to inactive the inheritance also applies to the reactivation of the tree, which reactivates the gup and all other eligible entities within the tree hierarchy group entity is not in the calculation chain (ra269) this rule triggers a warning when the selected group entity is not in the x calculation chain where x is equal to a particular designation type with its defined inheritance logic workflow processing rules the following rules ensure the workflow is transitioned properly to the next work step, that concurrent changes being made across workflows are handled appropriately, and that multiple approver parent and child workflows work as expected workflow processing checks ems routing business rule (ra32) this rule dynamically determines the next step in the workflow each workflow must have a rp assigned to calculate the workflow routing path for approval based on the rp location if the workflow cannot automatically determine a unique rp to assign to the workflow for routing purposes, the user is prompted to select one ems rp verification routing business rule (ra33) this rule dynamically determines the next step in the rp verification workflow the rp verification workflow must have a rp assigned to calculate the workflow routing path for approval based on the rp location if the workflow cannot automatically determine a unique rp to assign to the workflow for routing purposes, the user is prompted to select one entity data locking (ra38) this rule ensures the entities associated with the change items in a workflow are not being updated in another workflow simultaneously when changes to an entity are being approved and persisted to the database, the entity becomes locked so multiple workflow changes are not persisted at the same time record workflow (ra210) this rule runs in the background to populate the location field for a batch in the workflow search invalid verification of multiple trees (ra220) this rule triggers an error to prevent a user from verifying more than one tree in a rp verification workflow when the trees have different contact people from different member firm locations or in a member firm location that has rp review enabled validate batch (ra226) this rule triggers an error when the user clicks the validate button in the workflow this prevents the workflow from transitioning to the next step and informs the user the workflow was successfully validated entity concurrency (ra224a) this rule triggers a warning when changes are made to the same entity in more than one workflow association concurrency (ra224b) this rule triggers a warning when changes are made to the same association in more than one workflow an association includes the same parent and child combination rp/contacts concurrency (ra224c) this rule triggers a warning when changes are made to the same rp or user contact in more than one workflow entity live data change (ra230a) this rule triggers a one time error message to inform the user that live data has changed since the workflow was started and lists the entity changes that were applied to the entity or removed from the workflow association live data change (ra230b) this rule triggers a one time error message to inform the user that live data has changed since the workflow was started and lists the association changes applied to the entity or removed from the workflow rp/contacts live data change (ra230c) this rule triggers a one time error message to inform the user that live data has changed since the workflow was started and lists the rp and/or contact changes applied to the entity or removed from the workflow maintain child workflow rule (ra1020) this rule creates and maintains child workflows for a multiple approver parent workflow each child workflow needs to be approved (or disposed of) before the parent workflow can be approved (or disposed of) an entity without a designation will not have a child workflow created if a workflow only contains entities without designations, then it is automatically approved after submission from the draft state multiple approvers routing rule (ra1022) this rule is used to dynamically determine the next workflow step and calculate the workgroup and location for the multiple approvers parent and child workflows entity data locking for multiple approvers (ra1024) this rule locks the entity when live data changes are being persisted so records associated with the change items are not being updated in parallel workflows entity detail conflicts and rules the following rules check for conflicts and invalid field combinations for name, address, and entity details when the workflow is transitioned entity detail checks special characters (ra56a) this rule triggers a warning when the legal name contains a special character not in this list , ' & \[ ] / ( ) \ % # ; ° $ + @ ! ´ ? ` ^ > < headquarters address (ra104) this rule triggers an error when the headquarters address is not provided or multiple addresses of the same address type are provided for a legal entity rcp and rdd required (ra100) this rule triggers an error if an entity has a directly assigned rp, but does not have a review cycle period (rcp) and review due date (rdd) rcp and rdd removed (ra17) this rule triggers a warning and automatically removes the rcp and rdd from an entity when the entity or tree is deactivated rcp and rdd not allowed (ra39) this rule triggers an error when the entity does not have a rp but rcp and rdd are provided a rp will need to be added or rcp and rdd need to be removed rdd outside of acceptable range (ra186) this rule triggers an error when the rdd is not within the acceptable range the acceptable range is determined by the review cycle period and the last rp verification date if no rp verification date exists, then the system will use the date first added the interval chosen for the review cycle period will then determine the date range that is expected for the rdd based on the last rp verification date for example if ‘quarterly' is selected for review cycle period, then the date range must be within the 3 month period from the last rp verification date if 'annual’ is selected for the for review cycle period, then the date range must be within the 12 month period from the last rp verification date direct rp required for rcp (ra118) this rule triggers an error when a rp is not assigned and rcp is provided the rcp is automatically removed when the workflow is processed review cycle period (ra125) this rule triggers an error when an entity has an entity classification of private equity investor or venture capital, but the review cycle period is not ‘bi monthly’ invalid rcp (ra36) this rule triggers an error if an entity has a calculated designation type of sec restricted, sec eu pie restricted, or sec uk pie restricted and has a direct rcp of ‘semi annual’ or ‘annual’ rcp must be ‘quarterly’ or ‘bi monthly’ to comply with us sec rules invalid rcp (ra37) this rule triggers an error if an entity has a calculated designation other than sec restricted, sec eupie restricted, sec ukpie restricted, or none designated, has a classification of ‘issuer of equities/debt’, and has a rcp of ‘annual’ public companies not regulated under us sec rules must have a review cycle period of ‘bi monthly’, ‘quarterly’, or ‘semi annual’ primary auditor removed (ra16) this rule triggers a warning and automatically removes the primary auditor from an entity when the entity or tree is deactivated incorrect primary auditor (ra25a) this rule triggers a warning when an entity has a direct designation of sec restricted, iesba restricted, iesba pie restricted, eu pie restricted, or uk pie restricted and the primary auditor is not set to ‘internal’ primary auditor (ra25b) this rule triggers an error when an entity has a primary auditor of ‘internal’ and the entity does not have a calculated designation of sec restricted, iesba restricted, iesba pie restricted, eu pie restricted, or uk pie restricted sr flag updated to use ems approval (ra132a) this rule triggers a warning when an entity has an assigned rp, but does not have a sr (service request) flag value the sr flag of ‘use ems (approval)’ is automatically added sr flag removed (ra132b) this rule triggers a warning when an entity has a sr flag value other than not required and a rp is not assigned the sr flag value is automatically removed add br flag for mbr if not restricted (ra190) this rule triggers a warning when the entity has a direct rp assigned and the calculated designation type is reverse restricted or relationship, but does not have a value for br flag mbr (mutually beneficial relationship) the value of ‘use ems (approval)’ is automatically added to br flag mbr add br flag for mbr, vendors, or other if restricted (ra191) this rule triggers a warning when the entity has a direct rp assigned and the calculated designation type is restricted, watchlist, or sec monitored, but does not have a br (business relationship) flag value for mbr, vendors, or other the value of ‘use ems (approval)’ is automatically added to each br flag field add br flag for vendors if restricted (ra192) this rule triggers a warning when the entity has a direct rp assigned and the calculated designation type is restricted, watchlist, or sec monitored, and there is no br flag vendors value the value of ‘use ems (approval)’ is automatically added to br flag vendors add br flag for vendors or other if not restricted (ra193) this rule triggers a warning when the entity has a direct rp assigned and the calculated designation type is reverse restricted or relationship, and there is no br flag vendors value the value of ‘not required’ is automatically added to each br flag field add br flag if none designated (ra194) this rule triggers a warning when the entity has a direct rp assigned, there is no designation, and there is no value for the br flag fields the value of ‘not required’ is automatically added to each br flag field validate br flag for mbr or other if restricted (ra197) this rule triggers an error when the calculated designation type is restricted, watchlist, or sec monitored, but the calculated br flag value for mbr or other is not set to ‘use ems (approval)’ or ‘use manual process (approval)’ validate br flag for vendors if restricted (ra198) this rule triggers an error when the calculated designation type is restricted, watchlist, or sec monitored, but the calculated br flag vendors is set to ‘not required’ br flag removed (ra196) this rule triggers a warning when the entity does not have a rp assigned, but has a br flag value other than ‘not required’ the value of all br flag fields is automatically set to ‘not required’ regulator missing (ra26) this rule triggers a warning when the entity has a classification that is configured as indyeligible or public interest entity, and no regulator value is provided the list of classifications is configurable in reference data open service requests (ra147) this rule triggers a warning when an entity is inactivated and there are open service requests/engagements associated to the entity responsible party and contact inheritance rules the following rules check for rp and delegate inheritance the em responsible party inheritance logic document provides additional information on rp inheritance inheritance checks rp inheritance criteria (ra75) this rule triggers when the system determines user roles assigned to an entity have changed and the change(s) meets the rp inheritance criteria this rule runs the rp inheritance logic to associate the user role(s) to applicable entities in the tree eapd inheritance (ra31) this rule runs eapd inheritance after rp inheritance runs an error message is presented to the user if the eapd inheritance work item is opened before the rp inheritance work item is opened the rp inheritance work item must be opened first sapd inheritance (ra76) this rule runs sapd inheritance after rp inheritance runs an error message is presented to the user if the sapd inheritance work item is opened before the rp inheritance work item is opened the rp inheritance work item must be opened first sasd inheritance (ra77) this rule runs sasd inheritance after rp inheritance runs an error message is presented to the user if the sasd inheritance work item is opened before the rp inheritance work item is opened the rp inheritance work item must be opened first what are the independence validation rules? the independence validation rules are only utilized when the client is licensed for personal independence and a licensed integration is configured between em and personal independence these rules are triggered by the independence simulation and update modes inheritance checks independence simulation rule (ra79) this rule triggers an export from em to independence simulation when a change to a specific entity attribute is made the attributes that trigger the independence export are an entity contains an entity classification that is marked in reference data as indy eligible #indy elig an entity is assigned a specific identifier type (e g , duns) an entity is assigned a specific identifier type and contains an identifier value (e g , 123456789) designation not applied (ra18) this rule triggers a warning for an independence simulation or update when a matching entity is not found in independence the entity will be created in independence upon the completion of the independence update mode independence duplicate icusip (ra27) this rule triggers a warning for an independence simulation or update when an em entity has the same icusip (base cusip, first six digits) as another existing entity in independence independence duplicate records (ra30) this rule triggers a warning for an independence simulation or update when duplicate entities are found this occurs when one or more em entities contain the same entity id in independence when this happens, the first instance is processed and all subsequent instances of the entity id are skipped entities matched using duns with conflicting entity ids (ra34) this rule triggers an error for an independence simulation or update when the em entity matches an independence entity on duns number, but the entity id does not match entity activation (ra35) this rule triggers a warning for an independence simulation or update when an active em entity is matched to an inactive independence entity the inactive independence entity is set to ‘active’ upon completion of the independence update entity inactivation (ra40) this rule triggers a warning for an independence simulation or update when an inactive em entity is matched to an active independence entity the active independence entity is set to ‘inactive’ upon completion of the independence update entity name matches but duns and entity id do not match (ra41) this rule triggers an error for an independence simulation or update when an em entity is matched by name to an independence entity, but the entity id and duns number do not match improper number of fields (ra48) this rule triggers an error for an independence simulation or update when an em entity has an improper number of fields this means the em entity has fewer or more fields than expected for the import incorrectly formatted icusip (ra49) this rule triggers an error for an independence simulation or update when the em entity has an icusip with an incorrect format an icusip must have 6 digits multiple entities found via entity id (ra51) this rule triggers an error for an independence simulation or update when an em entity is matched to more than one independence entity by entity id entities matched using refinitiv id with conflicting xids (ra1029) this rule triggers an error for an independence simulation or update when an em entity is matched to an independence entity using the external data provider id, but the entity id does not match entities matched on name where refinitiv id or ems id do not match (ra1030) this rule triggers an error for an independence simulation or update when an em entity is matched to an independence entity using the external data provider name, but the external data provider id or entity id does not match no entity id provided (ra52) this rule triggers an error for an independence simulation or update when an em entity does not have an entity id no description (ra53) this rule triggers an error for an independence simulation or update when an em entity does not have a primary description, which means the legal name is missing no primary location (ra58) this rule triggers an error for an independence simulation or update when an em entity does not have a primary location no response (ra61) this rule triggers an error for an independence simulation or update when the web service is unresponsive and the simulation or update could not be made number of holdings (ra62) this rule triggers a warning for an independence simulation or update when an update to an entity may impact the number of holdings in independence for the entity truncated designation description (ra82) this rule triggers a warning for an independence simulation or update when the designation description exceeds the maximum number of characters supported in independence the description will be truncated in independence to fit the field limit unrecognized locations (ra83) this rule triggers an error for an independence simulation or update when the office location does not exist in independence unrecognized restriction region (ra1027) this rule triggers an error for an independence simulation or update when the restriction region does not exist in independence unrecognized restriction region (ra1028) this rule triggers an error for an independence simulation or update when a covered person type of restriction is applied but no restriction attribute is provided, or multiple restriction type/restriction attributes are provided for the same compliance region and same type of restriction