Automated Restricted List Update Alerts
Every hour during trading hours, WebRun opens ComplySci to check every client's restricted list for additions or removals, files the updated, versioned list in Egnyte, and alerts your compliance team in Slack the same hour with the security, the client, and the reason code behind the change.
How do I alert my compliance team the moment a client's restricted list changes?
WebRun checks ComplySci every hour across your clients for restricted list additions and removals, files the updated, versioned list in Egnyte, and alerts your compliance team in Slack the same hour with the security, the client, and the reason code. It never adds or removes a security itself, so trading can be blocked the moment a human confirms the change.
- Restricted list changes reach your team within the hour, not the next morning
- Every version is filed and archived automatically for your audit trail
- Additions get flagged as more urgent so trading can be blocked in time
Built for investment adviser compliance consultants · outsourced chief compliance officers · broker-dealer compliance officers · RIA compliance teams
What does WebRun do on every run?
The exact actions WebRun takes, in order - in plain language, so you can adjust anything.
-
WebRun signs in and gets to work
Opens
app.comply.comin a real browser with your saved login - no setup, no API keys. -
1
ComplySci (COMPLY) - check for restricted list changes
comply.com
WebRun opens ComplySci (COMPLY) to check for restricted list changes. - Open ComplySci and check the restricted list for each client for additions or removals since the last check
- Capture the security, the client, the reason code, and the effective time for each change
- Read the list only. Never add or remove a security yourself
Done when Every restricted list change this hour is listed with its client and effective time.
-
2
Egnyte - file the updated list
egnyte.com
WebRun opens Egnyte to file the updated list. - Open the client's compliance folder in Egnyte
- File the updated restricted list document with today's date and version number
- Keep the prior version archived alongside it
Done when The current restricted list document is filed and versioned for every client with a change.
-
3
Slack - alert the compliance team
slack.com
WebRun opens Slack to alert the compliance team. - Post an alert the same hour naming the security, the client, and whether it was added or removed
- Tag your compliance team so trading can be blocked before the next order
- Flag additions as more urgent than removals
Done when Your compliance team has been alerted to every restricted list change within the hour.
How is each run configured?
Secure by default
Connect once, stays signed in
WebRun signs in once and keeps each session in a persistent environment, so every run picks up right where it left off.
Every action is checked against this policy before it runs.
Questions, answered
Can it add or remove a security from the restricted list?
No. WebRun only reads changes already made in ComplySci. Adding or removing a security is a compliance decision made by a human, not by WebRun.
How fast does the alert reach my team?
Within the hour. It checks ComplySci every hour during trading hours, so a change made at 10 AM reaches your team's Slack by 11 AM at the latest.
Does it keep a record of prior versions?
Yes. Every updated list is filed in Egnyte with a version number and date, and the prior version stays archived alongside it for your audit trail.
Related templates
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