Managing Tools: Access and Compliance
Tool restrictions allow home offices to control which features users can access and generate within YCharts, giving firms tighter oversight without added manual review. Any individual tool can be restricted or turned off entirely, with these settings configured at the firm level. This gives home offices the flexibility to align YCharts' toolset with their firm's specific compliance policies. Below are some of the most common tool restrictions home offices enable.
Report Builder
Report Builder offers the most flexibility of the three tools. It can be disabled entirely, restricted so users can only access and generate firm-approved reports, or left fully open with a watermark automatically applied to any report a user creates that has not been firm-approved. The watermark option allows firms to maintain full auditability without limiting user access.
Can be disabled: Yes | Can be restricted to firm-approved reports only: Yes | Watermark on non-approved reports: Yes
Talking Points
The Talking Points tool can be disabled entirely, or restricted so that users can only access firm-approved talking points rather than the full library.
Can be disabled: Yes | Can be restricted to firm-approved content only: Yes
Scenarios: Global Footer for PDF Exports
Content configured in this Admin field is automatically included in the footer of any Scenario exported to PDF from the Scenario Tool. Once saved, it applies globally without any additional action required at the report level.
Customizable: Yes | Applies automatically: Yes
Interactive Analysis Tool
The Interactive Analysis Tool can be disabled entirely for firms where it does not align with compliance requirements. For firms that keep it enabled, it is compliant with SEC Marketing Rule 206(4)-1.
Can be disabled: Yes | SEC Marketing Rule 206(4)-1 compliant: Yes
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