Exempt Edge

ID Expiring (issued 30 days prior to ID expiring)

Investor Portal (includes activation, deactivation, and linking)

OTC Application signed (requires OTC Integration feature)

1. Active
2. Deceased
3. Document uploaded by another user
4. Do not Contact
5. ID Expiring (issued 30 days prior to ID expiring)
6. Investor Portal (includes activation, deactivation, and linking)
7. Note added by another user
8. OTC Application signed (requires OTC Integration feature)
9. Profile Merged
10. Profile Updates
11. Profile assigned to you

1. All transaction types
   1. All transaction statuses

KYC (requires activation of KYC feature)

1. Draft
2. Pending Activation
3. Active
4. Out of Range (issued 30 days prior to out of range date)
5. Expiring (issued 30 days prior to expiry date)
6. Expired

1. KYC Status is Changed
 1. Draft
 2. Pending Activation
 3. Active
 4. Out of Range (issued 30 days prior to out of range date)
 5. Expiring (issued 30 days prior to expiry date)
 6. Expired
2. Compliance Approval status

KYP (requires activation of KYC feature)

1. Approved Date
2. Expiry Date (issues 30 days prior to expiry date)
3. View Access status

1. Purchase Transactions
   1. Available for Purchase status
   2. Active Date change
   3. Days until Expiry change
   4. Significant Change
2. Non-Purchase Transactions
   1.  Available for Purchase status
   2. Active Date change
   3. Days until Expiry change
   4. Significant Change

1. Advisor KYP
 1. Approved Date
 2. Expiry Date (issues 30 days prior to expiry date)
 3. View Access status
2. Offering KYP
 1. Purchase Transactions
 1. Available for Purchase status
 2. Active Date change
 3. Days until Expiry change
 4. Significant Change
 2. Non-Purchase Transactions
 1. Available for Purchase status
 2. Active Date change
 3. Days until Expiry change
 4. Significant Change

1. Offering Detail Update
2. CMV Update
3. Document Uploaded

EE-Sign (requires activation of EE-Sign feature)

For more information on this feature, please refer to the article below:

This article highlights all of the notification setting options available to Advisor users within the Exempt Edge system.