When a brokerage activates compliance for the first time, the agents already have a book of clients in BrokerPlus who haven't been screened. The walkthrough is how you bring those existing clients into the new compliance program - efficiently, in batch.
When The Walkthrough Applies
You'll see the walkthrough offered after:
- You've activated compliance for the brokerage (Activating Your Compliance Program).
- You have existing imported clients who pre-date the activation.
If your brokerage activated compliance from day one and never imported pre-existing clients, you don't need the walkthrough.
Opening The Walkthrough
- Go to Brokerage > Compliance.
- After activation, you'll see a banner: Walkthrough Pending: X clients need initial screening.
- Click Start Walkthrough.
What The Walkthrough Does
The walkthrough surfaces every un-screened client in batches:
- For each client, you complete the risk rating checklist.
- You optionally capture or send a PEP attestation if flagged.
- You confirm and the screening runs.
- The walkthrough moves to the next client.
You can pause and resume - the walkthrough remembers where you left off.
Reviewing And Rating In Batch
For most existing clients, the rating is quick - you already know them:
- Stable, long-standing clients → typically Low risk, 3-year re-screening.
- Newer clients with less history → typically Low or Medium risk.
- Anyone with a known PEP connection or unusual profile → handle individually with appropriate flags.
The walkthrough is designed for batch speed, not deep review.
What's Left After The Walkthrough
After completing the walkthrough:
- Every imported client has been screened and assigned a risk level.
- Re-screening cadences are scheduled automatically.
- Any EDD-triggering screenings have opened EDD cases for you to work.
- Any sanctions hits have created incidents for you to resolve.
The compliance program is now active and your brokerage is in steady state.
Adding Clients Going Forward
New clients added after the walkthrough don't go through the walkthrough - they're screened individually as they're added. See Running A Screening On A Client.
What To Do Next
- Work any flagged EDD cases: Managing EDD Cases.
- Resolve any sanctions incidents: Sanctions Incident Handling (Admin).