How do I override a pre-trade compliance check for an order?

Providing you have suitable access control permissions, you have the option to override a failed compliance check for an order in the Order Blotter.

To do this, you must:

1. Create and assign a policy to users you want to allow to override compliance

2. Override via the Order Blotter

Step 1: Create a policy to allow selected users to override compliance

1. Navigate to Identity & Access > Policies and click Create policy.

2. Specify a unique Policy code, for example allow-compliance-override.

3. Select the JSON tab and supply the following JSON:
   

   {
       "description": "Policy to allow overriding compliance on an order",
       "applications": [
           "Website"
       ],
       "grant": "Allow",
       "selectors": [
           {
               "idSelectorDefinition": {
                   "identifier": {
                       "code": "complianceOverride",
                       "scope": "order"
                   },
                   "actions": [
                       {
                           "scope": "default",
                           "activity": "modify",
                           "entity": "order"
                       }
                   ]
               }
           }
       ],
       "when": {
           "activate": "2019-07-15T22:00:00.0000000+00:00",
           "deactivate": "9999-12-31T00:00:00.0000000+00:00"
       }
   }

4. Click Save.

5. Follow these steps to:

   1. Assign the policy to a new or existing role.

   2. Assign that role to any users you want to allow to override compliance on orders.

Step 2: Override compliance via the Order Blotter

To override a compliance check on an order:

1. Navigate to Portfolio Management > Order Blotter as a LUSID user who has been granted the policy in step 1.

2. Select Edit on the order you want to override a failed compliance check for.
   

3. Tick the Override compliance check checkbox and specify the reason for the override.
   

   Note

   If you cannot see the override checkbox, ensure the policy and role in step 1 are assigned to your LUSID account.

4. Click Save.

Once saved, you can rerun the Run compliance check. LUSID will display the compliance failure again, but upon closing the popup the compliance status shows as Manually approved and you can proceed with placing your order in the market: