Pre-Computation and Post-Computation Compliance

APM has two optional methods to enforce compliance checks on broker credentials: Pre-Computation Compliance and Post-Computation Compliance. If either of these are enabled, they run as tasks in the Payout process in place of the Credentials Apply task.

A significant difference between using Credentials Apply and using pre- and post-computation compliance is the storage of the credentialling status. When using Credentials Apply, the results are stored in a separate table called CredApplyHistory. Each broker history record has its own CredApplyHistory record that is referenced during Payout.

In contrast, when using either pre-computation or post-computation compliance, the credentialling results are stored in fields on either TranHis or BrokerHistory.

Pre-Computation Compliance is used if you need to vary producer rates based on compliance checks. This process uses custom fields on the TranHis and BrokerHistory records to determine if the broker is in compliance before the commission amount is computed.

The Pre-Computation Compliance process flow is shown below.

1. During the Repost process, transactions that have never been reposted (TranHis), and reposted transactions that have been triggered for audit (RepostTranHis), go through the Pre-Computation Compliance process.
2. This process updates fields on the TranHis or RepostTranHis records.
3. These records then go through the computation process to populate, for example, commission amounts.
4. BrokerHistory records are updated with this data.
5. Finally, the Apply Holds process references the fields on TranHis and RepostTranHis that were updated by the process.

To enable Pre-Computation Compliance, enable the Pre-Computation Compliance selection in Global Features. To enable this, Credentialing must be enabled and the Credentials Apply and Post-Computation Compliance feature must be disabled. If this feature is enabled, all payout types will use pre-computation compliance.

Once you have enabled pre-computation compliance, the next step is to open the Payout Type record and create a mapping expression. The mapping expression contains a driver query that pulls in all the information about the broker, including licenses, appointments, education and certification, and stores this information in variables. It then checks for valid credentials and applies the results to fields in the TranHis and BrokerHistory record.

The image below shows the Pre-Computation Compliance tab that becomes available on the Payout Type if this feature is enabled. The SELECT fields allow you to select which fields to include in the mapping expression, while the UPDATE fields determine which fields are updated based on the validation in the mapping expression.

As the name suggests, post-computation compliance runs after, instead of before, the computation. This optional task allows you to replace the Credentials Apply task in the Payout process with your own custom compliance rules.

To enable Post-Computation Compliance, enable the Post-Computation Compliance selection in Global Features. To enable this, Credentialing must be enabled and the Credentials Apply and Pre-Computation Compliance features must be disabled.