Level 2 - Client & Account Investigation¶
Use this level when an order, complaint or monitoring signal needs client-specific context. The aim is to establish scope and evidence.
Scope and Investigation Path¶
Client / UID is not the same as an Account, and neither is the same as Client Stream.
| Scope | What it answers | Use it first when |
|---|---|---|
| Client / UID | Who is the client-level investigation scope, what contextual indicators are displayed, and how many related accounts exist? | A complaint, alert or unusual pattern may extend beyond one account. |
| Account | What is true for one trading account: its account conditions, balance, equity and current context? | You need to establish the facts for the specific account involved. |
| Client Stream | What client-facing price stream and quote evidence applies at a particular time? | The question is about a price, quote update or execution-price context. |
Start from the Client record, then use ACC and Account to identify the supported account scope. Do not treat one account as proof for every account under the same UID.
Level 1 supplies the Order ID and time. Level 2 establishes client and account scope, then gathers only the relevant order or quote evidence.
Where to Find the Evidence¶
The Clients page is the starting point for client-level scope. This simplified field map reflects the visible TradePass Client view; it deliberately contains no real client data.
- CLIENT identifies the parent investigation record. Use it to keep the evidence scope consistent.
- ACC shows that one client-level record may link to multiple accounts. Expand the review only when the evidence requires it.
- UPDATED helps establish when the displayed client context was current.
Account Facts¶
Move to the Account view after you have identified the client-level scope. An account is a specific trading account, not the whole UID / client population.
Identity, balance, equity and update time→2 INVESTIGATION
Positions, orders and historyOnly expand to transaction evidence when the incident question requires it. Keep each item tied to the specific Account ID.
CORE - Establish the account facts¶
Use the visible Account page to establish only the essential facts:
Account ID / Client / Group / Status / Balance / Equity / Updated
- Account ID identifies the specific account involved; include it in the evidence record.
- Client connects that account to the parent Client / UID scope.
- Group and Status are account context. Record what is displayed without assuming an internal configuration or cause.
- Balance and Equity describe different account conditions. Preserve the values with the timestamp; do not turn them into a root-cause finding. Use displayed P&L only as account context when it is visible and relevant.
- Updated establishes how current the displayed account information is.
INVESTIGATION - Locate transaction evidence¶
When the issue needs transaction evidence, use the relevant Account evidence entry to locate: Open Positions / Pending Orders / Order History / Closed Trades. These are places to find facts, not instructions to make a change.
At this stage, the question is simply where the evidence can be found and which account it belongs to. Keep the Order ID, product and time sequence together; do not assume that one order explains every account under the UID.
When Should I Review Other Accounts Under the Same UID?¶
Expand beyond the affected account when the evidence suggests a shared client-level pattern, for example:
- the same Client / UID has multiple accounts with complaints or order signals in the same time window;
- the same product, quote time or stream is relevant across related accounts; or
- a visible client-level context indicates that the impact may not be isolated to one account.
Keep the review limited to the affected account when the available evidence is specific to one Order ID, one account and one time window, and no related-account signal is present. ACC tells you related accounts exist; it does not itself prove that they are relevant.
Use Client Stream at the Right Time¶
Client Stream is a price-evidence view, not a substitute for Clients or Account investigation.
Use it after the client and account scope is clear, and only when you need to answer a quote-specific question such as: which client-facing stream was visible, what Bid / Ask was shown, and whether the update time can be reconciled with Symbol Overview and the relevant order evidence.
For a detailed guide, see Client Stream. For an involved order, check Decision Stream and first confirm which monitoring scope you are viewing.
Practical Scenario: One UID, Three Accounts¶
An order complaint is linked to Account A. The Client record shows that the UID has Accounts A, B and C. Account A has a relevant order in the complaint time window; Accounts B and C have no matching order or signal yet.
| Question | Correct investigation step |
|---|---|
| Which parent scope does Account A belong to? | Start in Clients and record the Client / UID context. |
| Do B and C automatically share Account A's finding? | No. ACC establishes related accounts, not shared evidence. Expand only if their orders, time window or signals are relevant. |
| What was true for Account A? | Preserve Account ID, Balance, Equity, group and update time as displayed. |
| Was the client-facing price relevant? | Only then use Client Stream with the symbol, Bid / Ask and timestamp. |
| Is an order involved? | Use the approved order or Decision Stream evidence view and keep the full time sequence. |
Authority Boundary¶
Dealers identify, verify, preserve evidence, escalate, follow up, validate the result of approved actions and complete handover. Controlled actions require formal approval and may only be performed by personnel explicitly authorised for the specific action.
Do not modify a client, account, group, score, tag, stream or trading setting while investigating. Do not explain internal control logic to a client.
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