The Approval Requests section displays all filings that require your review and approval before submission.

These requests are created when the Addition Compliance (AC) team:

• Prepares filing documents
• Completes internal processing
• Submits filings for client review and approval

Use this section to:

• Review prepared filing documents
• Approve filings for submission
• Raise queries or request changes
• Assign internal reviewers
• Monitor approval workflow activity

This section acts as your primary decision-making workspace for filing approvals.

Understanding the Approval List

Each row represents a filing that has been submitted for your review.

The table helps you quickly identify:

• Which filings require action
• Current approval status
• Ownership and responsibility
• Submission urgency

Information Available

Each approval request displays:

• Filing Name & Entity
• Approval Status
• Reporting Type & Filing Cycle
• Submission Due Date
• Assigned Reviewer
• Last Updated Timestamp

This provides a quick operational overview before opening filing details.

Approval Status Types

Approval requests move through different review states during the workflow lifecycle.

Pending Review

Indicates that action is required from your side.

This means:

• Documents are ready for review
• Approval or feedback is pending
• Submission cannot proceed until review is completed

This should typically be your primary focus area.

Approved

Indicates the filing has been reviewed and approved.

Once approved:

• The filing proceeds toward submission
• No additional approval action is required unless changes are requested later

Query

Indicates that clarification, corrections, or changes have been requested.

This means:

• The filing has been returned for updates
• Additional review may be required after changes are completed

Assigning Team Members

Approval requests can be assigned to internal team members for review coordination.

Why Assign Reviewers

Assigning ownership helps:

• Delegate review responsibility
• Maintain accountability
• Keep relevant stakeholders involved
• Improve operational coordination

Assigned Team Members Can

• Monitor filing progress
• Participate in review workflows
• Review documents
• Collaborate during approval and query processes

Assigning reviewers early helps streamline approval workflows.

Viewing Filing Details

Use the action icons within the filing row to open the Filing Details panel.

Filing Details Panel

The details panel provides expanded filing information including:

• Submission deadlines
• Reporting type and jurisdiction
• Filing metadata
• Engagement scope
• Operational filing context

Use this panel before approving or raising queries to fully understand the filing.

Using Search & Filters

Approval Requests supports both search and advanced filtering.

Available Filters

You can filter approval requests by:

• Status (Pending Review, Approved, Query)
• Reporting Type
• Reporting Jurisdiction
• Investment Manager
• Submission Due Date

Common Use Cases

Filters are especially useful when:

• Managing multiple filings simultaneously
• Reviewing filings for a specific entity
• Focusing only on pending approvals
• Isolating jurisdiction-specific filings

Filters help reduce unnecessary scanning and improve review efficiency.

Recommended Workflow

To manage approval requests effectively:

1. Review the Pending Review section

   • Identify filings requiring immediate action

2. Open the Filing Details Panel

   • Understand filing context and operational details

3. Assign a reviewer if necessary

   • Delegate ownership internally

4. Review filing documents carefully

   • Approve filings or raise queries where needed

Next Steps

Once filings are reviewed, they can either:

• Proceed toward submission after approval
• Return to the Addition Compliance team for updates if queries are raised

Continue to the next guide to learn how to review and approve filing documents during the approval workflow.

Approving Documents