Approving Documents
This guide explains how to review and approve documents shared by the Addition Compliance (AC) team before filing submission.
When filing preparation is completed, the AC team sends documents to your organisation for review and approval.
You are responsible for:
- Reviewing filing documents carefully
- Verifying accuracy and completeness
- Approving filings before submission
- Raising queries when corrections or clarification are needed
Approval is a critical step within the filing workflow before submission can proceed.
Understanding Document Types
Documents shared for review fall into two categories.
Approval Required
These documents require action from your side before filing submission.
Available actions include:
- Approve
- Raise Query
These documents must be reviewed and processed before the filing workflow can continue.
Review Only
These documents are shared for visibility purposes only.
Characteristics:
- No approval action is required
- Documents can only be viewed
- No workflow decisions are attached
These are informational documents provided as part of the filing package.
Filtering Documents
You can filter documents by:
- Investment Manager (IM)
- Fund
This helps narrow document visibility to specific entities when reviewing filings with large organizational structures.
Multi-Entity Approval behaviour
A single document may be linked to multiple entities, including:
- Investment Managers
- Funds
Important Approval behaviour
When a document is approved:
- Approval applies across all linked entities
- Approval cannot be limited to a single entity
- Entity-level filtering does not change approval scope
Example
Even if:
- You are viewing a single filtered IM or Fund
The approval still applies to:
- Every entity linked to that document
Always review linked entity scope before approving documents.
Approving a Document
Step 1 — Review the Document
Select View to open the document and verify:
- Filing information
- Entity coverage
- Accuracy of submitted data
- Supporting details
Documents should always be reviewed before approval.
Step 2 — Select Approve
To approve a document:
- Select Approve on the document row
Or:
- Use Approve All Required to approve multiple required documents simultaneously
Step 3 — Confirm Approval
A confirmation modal will appear displaying:
- Selected documents
- Linked entities
- Approval confirmation details
Once confirmed:
- Document status changes to Approved
- Filing workflow progresses toward submission
Bulk Approval
The Approve All Required option:
- Approves all documents marked as Approval Required
- Ignores Review Only documents automatically
Recommended Usage
Bulk approval should only be used when:
- All required documents have been reviewed carefully
- Entity scope has been validated
- Filing accuracy has been confirmed
Avoid bulk approval without reviewing documents individually first.
Changing Approval Status
Approval decisions are not permanently locked.
Documents can move between statuses during the review lifecycle.
Supported Status Changes
| From | To |
|---|---|
| Approved | Query |
| Query | Approved |
Example Use Cases
- Additional issues discovered after approval
- Corrections completed following a query
- Updated documents requiring re-review
This flexibility helps maintain accurate review workflows during filing preparation.
Common Mistakes to Avoid
- Approving documents without reviewing them
- Assuming approval applies only to the currently filtered entity
- Using bulk approval without verification
- Ignoring linked entity scope
Document approvals apply across all linked entities associated with the filing document.
Always review entity scope before approving.
What Happens After Approval
Once documents are approved:
- Filing workflows continue toward submission
- Addition Compliance proceeds with filing completion
- Submitted filings later appear in Filing History
After submission, completed filings can be accessed from:
There you can:
- Review submission details
- Download filing receipts
- Access regulatory acknowledgement documents
Next Steps
If issues or corrections are required during review, continue to the next guide to learn how to raise and manage filing queries.