Raising & Managing Queries
This guide explains how to raise queries on filing documents, collaborate with the Addition Compliance (AC) team, and manage query discussions during the approval process.
Queries should be raised when:
- Filing data requires correction
- Information is unclear or incomplete
- Clarification is needed before approval
- Additional review is required before submission
Queries help ensure filing accuracy before regulatory submission proceeds.
Raising a Query
Queries can be raised directly from documents that require approval.
Step 1 — Select “Raise Query”
Within the document row:
- Select Raise Query
This option is available only for documents requiring approval action.
Step 2 — Enter Query Details
A query side panel will open.
Use the “What’s the issue?” field to describe the problem clearly.
Recommended Query Details
When raising a query:
- Mention affected sections
- Identify incorrect or missing data
- Provide clear correction instructions
- Include operational context where necessary
Specific queries help reduce unnecessary review cycles and speed up resolution.
Step 3 — Submit the Query
After entering query details:
- Select Raise Query
Once submitted:
- Document status changes to Query
- The query is sent to the AC preparation team
- Filing workflow returns for review and updates
Query Conversations
Each query creates a dedicated threaded conversation attached to the document.
This allows all review communication to remain centralized within the filing workflow.
Information Available in the Query Thread
The conversation thread may include:
- Your query messages
- Responses from the AC preparation team
- Updated documents
- Attachments or supporting files
- Workflow-related updates
This provides a complete history of review discussions and filing changes.
Responding to Query Updates
Once the AC team responds, you can continue the review process directly from the query thread.
Available Actions
Accept & Mark Approved
Use this option when:
- Requested corrections have been completed
- Filing information is accurate
- No additional changes are required
Once approved:
- The filing proceeds toward submission
Request Changes
Use this option when:
- Additional issues remain unresolved
- Further clarification is required
- More updates are needed before approval
This continues the query review cycle until the filing is finalized.
Query Lifecycle
The typical query workflow follows this process:
- Query is raised
- AC team reviews the request
- Updates or clarifications are provided
- Client reviews the response
- Filing is either:
- Approved
- Or returned for additional changes
This workflow continues until the filing is finalized and approved.
Reviewing Existing Queries
To reopen or review an existing discussion:
- Select Review Query from the document row
This opens the complete conversation history associated with the filing document.
Use this to:
- Track review progress
- Monitor responses
- Review previously discussed issues
- Validate updates before approval
- Queries are linked to documents, not individual entities
- Actions apply across all linked entities associated with the document
- Filing statuses update automatically based on workflow actions
- Approval workflows cannot proceed until active queries are resolved
To manage queries effectively:
- Raise clear and specific queries
- Reference exact sections when possible
- Review updated documents carefully
- Approve only after validating corrections
- Keep discussions focused and actionable
Common Mistakes to Avoid
- Raising vague or unclear queries
- Approving documents without reviewing updates
- Assuming queries apply only to filtered entities
- Creating multiple overlapping query threads unnecessarily
Queries apply across all entities linked to the filing document.
Always review linked entity scope before requesting changes or approving updates.
What Happens After Query Resolution
Once all queries are resolved and documents are approved:
- Filing workflows continue toward submission
- Addition Compliance completes the submission process
- Finalized filings later become available within Filing History
Next Steps
After approvals and query workflows are completed, finalized filings can be reviewed from the Filing History section.