How to Request Changes on a Document
If a document shared by the Addition Compliance (AC) team requires clarification, correction, or revision, you can raise a query directly on the document.
This guide explains how to:
- Raise a query on a document
- Communicate with the preparation team
- Review revised documents
- Approve updated versions after resolution
Within a document request, you may encounter two document types:
| Document Type | Description |
|---|---|
| Approval Required | Requires approval or query action |
| Review Only | Shared for visibility only |
Queries are generally raised only on documents requiring approval.
When to Raise a Query
A query should be raised when:
- Filing data appears incorrect
- Information is incomplete or missing
- Clarification is required before approval
- Supporting details need revision
- Document updates are required before submission
Queries help ensure filing accuracy before regulatory submission proceeds.
Raising a Query
Each document row includes the following actions:
- View
- Raise Query
- Approve
Step 1 — Review the Document
Select View to inspect the document carefully before requesting changes.
Review:
- Filing data
- Entity coverage
- Supporting information
- Accuracy and completeness
Step 2 — Select “Raise Query”
Select the Raise Query action within the document row.
This opens the Raise Query slideout panel.
Step 3 — Describe the Issue
Within the query panel:
- Review the linked document
- Enter comments, corrections, or clarification requests inside the “What’s the issue?” field
Common Query Examples
Examples may include:
- Missing supporting information
- Incorrect values or figures
- Formatting concerns
- Clarification requests
- Missing disclosures or attachments
Clear and specific queries reduce unnecessary review cycles.
Step 4 — Submit the Query
Select Raise Query to send the request to the preparation team.
Once submitted:
- Document status changes to Query
- The preparation team receives a notification
- A threaded query conversation is created
Query Conversation Thread
All query communication remains attached to the same document thread.
This creates a centralized review history throughout the filing workflow.
Preparation Team Responses
The preparation team may respond with:
- Clarifications
- Explanations
- Revised documents
- Additional comments
- Supporting information
All updates remain visible within the same query thread.
Reviewing Revised Documents
When revised files are uploaded:
- The latest version becomes the active review version
- Previous versions may remain available in version history
- Updated files can be reviewed directly within the thread
Always review the latest uploaded version before approving.
Responding After Review
After reviewing the preparation team’s response, you can either approve the document or continue the query cycle.
Accept & Mark Approved
Use this option when:
- The revised document is accurate
- Clarifications resolve the issue completely
- No additional changes are required
Once approved:
- Document status changes to Approved
- The query workflow is completed
- The latest uploaded version becomes the approved version
Request Changes Again
Use this option when:
- Additional corrections are still required
- Clarification remains incomplete
- Further revisions are necessary
This continues the same query workflow until the document is finalized and approved.
Query Workflow Overview
Raise Query
↓
Preparation Team Reviews
↓
Clarification or Revised Document Shared
↓
Client Reviews Response
↓
Accept & Mark Approved
OR
Request Additional Changes
- Query discussions remain attached to the document thread
- Revised uploads may include version history tracking
- Documents remain in Query status until approved
- Approval after query applies across all linked entities
- Query actions cannot be limited to a single entity
Best Practices
To manage queries effectively:
- Clearly explain required corrections
- Reference exact sections or data points
- Review revised uploads carefully
- Keep discussions focused and actionable
- Approve only after validating all requested changes
Common Mistakes to Avoid
- Raising vague or incomplete queries
- Approving revised documents without verification
- Creating multiple overlapping query requests
- Assuming queries apply only to filtered entities
Query actions and approvals apply across all linked entities associated with the filing document.
Always validate entity scope before approving revised documents.
Next Steps
Once all queries are resolved and documents are approved:
- The filing proceeds toward submission by the Addition Compliance team
- Finalized filings later appear in Filing History
- Submission receipts and filing records become available for reference
Continue to the next guide to learn how to monitor upcoming deadlines and track future filing activity.