Verifying User Submissions

Each user's submitted reports (Initial Holdings, Annual Holdings, Quarterly Transactions) require review by an Admin user. To view submissions from the admin mode, navigate to "Certifications" and select "Report Submissions". All unsubmitted reports appear in the first tab. Chose the "Unverified Report Submissions" tab.

Submissions can be filtered using the various fields across the top. Filter options include- Users, User Groups, Report Type (Quarterly Transactions, Initial Holdings, etc.), if the submission has Notes or Files Attached, and Date Range.

Select "View" next to the report submission that you would like to view and verify.

The report columns can be each be sorted alphabetically or numerically by using the arrows associated with each column. All non-compliant transactions display in red and compliant transactions in blue. To learn more about customizing your firm's compliance settings, click here.

Clicking on a non-compliant record directs to a new page displaying the reason for non-compliance. If the transaction should be marked as compliant (e.g. the user received approval via email), select the “Mark Compliant” button at the bottom.

A non-compliant transaction can also be marked as "Resolved." A resolved transaction is still considered non-compliant, but offers a way to note that the issue has been addressed. 

Admins have the option to leave a note on report submissions by clicking "Add Note." Notes that are left by an admin can be private for admins or public to the user by choosing the "Visible to user" checkbox. 

If your firm has more than one admin user, you do have the option to tag another admin in a comment. Type "@" followed by the admin's name and select the admin you would like to add. Once you add the note, the tagged admin will receive an email notifying them that they have been tagged in the note. That admin user can then go in to view and reply to your note. 

Notes can be edited/deleted after they have been added. Click the pencil icon to edit the note or the user visibility. Click the red trash icon to delete the note.

 

Select the “Verify” button to review the submission. Select "Reopen Report" if the report needs additional information added in.

Once a report is verified, it will appear in the "Verified Report Submissions" tab. It will then show the date it was verified and who it was verified by.