Agents and Compliance Managers can withdraw a document that has been submitted for review, so the list of pending documents reflects what is actually waiting.
There are two different withdrawals. This article covers taking one document out of review. On guided compliance there is also Withdraw Submission, which works on the whole deal — see below.
Withdrawing one document
On your Documents tab, click the PENDING REVIEW button on the document you want to withdraw.
Click the Withdraw Review icon.
The cancellation appears in Document Notes, and the PENDING REVIEW button no longer shows on that document. The same icon is then how you submit it for review again.
Withdrawing the whole submission (guided compliance)
On guided compliance there is a second action, Withdraw Submission, on the deal's transaction approval status. It is a different thing from withdrawing a document:
It puts the deal's status back to Rep Docs Not Submitted or Not Submitted For Review.
It does not un-submit anything. Documents already pending review stay pending review.
Either side can do it — the agent or TC, and the Compliance or Commission Manager.
Use it when more documents need to go into the submission. It is covered in Reviewing Documents as a Compliance Manager.
Why a document did not go back in
Submit for Review sends every document that has a document type. A file sitting in the Inbox with no type selected is not submitted — that is the only thing that holds a document back.
The requirement list tells you which documents are still missing. It does not limit what gets sent: documents that do not match a requirement are submitted too, as long as they have a type.
So if you withdrew a document and it did not come back on the next submission, check its document type first. If the right type is not in the list, set it to Other. Setting a document type is covered step by step in Meeting a Document Requirement.
Before you resubmit
Two things decide whether the resubmission will go through.
The document has to be complete. A required document still In Progress blocks the submission. Your options — finish it, delete the task and upload the signed copy, or request an exemption — are in Submitting Documents for Compliance Review.
Your team needs someone in the Compliance Manager role. Documents cannot be sent for review otherwise.
You do not have to add the Compliance Manager to the deal. If they hold the role on your team, they are already on the deal — there is no second step.
If the Compliance Manager needs to look at a document before it is finished, send them a login link so they can open it. They cannot formally approve or reject it that way.
Related
Reviewing Documents as a Compliance Manager — approving, rejecting, and withdrawing a whole submission.
Submitting Documents for Compliance Review — sending the file for review, and why a submission is blocked.