Release Notes: Forms Oversight

This release simplifies some forms management oversight activities.

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Release Note

We've had forms oversight in SmartRIA for along time, but we're excited about this release because it simplifies some compliance tasks. Previously, when a compliance team member reviewed a form that was submitted by an employee, there were some options: Manage & comment, View, Accept, Reject. These worked fine, but the Manage and the View actions were on separate screens. This worked just fine, but if the CCO wanted to comment about a particular section, they had to remember what they wanted to address and the section they wanted to address. With this release, the CCO (or anyone on the compliance team) can easily add comments and perform other actions while viewing the form.

Here's an example:

When the form is originally accessed, the actions sidebar is open. The reason for this is that there may be relevant comments or history that the reviewer should know before reviewing the form. 

The sidebar can be easily closed or opened by clicking the tab:

The top of the panel has the relevant actions such as "Cancel", "Accept", and "Reject". Cancel takes you back to the report that lists the forms to be reviewed. Accept will mark that form as accepted, and Reject will pop up a place to add comments on why the form is being rejected and will mark the status as rejected and send it back the employee so they can fix it. The employee will be able to see the rejection notes. 

Commenting functionality has also been expanded. Comments can be added as part of rejection,or approval, or just as a historical note for the form. For example, a form may need some clarification

*** Form rejections no longer create alerts ***

Instead of creating an alert that the form was rejected, now, the employee simply has an item in their Action Items that says "My rejected Forms".  They will be able to edit the form and view the entire history and comments for the form. This is a major improvement because the comments used to be on the alert instead of the form. Now, the form, history and comments are all together.

 

Comments have been made separate from the actions, and a comment can be sent to the employee as a notification without accepting or rejecting the form by entering the comment and checking the "Send Notification" checkbox.  

The Advisor will get a notification:

The comment from the employee view:

 

If the employee responds with clarification, the compliance team will receive a notification.

 

The conversation can continue if needed, or the form can be accepted or rejected.

These actions are available in the panel and are also still available at the bottom of the form. 

 

The great thing about this release is that instead of having the comments and history with the alert, they are all in one place with the form. It's just one of many ways that we are continually improving in order to be the best at simplifying compliance.


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New Release - Forms Oversight