BrokerPlus ships a fixed set of disclosures and checks, but almost every brokerage layers its own rules on top - a private lender's source-of-funds letter, an internal attestation, a form only one team uses. A custom requirement lets you define one once, in a reusable library, and decide how it's satisfied and who it reaches.
When You'd Use This
Reach for this when a rule you enforce isn't a built-in check - something a lender relationship demands, something your errors-and-omissions carrier wants documented, or a house form one team fills out. Build it from the Compliance Hub's Rulebook view, under the Setup section, or open the same modal from the Documents view to replace a built-in disclosure with your own version. Everyone can create a requirement for their own team; only a compliance administrator can make one reach the whole brokerage.
Setting Up the Basics
- Select Add requirement on the Rulebook view, which opens the Add custom requirement editor.
- Give it a Name and describe what must be on file - the description tells a broker what to collect.
- Pick the checkpoint it blocks: Intake + credit, Lender submission, Commitment + signing, Funding, or File close. Anything before Lender submission must clear before the file goes out.
Choosing How It's Satisfied
A requirement is either collected or signed, never both, changing what a broker sees on the file.
Pick Collect a document when you need evidence on record. Choose its record class - deal file, consent, identity verification, AML screening, disclosure, or suitability - which the retention scanner reads to set how long to keep it, and tick "What they send back must be signed" if an unsigned copy shouldn't count.
Pick Send a form to sign when you want BrokerPlus to generate the request. Upload the PDF, then drag signature and date fields onto it as on any signing form. A field labeled "Drafting instructions" lets you describe the tone, wording, and facts the assistant should lean on - it only touches the fields that are drafted for you, since financial figures and attestations always come from deal data or what the broker types in.
Replacing a built-in document
"Replace a built-in document" swaps the document only - BrokerPlus keeps that disclosure's legal trigger, deadline, waiting period, and gate. The checkpoint picker disappears here since the built-in's is already set.
Deciding Who It Applies To
If your brokerage runs more than one team, you'll also choose who the requirement reaches: Everyone, or a specific team. Setting it brokerage-wide is restricted to compliance administrators - if you don't see that option, you're creating it for your team only, which is exactly right for a rule that's really just your team's. A single-team brokerage skips this question.
Apply automatically adds the requirement to every matching file instead of leaving it for a broker to pick by hand, and you can narrow that by province or deal type - leave both blank and it applies everywhere.
Common Gotchas
- Add requirement stays disabled until you type a name. Nothing else blocks saving.
- Titles must be unique within their own scope. Two teams can share a name; one team can't have two, and BrokerPlus refuses the second.
- Switching between "Collect a document" and "Send a form to sign" drops what you built for the other mode. Expect to redo the record class or document if you flip back.
What to Do Next
- Choose Who Gets a Compliance Alert so the right people hear about it once live.
- Appoint Your Compliance Officers if nobody owns the library yet.
- Assign Compliance Reviewers so someone can sign off on files this requirement touches.
- Review the Documents BrokerPlus Prepares to see the built-ins this flow can replace.