Everything determined about a file, and everything still owed, can be pulled out as a PDF you can hand to a reviewer or a lender. The export button sits at the foot of the compliance record and reads from the exact same data the screen is showing, so the file you hand someone never disagrees with what's on your own dashboard.
When You'd Use This
Reach for this whenever someone outside BrokerPlus needs the file's compliance record as a document: a reviewer, an auditor, a lender, or your own files before a deal closes. It's a snapshot of where the file stands at the moment you download it, not a live link, so it's meant for handing off rather than for tracking ongoing status.
What the Record Contains
The export is a flat list of every question the compliance program asks about this file, answered or not. That includes the deal-level risk rating and every transaction and fraud question behind it, each applicant's identity, KYC, PEP, sanctions and AML screening results, consents by scope and by person, suitability, and every document requirement with its status. Anything recorded as handled outside BrokerPlus appears with its method, note, and who recorded it. A question with no answer prints as "not answered" rather than being left off, since a blank and a "no" are different facts a reviewer needs to tell apart. The activity history is pulled in full, not taken from the dashboard's capped recent list, so a slow page never means a partial file goes out.
Downloading It From a File
From the Compliance tab, scroll to Export at the bottom and click; BrokerPlus builds the PDF in your browser, stamped with the deal's reference number, your brokerage's name, the export date, and how far the history reaches. It downloads immediately. The Signing tab has its own separate export, below the signing register: every document in the file's signing packages, who it went to, and where each stands. It's a different button because it's a different question, and a broker asking for the compliance record doesn't want the signing packages stapled to it.
Why It Stays Brokerage Branded, and What's Left Out
The PDF is deliberately understated. Ink, borders and table shading are fixed neutral tones that never change, and only the accent rule under the title takes your brokerage's primary color. This is an internal record for an examiner, not a client-facing document, so it reads like a ledger rather than a marketing piece. It's also a record of determinations and status, not a bundle of the underlying evidence: documents you've attached or requested stay attached to the deal, and the export says what was asked for and whether it was satisfied rather than copying the files themselves. A firm-wide package built for an actual regulator submission is a different builder, assembled from Brokerage Compliance settings.
Common Gotchas
If the compliance snapshot or risk assessment hasn't finished loading, the export button stays disabled rather than producing an incomplete file. The signing export needs at least one document already in a signing package; with none, it tells you so instead of downloading an empty file.
What to Do Next
- Tour the Compliance Record on a Deal to see what feeds this export before you pull it.
- Review Compliance Across the Brokerage to build the firm-wide package a regulator would actually ask for.
- Export your other records for the deal, conditions and lender documents, from their own tabs.