Brokerage > Compliance can turn the whole program into one branded PDF - the officer list, the program's configuration, and the counts a regulator would ask for across screenings, EDD, sanctions and monitoring - and either email it straight to your designated officers or download it. The Compliance Program Package card lives on the Export tab, is admin-only, and stays locked until compliance setup is finished.
When You'd Use This
Reach for it when an officer asks for a snapshot of the program, ahead of a regulator inquiry, or any time you want a dated record of where the program stood.
What the Package Contains
It covers the officer list and who prepared it, the program's configuration (operating provinces, rescreening cadence by risk level, whether auto-screening on import is on, the effectiveness review due date, and which of the five required documents are on file), candidate counts split into total, active and frozen, screenings grouped by status and by risk rating, EDD cases and monitoring alerts by status and severity, and how many training records are complete.
Generating and Sending It
Select Generate & send package. BrokerPlus renders it and emails the PDF to every active designated officer who has an email on file, with a one-line summary of client count, open EDD cases and monitoring alerts in the message body. Sending is refused if the program has no active officer designated - appoint one first.
Downloading It Instead
Select Download PDF for the same document straight to your machine, with no round trip through anyone's inbox. This is often the faster path, since the admin generating the package is frequently the designated officer themself.
When Email Delivery Is Not Set Up
If this deployment has no email service configured, generating and sending answers back that nothing was sent rather than failing outright, and the card tells you to download instead. The document itself is unaffected - the same package is one click away as a PDF either way.
How It Differs From a Compliance Export
This package is one formatted PDF built for handing to a person: a point-in-time snapshot of the program's shape, not the underlying records. A compliance export, built from the export builder above this card on the same Export tab, is the opposite tool - a zipped set of per-section CSVs (concerns, EDD, alerts, screenings, requirements, program, activity), filtered by date range and team, for producing the actual rows behind a request. Reach for the package when you need the program described; reach for an export when you need the rows themselves.
What to Do Next
- Upload Your Program Documents so the package's document checklist has something to show.
- Export Your Compliance Records when you need row-level detail instead of a summary.
- Download the Compliance File for a Deal for a single file's own record rather than the whole brokerage.