Sometimes a check gets done outside BrokerPlus: you verified someone's ID in person, screened them in your old system, or a client emailed a document straight to you instead of through a request. That work still happened, and the file still needs to say so. Recording it against the obligation clears it from the outstanding list without pretending BrokerPlus performed the check itself.
When You'd Use This
Use this whenever an obligation is genuinely satisfied but the evidence didn't come through a BrokerPlus request or portal, an AML screening you ran in another tool, an identity check done face to face, or a document a client handed you directly. It's not a shortcut around doing the work. The point of this form is that the method is named and attributed, so an examiner reading the file later can see exactly what stood in for a BrokerPlus-generated record, and who is vouching for it.
Recording How It Was Handled
Open the obligation and choose how it was handled: verified in person, handled in another system, the client sent it directly, or something else. Each option carries its own plain description of what qualifies. A note is optional for the first three, but required for "Something else" - a bare "done" tells an examiner nothing, and the note is where the evidence's actual location gets written down. The record is saved under your name, with a timestamp, and it goes into the compliance export.
This same form is how the AML screening obligation gets cleared for a borrower with no BrokerPlus screening on file at all, one of the few obligations that isn't blocking anything on its own but can still be recorded this way when you screened someone yourself.
Attaching a Document Instead
For a requirement you or your brokerage added to this specific file, a one-off ask, a library rule, or a signed disclosure, there's a second door: attach a document you already hold instead of describing how it was handled. The file joins this deal's regular documents, tagged as what answered the requirement. This only applies to obligations added directly to the file this way; built-in checks like identity, PEP or sanctions have their own dedicated review flows.
Where It Shows, and Undoing It
Everything recorded this way shows in its own section, separate from what BrokerPlus itself verified, each row with the method, your note, who recorded it, and when. If a record was made in error or the situation changes, undo it and the obligation returns to the outstanding queue. Nothing is erased: the audit history keeps both the original claim and the fact that it was withdrawn.
Common Gotchas
Picking "Something else" and leaving the note blank won't save. If the obligation isn't one this deal is actually asking for, you won't be able to record against it. Document evidence only works on obligations you or your brokerage added to the file, not on identity, PEP or sanctions checks.
What to Do Next
- Add an Obligation to One File first if the obligation you need to clear isn't on it yet.
- Tour the Compliance Record on a Deal to see what's still outstanding.
- Download the Compliance File for a Deal once everything is cleared.