Deal state is the compliance hub's cross-deal queue: every active file, plotted against what it still owes across identity verification, consent, disclosures, and suitability. It answers "which files need something" for the whole book in one screen instead of checking a deal at a time. Nothing here is a submission verdict - it reports counted obligations and links out to each file's own compliance record, where the real gate decision lives.
When You'd Use This
Open this queue at the start of a review pass, or any time you want to know how much is outstanding across your active files rather than opening them one by one.
What the Four Counters Mean
Active files counts every open file in scope, up to the 200 most recently created - older ones are left off, and the page says so when it's truncating. Nothing outstanding is how many of those owe nothing at all. Owe something is how many carry at least one open item, and clicking it filters the list down to those. Awaiting your review is narrower: files holding an identity check flagged for a person to decide, and clicking it filters to just those.
Grouping by File or by Obligation
A toggle above the filters switches the list's shape. By file lists each deal once, with every open item shown as a pill beside it. By obligation flips the axis into four groups, one per domain, each listing the files that owe that specific thing. Chasing every outstanding consent across the book is one question; checking one file's full picture is another, and grouping decides which one you're asking before any filter narrows it further.
Narrowing the List
Search matches a file's reference number or display name. Province, obligation type, and - once more than one broker has an active file - assigned broker narrow further. The broker list is drawn from files actually in the queue rather than your whole roster, so it never offers a name that would return nothing. Needs work only is on by default and hides anything with nothing outstanding; Awaiting my review layers on top of it.
What Each Row Tells You
A row carries the file's reference and display name, its broker, its province, its party count, and its outstanding items as labelled pills, each naming its own count - "2 of 3 parties unverified." A waiting-period column shows the soonest disclosure clock still running on that file. Clicking a row opens the deal's own compliance tab, which is where you act; the queue only tells you what's owed and where to go next.
What To Watch Out For
- A corporate or trust party carries no identity or consent obligation of its own, so it's never counted toward either domain - only individual parties are.
- The 200-file cap is on the most recently created active files. If your book runs larger than that, a note under the list tells you it's showing a partial view.
What to Do Next
- Navigate the Compliance Hub for the other three sections.
- Tour the Compliance Record on a Deal to see one file's full picture, and to actually clear what this queue lists.
- Send the disclosures a deal requires to close out an outstanding disclosure from the queue.
- Verify a client's identity to clear an identity review.