A lender submission cannot pass while required borrower or deal compliance work is incomplete. Use the deal's compliance area for the specific parties, then use Compliance Hub for broader review and exceptions.
Complete Each Borrower's Record
For every individual borrower on the deal:
- Confirm the person is linked to the deal with the correct borrower role.
- Complete the required identity record and KYC details.
- Run AML screening, finish the risk-rating checklist, and resolve any result that blocks the AML gate.
- Capture lender-submission consent for that borrower.
A sanctions freeze blocks the submission. PEP, high-risk, or other escalated results may require EDD and review by a Compliance user or admin before work can continue.
Complete Deal-Level Requirements
Review the deal's compliance work for:
- required disclosures and acknowledgements;
- suitability documentation;
- identity or KYC gaps for controllers and other required parties;
- any custom compliance requirement shown for the deal.
Use the AML screening, Identity, Disclosures and Suitability views under the Checks section of Compliance Hub, and Rulebook under Setup, when you need to review the same work by province or across the brokerage.
Run the Submission Gate
Compliance is only part of readiness. The lender submission also requires at least one borrower, cleared or waived conditions, a classified document, a closing date, and a complete credit bureau result for every borrower.
Select Validate to see the current blockers. Submit to lender runs the same checks again, so validation does not reserve a pass if the deal changes afterward.
Do not work around a blocker
Open the named borrower, deal, or compliance record and correct the missing evidence. A reviewer should clear sanctions or EDD work only after the required investigation is complete.
What to Do Next
Continue with Triage the Tasks Page.