Overview
This article looks at the various actions you may need to take after a positions file is uploaded.
Assignee and Status
FundApps provides actions to assign and progress results depending on the result type. After a position file is uploaded, all results are assigned the status of Unactioned. Each action shown below will change the status of the result and update the incident in the task list (for example): Generate and Disclose changes the status and task to Disclosing. The status of any result can be found on the right-hand side of the screen or by clicking on the result itself.
Actions
The table below shows which action can be applied to the most common result types and its impact.
Note: After taking one of the actions below (Reject, Verify, etc.), the result type will remain visible for information purposes.
Action | Disclosures | Warnings | Breaches | Description |
 | ✔ | ✔ | ✔ | Assigns the incident to yourself. The status of the incident will be set to Investigating. |
 | ✔ | ✔ | ✔ | It assigns the incident to the selected user. The incident's status will remain Unactioned until the selected user clicks Investigate. |
 | ✔ |
| ✔ | Changes the status from Unactioned to Rejected and closes the incident. However, the status cannot be reverted back to Unactioned but can be changed to Verified, Disclosing, or Filed by taking the appropriate actions (see below). |
 |
|
| ✔ | This changes the status of a breach from Unactioned to Verified and closes the incident. Once Verified, the status can still be Rejected at a later date. |
 | ✔ |
|
| This button sets the status to Disclosing and generates the disclosure document. Once clicked, it disappears and is replaced with the Generate Document button. The disclosure's status will be set to Disclosing, and this can be changed to Rejected or Filed. |
 | ✔ |
|
| This action re-generates the disclosure document that would have previously been generated when pressing Generate and Disclose. It does not change the document's status. |
 | ✔ |
|
| It sets the status to Filed and closes the incident. Once set, the status is irreversible and will permanently be marked as Filed. Hence, we recommend only setting the status after the disclosure has been sent out. Please note that a disclosure will still appear under the results when it has been filed. |
 |
| ✔ |
| This sets the status of a warning to Closed and closes the incident. Once set, the status cannot be reverted and will be permanently marked as Closed. |
 | ✔ |
|
| This sets the status of a Disclosure to Investigating.Once set, the user can reassign the incident to someone else, and the status will reset to Unactioned. The new assignee can then set the status to investigating. |
Comments
Comments are a good way to communicate with other members of your team within FundApps with regard to a specific result. If any of the above actions are selected by mistake, we recommend making a comment in order to keep a strong audit trail and provide context to the situation for future reference.
Additionally, if a Filed disclosure contains a mistake that critically needs to be fixed, please re-upload the positions file with a new Quantity. The old disclosure will be replaced with a new one where it can be correctly marked as Filed.
Attachments
Adding attachments to a result is good practice for audit purposes (both internally for the compliance team and externally when FundApps support is investigating a query or if a regulator is reviewing your compliance procedures).
Attachments can be added when filing a disclosure using the Upload file and confirm button or at any other point using the Attach button.
We do not support XLSM files; however, we support the other types of Excel files: XML, XLSX (will remove macros), and XLS (supports macros). The other file types that are supported as attachments to a result are CSV, PDF, DOC, DOCX, TXT, PPT, PPTX, TIF, PNG, GIF, ZIP, EML, and MSG.