This article looks at the various actions you may need to take after a positions file is uploaded.

Contents

• Assignee and Status
• Actions
• Comments
• Attachments

Assignee and Status

FundApps provides actions to assign and progress results depending on the result type.  After a positions file is uploaded, all results are assigned the Status 'Unactioned.' Each action shown below will change the status of the result and it will update the incident in the task list (for example) i.e Generate and Disclose changes 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 below table shows which action can be applied to the most common result types and what the impact of this will be.

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.
	✔	✔	✔	Assigns the incident to the selected user. The status of the incident will still remain as 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).
			✔	Changes the status of a breach from Unactioned to Verified and closes incident. Once Verified the status can still be Rejected at a later date.
	✔			Sets the status to Disclosing and generates the disclosure document.Once this button is clicked it will disappear and be replaced with the Generate Document button. The status of the disclosure will be set to Disclosing and this can be changed to Rejected or Filed.
	✔			Re-generates the disclosure document that would have previously been generated when pressing Generate and Disclose.This action does not change the status of the document.
	✔			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 a disclosure will still appear under the results when it has been filed.
		✔		Sets the status of a warning to Closed and closes incident.Once set, the status cannot be reverted back and will permanently be marked as Closed.
	✔			Sets the status of a Disclosure to Investigating.Once set, the user can reassign the incident to someone else and the status will reset and go back 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 looking into a query or if a regulator is looking through 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 the other types of Excel files we support are: .Xml, .Xlsx (will remove macros), .Xls (supports macros). The other file types which are supported as attachments to a result are: .Csv, .Pdf, .doc, .Docx, .Txt, .Ppt, .Pptx, .Tif, .Png, .Gif, .Zip, .Eml, .Msg.