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Regulatory Filing is the Reporter page where you file regulatory documents. Reporter keeps the contract of each document: the fields that its file needs. You activate a document, map your tables and columns to its fields, and generate a draft. Then you correct the draft if necessary and approve it. The approved draft becomes the filing. A filing is made for an institution. Register at least one institution on the Institutions page before you activate a document.

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Open Regulatory Filing

In the left-side menu of the Reporter page, click Regulatory Filing. The page has two panels:
  • Document catalog: the documents that this environment can file. Each card shows the title and the version of the document. The card also tells you if the document includes a reference mapping from Lerian. With a reference mapping, you correct it. Without one, you map the fields from the start.
  • Your subscriptions: the documents that you file. The table shows Document, Adopted version, Mapping version, Status, Readiness, and Actions. Status is Active or Inactive.
When the catalog is empty, no regulatory document is mounted in this environment. An administrator mounts the regulatory catalog on the Reporter service.

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Activate a document

1

Open the dialog

On a card of the Document catalog, click Activate. The Activate document dialog opens.
2

Choose the institution

With one institution, the dialog uses it. With several, choose the institution that files the document.
3

Choose the version

Leave Version empty to pin the newest published version. To pin a different version, type it.
4

Activate

Click Activate. The Document activated dialog shows what the starting mapping can read now, and what it cannot read.
Activation pins the version. To change it later, use Adopt another version. See Manage a subscription.

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Map the fields

In the menu () of a subscription, select Open mapping. The mapping page has two sections:
  • What this mapping reads: the queries of the mapping. Each query reads one table of one of your Data Sources. To add a query, click Add query.
  • What the document asks for: one row for each field that the regulator declares. For each set, choose the query that fills its rows. Then choose where each field is read from.
Click Save mapping. If Reporter refuses the mapping, the page shows the reason and keeps your changes.

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Check readiness

In the Readiness column of an active subscription, click Check now. Reporter checks the mapping against your databases as they are now. The result opens under the row. To check again, click Check again.

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Generate a draft

1

Open the dialog

In the menu () of an active subscription, select Generate a draft.
2

Fill in the parameters

The document sets the parameters that the filing needs. Write a competency month as YYYY-MM and a date as YYYY-MM-DD. Some documents are filed for specific months. The field tells you which months.
3

Generate

Click Generate. The Draft generated dialog lists the blank fields. A blank field is a field that the mapping could not fill. It is not a generation failure.
4

Open the filing

Click Open the filing.
The draft is a Report with the status Draft. It also shows on the Reports page.

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Correct and approve the filing

The filing page shows the status, the blank fields, the Corrections, and the Provenance. Provenance shows the document, the document version, the mapping version, the generation time, the parameters, and the file checksum (SHA-256). While a required field is blank, you cannot approve or download the filing. The page lists each blank field.

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Correct a figure

1

Open the dialog

On the filing page of a Draft, click Correct a figure.
2

Find the figure

Enter the Set and the Field. To select a row, click Add a key for each key of the row, and enter its Key and Value. Leave the keys empty for a set with one row.
3

Enter the correction

Enter the Corrected value. Under Why (recorded in the audit trail), write why the figure changes. The reason is mandatory.
4

Apply

Click Apply correction.
Reporter builds the file again from the same rows, so no other figure changes. Corrections shows each change, who made it, and the reason.

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Approve the draft

1

Open the dialog

On the filing page of a Draft, click Approve. The Console hides Approve while a required field is blank.
2

Confirm

Click Approve as the filing.
The draft becomes the filing, with the status Final. A Final filing refuses corrections, and its provenance does not change.

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Manage a subscription

The menu () of an active subscription also has these items:
  • Set institution: changes the institution for the next filings. Reports already generated keep their institution. This item appears when the tenant has several institutions.
  • Adopt another version: changes the version that you file. Leave Version to adopt empty to take the newest published version. Reporter refuses a version that does not exist. Filings already produced keep their version. After you adopt a version, the dialog shows what the new version does to your mapping.
  • Deactivate: stops the filing of the document. The subscription stays in the list as Inactive. Nothing is deleted, and reports already generated from it stay readable.
To restore an inactive subscription with its mapping and version, click Reactivate on its row. When the document has no active subscription, its catalog card also has Reactivate. The card also offers a new subscription. It shows Start from Lerian’s mapping when the document includes a reference mapping, and Start from an empty mapping when it does not. The mapping that you edited stays saved on the deactivated subscription.

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Permissions

Opening the Regulatory Filing page needs regulatory:get. Activating or reactivating a document, generating a draft, correcting a figure, and adopting another version need regulatory:post. Mapping its fields and setting its institution need regulatory:put. Deactivating a subscription needs regulatory:delete. Approving a draft needs regulatory-approval:post.

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Next steps