Approve a CMP / Client Money compliance record
Convert a reviewed intake into an approved compliance record only after mandatory evidence checks pass.
Before you start
Compliance View opens the workspace; Create is used for new intake, Edit for review/approval and Delete for deletion. Each action also validates its record.
Follow these steps
- Open the reviewed intake and verify its linked property or entity.
- Approval requires a provider, membership or certificate reference, expiry date, client-account institution and confirmed website display. Branch display must be confirmed or marked not applicable.
- Use the approval action once and read the full result, including delivery warnings.
- Open the resulting approved compliance record and verify its dates, evidence and generated PDF.
Fields, rules and limits
- Approval requires a provider, membership or certificate reference, expiry date, client-account institution and confirmed website display. Branch display must be confirmed or marked not applicable.
- Source uploads accept PDF, JPG, JPEG, PNG or WebP up to 20 MiB per file through the compliance validator; host or form limits may be lower. A successful extraction is a review aid, not an approval.
Check it worked
The linked entity, saved state, dates and evidence match the intended task.
If something does not look right
If the expected result is missing, check the saved record, the current workspace and the action’s permissions. Record the exact validation message; do not repeat a state-changing action until you know whether the first attempt saved.
Questions and answers
Does a parsed document count as approved?
No. Parsing supplies suggested values. A reviewer must verify the linked entity, evidence and required fields, then use the separate approval action.
Is the generated PDF the original certificate?
No. The system PDF reflects the saved compliance record or notification. Open the original source evidence separately when checking the document supplied.