A regulatory submission record keeps together everything submitted to a regulator, the correspondence that followed and the final outcome.

Regulatory processes can run for months, with submissions, follow-up questions and responses spread across emails and folders. When the client or the regulator later asks what was provided, finding the answer can take hours.

Compile submissions, correspondence and the final decision into a single indexed binder.

Use sections for each stage of the process, such as the initial submission, information requests and responses, and the outcome.

With a clear index, you can find any document in seconds if questions arise later.

Export the record to your document management system, or share it with the client for their compliance file.

Once a change in control notification or authorisation application is approved, the submissions, correspondence and approval can be compiled into a binder for the client's compliance file or the deal bible.

Merger control and foreign investment filings can be kept in a clear, indexed record.

Documents produced to a regulator can be organised and indexed so you always know what was provided and when.

Explore the Binders collection on the knowledge base to create your first binder.

💬 If you need any further assistance, reach out to customer.success@legatics.com.