C25. Compliance - Creating Documents


All Compliance Document can be created with VowNet.

1. Go to Create Documents (either in Deal View or Broker Tools View)

2. Select the document

3. Press Create (if success you we see this message)

TROUBLESHOOTING

If the document is not available then you haven’t filled in the minimum amount of information in the Deal View section. Make sure you have filled out all the fields. Check you have added the following fields:

  • Objectives

  • Security & Funding Worksheet

  • Compared Loans & ticked the Preferred Loan

  • Commissions

  • Compliance Fields (mandatory for compliance documents) Advice / Conflict of Interest / Not Unsuitable

Compliance Topics