Solutions
For teams serving many registrants
When one team prepares filings for many registrants, peak season is a capacity problem. Route each section, let the people who are free claim it, and keep the controls between registrants in the same workspace.
Peak-season capacity
Work goes to whoever is free
A stage can be routed to a role pool or a specialization, and its eligible members claim the section from their worklist.
- Pooled work waits in the worklist until an eligible member claims it.
- Every section moves at its own pace, so one late note does not hold up the rest.
Consistent workflows
Design the stages once, use them on every filing
A workflow template belongs to your organization, and its routing is set by filing type. Every filing of that type starts from the same stages, whichever registrant it is for.
- Stages in order, each routed to a person, a role pool or a specialization.
- One template applied across sections and filings.
Controls
Controls across every registrant you serve
Each registrant is an engagement, and the controls that keep one engagement apart from another belong to the workspace.
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Engagements
Each registrant you serve is an engagement, from proposal through to its wind-down.
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Independence checks
Independence is checked before an engagement can go ahead.
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Ethical walls
People on one side of a wall cannot open the entities on the other, whatever their role.
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Embargo and insider lists
Embargoed work stays closed, and the insider list records who had access.
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Segregation of duties
The person who prepared facts can be barred from reviewing or approving them.
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Audit trail of access and changes
Who changed what, and when, is recorded, and so is who read a filing before its release.
Registrants in the workspace
Your registrants review where the work is done
- Each registrant joins as its own organization, with reviewers of its own.
- Review and approval happen in the workspace, not over email.
Works with
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Section workflows
Route the section, not the email.
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Engagement controls
Engagements, independence checks, ethical walls, and embargo and insider lists.
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Review and validation
Fact-level review, blocking errors and warnings, and one view of what is left.
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Excel table tagging
Tag the table, not the cell.
Read more
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Pools, specializations and claiming
Staffing XBRL peak season with role pools and specializations: route each section to a group, let eligible members claim it, and keep the worklist in view.
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Section-level workflows for SEC filings
Why each section of an SEC filing needs its own review workflow: how to design the stages, decide who reviews what, and contain one late note.
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Information barriers in disclosure work
Independence checks, ethical walls, and embargo and insider lists around an SEC filing: what each control protects, and how teams apply them across their work.
See one section, end to end.
We'll take one note from a filing like yours from spreadsheet to reviewed, tagged disclosure in 20 minutes.