How to Review & Resolve Compliance Notes in Dotloop

How to Review & Resolve Compliance Notes in Dotloop

After you submit your transaction folders for review in Dotloop, Dalton Wade's Compliance Team may leave notes identifying missing documents, required corrections, or other compliance concerns.

Reviewing these notes promptly helps you address outstanding issues and avoid unnecessary delays in transaction and CDA processing.

For an explanation of the different folder statuses, see Dotloop Folder Statuses: What They Mean & When to Take Action.

How to Review Your Compliance Notes

You can review notes from Dalton Wade's Compliance Team using either of the following methods.

Method 1: Compliance Review Notes

  1. Log in to Dotloop.

  2. Open the transaction loop you want to review.

  3. Locate the blue notes icon in the upper-right corner.

  4. Click the icon to open the Compliance Review Notes panel.

  5. Read the notes associated with your submitted folders.








Method 2: Activity Log

  1. Open the applicable transaction loop.

  2. Click Activity Log.

  3. Review the recorded activity and compliance-related notes.

  4. Locate the comments associated with your folder review.







How to Resolve Compliance Notes

If Compliance has requested corrections or additional documentation:

  1. Read the notes carefully. Identify the specific documents or information requiring correction.

  2. Make the necessary updates. Upload missing documents, correct incomplete forms, or obtain required signatures.

  3. Verify your corrections. Confirm that all requested changes have been completed.

  4. Resubmit the folder. Click Submit for Review, select the corrected folder, and submit it again.

  5. Monitor the folder status. Check for additional notes or confirmation that the folder has been reviewed.

Important: Correcting a document does not automatically notify Dalton Wade's Compliance Team that your folder is ready for another review. You must resubmit the applicable folder.

Important: Do Not Reply to Compliance Notes in Dotloop

Replies to compliance notes within Dotloop are not monitored by Dalton Wade's Compliance Team.

If you have questions about a note or need clarification regarding a requested correction, contact support@daltonwade.com rather than replying directly within Dotloop.

This ensures your question reaches the appropriate team for assistance.