Use the Report Details page to view, analyze, and update the report information. You can add, delete, and modify the report details based on the status of the report and your user privileges. For more information, see Table 3 .
The Report Details helps you analyze the selected report details and it includes the following sections:
· Accessing Report Details : Use this section to access the specific Report Details page. Click the required Report Number on the Regulatory Reports List page to open the Report Details page.
· Reporting Entity Information : Use this section to know more about report details, reporting entity, or particulars of the Principal Officer (PO).
· Accounts Information : Use this section view list of accounts involved with the selected report. You can analyze the details pertaining to them and if required you can also modify, delete, and add a new account to the report.
· Description of Suspicious Activity : Use this section to view list of entities (Individual or Institution) involved with the report and analyze the details pertaining to them.
· Narrative and Actions : Use the section to summarize any suspicious activity and to mention the action taken by the reporting entity.
· Documents : Use this section to add related documents to the selected report.
· Audit : Use this section to view the audit history of a report. It provides complete details of the actions performed on the report and comments provided by the users in the various statuses.
To access the Report Details page, follow these steps:
1. On the Search and List page, click the Report Number link. The Reports Details page is displayed. By default, the Report Entity Information section is displayed.
Click Accounts Information , Description of Suspicious Activity , Narrative and Actions , Documents , or Audit tabs to view more details pertaining to the selected report.
The
Report Context section displays
the report name, report status, the person who created, and so on to take
further action. click 
to
expand the Report Context section.
2. To
collapse the Report Context section,
click 
.
Use this page to view and update information pertaining to the entity who has reported this specific report, including the person’s details, and report details. The Reporting Entity Information is the default section of the Reports Details page and it provides the following information:
· Report Details : Use this section to view and update the information related to the selected report.
· Reporting Entity/Principal Officer : Use this section to view and update the information about the reporting entity who has reported to the regulator.
You can view and modify the reporting entity information based on the status of the report and your user privileges. For more information, see Table 3.
Use this section to analyze or update the details pertaining to the selected report.
1. Enter the fields described in Table 8. Fields marked with * asterisk are mandatory.
Use this section to view or update the information about the reporting entity and its principal officer who has approved and reported the report to the regulator.
2. Select the reporting entity name and other fields are auto-populated to provide the information about the reporting entity. Fields are described in Table 9.
The principal officer is the head of the entity and authorized signatory to submit the report to the regulator.
Use this section to view the information about the PO such as name, address, phone, and so on.
3. Select the PO name to view the particulars of the principal officer’s details. Other fields are auto-populated as per the PO’s name is selected.
4. Click Validate to authenticate the details and click Save to update the reporting entity information.
A report must include information regarding any involvement of suspicious accounts and related transactions. Every report has involved accounts which must be analyzed. If an account is assessed to be irrelevant to associate with the report, you can delete it or modify details. You can also add new accounts to the report if you identify additional suspicious accounts involved with the selected report.
You can view and modify the account information based on the status of the report and your user privileges. For more information, see Table 3.
This tab provides information about accounts that are involved with the selected report. Use this tab to perform the following tasks:
· Involved Account : Use this section to view, remove, and modify accounts that are involved with the selected report.
· Adding a New Account : Use this section to add a new account if you identify a suspicious account is involved with the selected report.
Use this section to view the list of involved accounts and their details such as account name, account status and so on. Select the required account number to analyze the account, person/account owner details, and transactions to take appropriate decisions on the report. Based on your analysis, you can update the relevant information. You can also delete the account if it is irrelevant to associate with the selected report.
To modify or delete an existing account, follow these steps:
1. On the Account Involved section, click the record number to open the required account to view and update the information. For more information on the fields, see Adding a New Account section.
2. To delete an existing account from the list, select the required account(s) and click Remove. The Involved Account list is updated.
Use this section to add a new account if you identify a suspicious account involved with the selected report. Use the Add option to add account details, corresponding branch details, account owner details, and transactions. When you opt to add an account, the initial section allows you to add only account details and corresponding branch details. To add Person/Account Owner Details and Transactions, go to the Account Involved List and select the required account number and then add respective details.
To add an account, follow these steps:
1. On the Account Involved section, click Add. The Account Details section is displayed.
2. Enter the account details as described in Table 10 .
3. Fields marked with * asterisk are mandatory.
4. Go to the Corresponding Branch Details.
5. Select the branch name to view the corresponding branch details such as city, address, phone, and so on.
6. Click Save. A new account is created and added to the Accounts Involved List.
NOTE |
Using the Add option, you can add only Account details and corresponding details. To add Person/Account Owner Details and Transactions, go to the Account Involved List and select the required account number and then add respective details. For more information, see Involved Account. |
Use this section to view, remove, and modify the existing person or account owner details. You can also add a new account owner when you identify another person or entity is associated with the involved account.
To update the person/account owner details, follow these steps:
1. On the Involved Account list section, select the required account number. The Involved Accounts Details page is displayed.
2. To modify the person/account owner details, on the Person/Account Owner Details section, select the required person type. The Account Owner Details page is displayed.
Modify the necessary information and click Save. The person/account owner details are updated. For more information on the fields, see Table 11.
To delete the person/account owner from the list, select the required type of person and click Remove.
To add person/account owner details, follow these steps:
1. On the Person/Account Owner Details section, click Add. The Account Owner Details page is displayed.
2. Enter the information as described in Table 11. Fields marked with * asterisk are mandatory.
If you have selected the Individual as the person or account owner, the If Individual section is displayed.
3. Enter the information as described in Table 12. Fields marked with * asterisk are mandatory.
If you have selected Legal Entity as the person or account owner, the If Legal Entity section is displayed.
4. Enter the information as described in Table 13. Fields marked with * asterisk are mandatory.
5. Click Save to add a new person/account owner details to the selected account.
Use this section to view and update the transaction details such as transaction ID, transaction amount, and so on. You can also add a new transaction when you identify another suspicious transaction is associated with the involved account.
You can view and modify the transaction information based on the status of the report and your user privileges. For more information, see Table 3.
To view and update the transaction, follow these steps:
1. On the Involved Account list section, select the required account number. The Involved Accounts Details page is displayed.
2. To view or modify the transaction details, select the required record number from the transaction section. The Transaction Details page is displayed.
Modify the necessary information and click Save. The transaction details are updated. For more information on the fields, see Table 14.
To delete the transaction from the list, select the required record number and click Remove. The transaction list is updated.
To add the transaction, follow these steps:
1. On the Transaction section, click Add. The Transaction Details section is displayed.
2. Enter the information as described in Table 14. Fields marked with * asterisk are mandatory.
3. In the Product section, enter the information as described in Table 15. Fields marked with * asterisk are mandatory.
4. Click Save to add a new transaction to the selected account.
A report is created based on true sources and valid reasons, this section provides information on the suspicious activity that led to the creation of the selected report. This information will help you to analyze and take appropriate decisions on the report.
Use the Description of Suspicious Activity section to view and update the suspicious activity information for the selected report.
You can view and modify the description of suspicious activity information based on the status of the report and your user privileges. For more information, see Table 3.
To view and update suspicious activity information, follow these steps:
1. On the Report Details page, click Description of Suspicious Activity tab. The Reported Activity Information is displayed.
2. Enter the reported activity information as described in Table 16. Fields marked with * asterisk are mandatory.
3. Click Save to update the information.
Use the Narrative option to summarize suspicious activity and mention the action taken by the reporting entity.
To use the Narrative and Actions option, follow these steps:
1. On the Reports Details page, click the Narrative tab. The Narrative page is displayed.
2. Enter the following information in the respective fields. Fields marked with * are mandatory.
§ Grounds/Summary of Suspicion: Enter the following information:
— Background/profile/occupation of the customer and other related individuals/entities.
— When did the relationship with the customer begin?
— How was suspicion detected?
— What information was linked or collected during the review process?
— What explanation was provided by the subject(s) or other persons (without tipping off)?
— Summary of suspicion of whether the suspicious activity is an isolated incident or relates to another transaction?
— Who benefited, financially or otherwise, from the transaction(s), how much, and how (if known)?
— What is the volume of transactions in reported accounts in the financial year, and what is the volume of cash transactions? Whether any STR filed for the customer earlier?
— Any additional information that might assist law enforcement authorities.
§ Description of Suspicious Activity/Investigation Details: Enter the following details.
— Details about the investigation being conducted covering the name of the agency, contact person, and contact details.
— The source of the investigation could be both internal to the reporting entity or any investigation by the law enforcement agency.
— Whether any Law enforcement agency is informed about the incident reported in the STR.
— Contact details of the person in the law enforcement agency which is conducting the investigation.
3. Click Save to update the narration of suspicious activity.
The Audit section tracks both actions and comments entered while performing the Narrative action.
While filing the report with regulatory authorities, you can also send additional documents. This additional information aids in taking the correct decision on the report. When you attach a document to a report, the status of that report does not change. However, the attachment is added to the report’s history.
An Analyst or a Supervisor can attach, modify, or delete documents in all statuses except when the report is in View Only mode. For more information on user roles, see Table 4 .
To modify or attach a document, follow these steps:
1. On the Reports Details page, click the Document tab and click Add to attach a new document to the selected report. The Add Document window is displayed.
2. Enter the information as described in Table 17.
3. Click Browse to select the document from your computer and then click Attach File. The file is attached to the selected report.
Use the Audit tab to view the audit history of a report. It provides details of actions performed on the report and comments provided by the users in the various statuses.
To use the Audit tab, follow these steps:
1. On the Reports Details page, click the Audit tab. The Audit window is displayed.
A record is created in the Audit tab when a user performs any of the following actions:
§ Created From Case
§ Created Manually
§ Modified Reporting Entity
§ Modified Account Involved Details
§ Modified Person or Account Owner details
§ Modified Transaction Details
§ Modified Suspicious Activity Description
§ Modified Narrative and Action
§ Added New Document
§ Modified Document
§ Removed Document
§ Edit/ Delete Report
— Originating Report
— New Report
§ E-File Generation Unsuccessful
§ Acknowledgment Details
— If the report is accepted then Upload Acknowledgment (Comments displayed - Report is Accepted)
— If the report is rejected then Upload Acknowledgment (Comments displayed- Report is Rejected along with error message)
The Actions section displays all the actions taken on the report. This section displays the fields described in Table 18 .