. The case details display. This section explains how to investigate cases and determine the actions to resolve them.
Topics:
A case investigation is carried out using the Case Details page. This page provides complete details of the selected case and allows you to take appropriate actions.
The Case Details section provides detailed information about the case. The sections which display will be based on the type of case you are viewing, for example, AML, CS, or KYC.
You can view high-level case information in the Case Information section at the top of the page. Depending on your role, you can also modify case-related information.
You have options to view and filter the required information.
To access the Case Details, follow these steps:
On the Case Search and List page, click a Case ID link to open the Case Details in a new tab. Clicking more than one Case ID will open multiple Case Details tabs.
If the case is in New status and is not assigned to any owner, the following message displays: Do you want to assign the case to yourself? Click YES to assign the case. Click NO to proceed in Read-Only mode without assigning the case.
The Case Details include the Case Information, Primary Entity, and Case Summary sections, as well as the following tabs:
· Events
· Entities
§ Account
§ Customer
· Prospect
NOTE:
If your firm has enabled General Data Protection Regulation (GDPR) redaction, Personal Identifying Information (PII) will display in AML cases as XXXX in the fields listed in the linked table . If your user role has been mapped to the Unredacted data function code, you may view this PII unredacted.
Use the Case Information section to view important details of the selected case. The following table describes the fields which display in the Case Information section.
Fields in Case Details and their Descriptions
Field |
Description |
Priority Indicator |
This icon displays the case priority, as L (Low), M (Medium), and H (High). This is used to quickly determine which cases to work first. |
Title |
The title for the case. This can be automatically generated or manually entered. |
Type |
The type of case, such as AML, KYC, and so on. |
Priority |
The case priority level. |
Creation Date |
The date on which this case was created. |
Due Date |
The deadline to complete resolution action on this case. |
Assignee |
The current owner of this case. If the case is currently not assigned and you would like to assume ownership of the case, you can click Assign to me. The following message displays: Assignee updated successfully |
Status |
The current status of this case. |
Comment |
The narrative comments provided for the last resolution action performed. This helps you to understand why that action was taken. |
Reason |
The reason selected for the last resolution action performed. |
Case Tags |
Any case tags associated with this case. |
Case Summary |
A brief description of the case that gives high-level insight on the subject matter of the case. |
Primary Entity Type |
The entity type of the primary entity of the case, such as Customer or External Entity. |
ID |
The ID of the primary entity of the case. |
Name |
The name of the primary entity of the case. |
Jurisdiction |
The jurisdiction to which the case belongs. |
Business Domain |
The business domain to which the case belongs. |
Batch Type |
The type of batch associated with the risk assessment. The following options may display: · Deployment Initiation (DI) · Periodic Review · New Account Review · Accelerated Review (ARR) This field displays only for KYC Batch Cases. |
KYC Risk Score |
The KYC Risk Score originally associated with this case. This field displays only for KYC Batch Cases. |
Overridden KYC Risk Score |
The KYC Risk Score most recently associated with this case. This field displays only for KYC Batch Cases. |
Next Review Date |
The date on which this customer should next be considered for risk assessment review This field displays only for KYC Batch Cases. |
Overridden Next Review Date |
The date on which this customer was previously scheduled to be considered for risk assessment review. This field displays only for KYC Batch Cases. |
Focus Applicant |
The name of the focus prospect. This field displays only for KYC Onboarding Cases. |
Application ID |
Displays the unique ID for the application which is a part of the onboarding JSON. This field displays only for KYC Onboarding Cases. |
Risk Category |
Displays the category of the risk assessment. For example, Low, Medium, High. This field displays for both KYC Onboarding and KYC Batch Cases. |
Overridden Risk Category |
Displays the category of the risk assessment which is calculated based on the Overridden Risk Score. For example, Low, Medium, High. This field displays for both KYC Onboarding and KYC Batch Cases. |
Risk Assessment Score |
Displays the risk assessment score for this prospect. This field displays only for KYC Onboarding Cases. |
Based on your role, you can also update information in some fields.
To update the case information, follow these steps:
1. In the Case Information section of a selected case, click
the Case Details icon . The case details display.
2. Update the case information as required. For AML Cases, you can only modify the case’s Priority, Title, Due Date, Assignee, Case Tags, and Case Summary. For KYC Cases, you can only modify the case's Priority, Title, Due Date, Assignee, Override KYC Risk Score, and Override Next Review Date. The remaining details are view-only.
NOTE |
If you are not the Assignee of the case, you can only edit the Assignee field. |
§ Update the Case Priority by selecting the new priority from the drop-down list.
§ Update the Case Title by entering text into the text box. If the case title contains more than 150 characters, an ellipsis (...) will display in the Case Information section.
§ Update the Due Date by entering a date into the text box or by selecting a date from the calendar.
§ Update the Case Assignee by selecting a user from the drop-down list.
§ Update the Case Tags associated with this case by selecting an existing case tag from the lists.
o The Recommended Tags list shows tags which are recommended based on case attributes, in order of confidence score.
o The Available Tags list shows all created tags available.
o You can also create a new case tag by entering the name of the case tag you wish to create in the Case Tags field. You can enter up to 20 characters.
You can add up to 5 case tags per case.
You can remove a case tag by clicking Remove
.
§ Update the Primary Entity as required.
§ Update the Case Summary by entering text into the text box. You can enter up to 4000 characters.
§ Update
the Overriden KYC Risk Score as required. Click
the help icon 
for the score ranges
of the risk categories configured for that particular customer.
§ Update the Overriden Next Review Date as required.
3. Click Save to save your updates. The updated information displays in the Case Information section.
Click Cancel to close the Case Details without your updates. The following message displays: Unsaved data will be lost. Do you want to continue?
You can export the basic information of a case as a PDF report. This allows you to share initial query information to others, such as regulators and auditors, without requiring system access.
To export case information, follow these steps:
1. In the Case Search and List page, select the check box associated with the case you want to export the report of.
2. Click Export Case Report 
. The report
generates as a PDF and downloads to your machine.
The Primary Entity section provides details about the primary subject of the investigation (customer, prospect, or external entity). For any case created by the system, the Primary Entity will be automatically provided based on the events associated with the case. You can manually specify the Primary Entity as needed.
To update the Primary Entity, follow these steps:
1. In the Case Information section of a selected case, click
the Case Details icon . The case details display.
2. Select the Primary Entity Type, such as Customer, Prospect, Candidate, or External Entity, from the drop-down list.
3. Select either the Entity ID or Name from the drop-down list.
§ Select the Entity ID for the primary entity from the ID drop-down list. This list contains the IDs of entities associated with the case. Selecting the Entity ID automatically populates the Name.
§ Select the Name of the primary entity from the drop-down list. This list contains the names of entities associated with the case. Selecting the Name automatically populates the Entity ID.
4. The Jurisdiction and Business Domain the entity is associated with will be automatically populated based on the selections above.
5. Click Save to save your updates. The updated information displays in the Primary Entity section.
Click Cancel to close the Case Details without your updates. The following message displays: Unsaved data will be lost. Do you want to continue?
The Case Summary section provides a brief description of the case that gives a high-level insight on the subject matter of the case. You can update the Case Summary by entering text into the text box. You can enter up to 4000 characters.