Investigating Cases

This section explains how to investigate cases and determine the actions to resolve them.

Topics:

·        Using Case View

·        Using Entity View

·        Viewing an Entity Graph

·        Viewing the Transaction List

Using Case Summary Page

The case investigation is carried out on the Case Summary page. This page provides complete details of the selected case and allows you to take appropriate actions.

Using Case View

This section describes case details and the related information of the selected case type. You can view case details at the top of the Case Summary Page.

Users can investigate cases in either Case View or Entity View.

NOTE:   

The Case View is displayed on the Case Summary Page by default. Click on the Entity View button to view the entity details.

For more information about entity view, see the Using Entity View section.

The case details are:

·        Case Status: Current status of the case. The statuses are New, Assigned, Investigation, Pending Review, and Closed.

·        Priority: The priority which has been assigned to the case. The options are High and Low.

·        Case Type: The type of case is selected. It is applicable only for the AML_SURV case type.

Or

·        Case ID: The selected case identification number for investigation. It is applicable only for the CS case type.

·        Created Date: The date when the case is created.

·        Closed Date: The date when the case is closed.

·        Due Date: The date by which action must be taken on the case.

·        Jurisdiction: The jurisdiction, such as geographic locations and legal boundaries, to which this case belongs.

AML Cases

For AML case type, user can view the following options:

·        Actions

·        Case View / Entity View

·        Dossier

Case Details and Description

The Case Details and Description section provides detailed information about the case. The sections displayed will be based on the type of case you are viewing. You can view high-level case information in the Case Information section at the top of the page.

On the Case List View page, click the Case ID link to open the Case Details and Description in a new window.

The Case Details and Description includes the Case Events, Primary Entity, Alerted Transactions Graph, Alerted Transactions, and Accounts.

Case Events

Use the Case Events section to view complete details of events associated with the selected case and identify if they are relevant to the case. You can view case events in either card view or list view using Card View and List View buttons, respectively. By default, the case event is displayed with a Card View.

Click on any Event pane to view the following sections:

·        Event Details: It includes the reason the event was generated.

·        Transaction Details: The transaction details which are relevant to the event.

·        Threshold Breach: The polar chart depicts the selected Case Event's relevant data.

NOTE:   

To view case events detail through List View, follow these steps:

1.      Click List View.

2.      Click  View Detail hyperlink to view the Event Details.

Event Details

The Event Details pane displays a complete description of the events associated with the selected case. Events can be focused on customers, accounts, or external entities. This section also displays the details of the scenario or ML model that triggered this event.

The following table describes the fields displayed at the top of the Event Details pane.

Table: Event Details -  Fields and Descriptions

Transaction Details

The Event Details pane lists all transactions associated with this event.

The following table describes the fields displayed on the Transactions.

Table: Transactions -  Fields and Descriptions

Sort Transactions

To sort transactions in the list, follow these steps:

1.     In the Transactions list of the Transactions tab, select a column (for example, Transaction ID, and so on).

2.     Sort in ascending or descending order by clicking the up or down arrow buttons.

Threshold Breach

This polar chart displays the selected Case Event's relevant data which helps to determine relevance.

Primary Entity

The Primary Entity section provides details about the primary subject of the investigation, such as Risk Score, Overall SAR score, Entity Name, and so on. For any case created by the system, the Primary Entity will be automatically provided based on the events associated with the case.

Click View SAR(s) hyperlink to show previous SARs filed for the primary entity.

Alerted Transactions

You can view the total transactions amount and count in the graphical view and transactions list view by clicking the Alerted Transactions tabs. By default, the Alerted Transactions Graph is displayed.

In the graph, the left column displays the total transaction amount, and the right column displays the transaction count.

The list displays the list of all transactions associated with this case. To use the search bar options on the Alerted Transaction tab, see the Using Interactive Reports section.

Accounts

Click Accounts tab to view the details of accounts associated with the selected case.

Adding Accounts

NOTE:   

You cannot add an account when status of the case is closed.

To add an account of the selected case, follow these steps:

1.     Click Add Accounts. The Select Account pane is displayed.

2.     Select the required check box(es) and click Add Accounts. The selected account(s) is added successfully to the case.

The following table describes the fields displayed on the Select Account pane.

Table: Transactions -  Fields and Descriptions

NOTE:   

To use the search bar options, see the Using Interactive Report section.

CS Cases

There are a number of case types for Customer Screening cases which correspond to the source of the data and the categorization of the watchlist record for example CS_SAN are sanctions matches on customer records. For any CS case types user can view the following options:

·        Audit History

·        Case View / Entity View

Event Details

Users can view event and customer details associated with the case and you can also filter the case details, either Event ID or Match quality using Sort By drop-down list.

The status of all events associated with the case is always Open. Based on your investigation, change the event status from Open to closure (Closed as True Positive or Closed as False Positive).

NOTE:   

Once the Event ID has been set to False Positive, after the investigation you can also change the Event ID status from False Positive to True Positive vice versa.

Click on the Event ID hyperlink to view the information such as Customer and Watchlist Details associated with the Event.

Using Entity View

Use this section to view a complete list and description of entities associated with the selected case.

To view the entity details, follow these steps:

1.     On the Case Summary page, click on the Entity View button to view the entity details. The Entity Details page contain the following sections:

§       Selecting an Entity

§       Adding an Entity

§       Profile Summary

§       Risk Summary

§       Compliance Summary

§       Account Data

Selecting an Entity

To select an entity, follow these steps:

1.     From the Entity Details drop-down list, select the entity.

The entities available in the drop-down list are internal entities (customers) and external entities.

NOTE:   

Users can delete entities associated with the case using the Delete option, but you cannot delete the primary entity of the case.

Adding an Entity

You can add either internal entities (customers) or external entities using the Add Entity button.

NOTE:   

You cannot add entity when status of the case is closed.

To add an entity, follow these steps:

1.     Click Add Entity. The select Entity pane is displayed.

The following table describes the fields displayed on the Entity List pane.

Table: Entity List - Fields and Descriptions

2.     Click Add Entity icon to add a new entity to the case. The Add Entity pane is displayed.

3.     Select the Involvement Type from the drop-down list. The available options are:

§       Conductor

§       Not Involved

§       Other

§       Suspect

§       Unknown

§       Victim

§       Witness

4.     Click Add Entity. The newly added records are displayed in the Entity list.

NOTE:   

To apply the filter to narrow down your search, click on the Search bar and select the required filter options from the drop-down list. The available options are Customer Type, and Entity Type.

For example, if Entity Type is selected then select the required options. The options are Internal Entity and External Entity.

Profile Summary

This section displays the profile summary of the entity. Click on the Profile Summary hyperlink to view more information about this entity, such as Details, Customer Info, Shared attributes, Additional Involvement and Related accounts.

NOTE:   

To update Involvement Type for the particular entity, follow these steps:

1.      Click Profile Summary hyperlink to view the Profile page.

2.      Click Update hyperlink on the Involvement Type. The Set Involvement Type pane is displayed.

3.      Select the required Involvement Type from the drop-down list.

4.      Click Update Involvement Type. The entity is updated with the selected Involvement Type.

Risk Summary

This section displays the risk summary of the entity. Click on the Risk Summary hyperlink to view more information about this entity, such as Adverse Media Scans, Risk Summary, Risk Score History, and Watch List Scans.

Compliance Summary

This section displays the compliance summary of the entity. Click on the Compliance Summary hyperlink to view more information about this entity, such as Case Details, Events, SARs, Timeline, and so on.

To view the compliance summary details, follow these steps:

1.     Click on the Compliance Summary hyperlink. The Compliance Summary pane is displayed.

2.     Click View SAR, Event and Case Details hyperlink. SAR(s), Events and Case Details pane is displayed.

You can view SAR(s), Events and Case Details in detail.

NOTE:   

To use the search bar options, see the Using Interactive Report section.

3.     Click Cancel to close the pane.

In the Top Case List section,

·        You can view the top case lists that are associated with this entity.

In the Timeline section,

·        You can view the timeline for the actual events.

Account Data

This section displays the account summary of the entity. Click on the Account Summary hyperlink to view more information about this entity, such as Account, Account Detail, Account Stats Current Year, Source of Funds, and so on. You can navigate to the following sections by clicking the Account Summary hyperlink on the Entity View page.

·        Account Detail

·        Account Stats Current Year

·        Channel Utilization

·        Transaction History and List View Tabs

·        Source of Funds

·        Most Common Counter Party

·        Customer Activity (Current vs. Prior Year)

Account Detail

You can view the account information in detail.

Account Stats Current Year

You can view average and current amounts for deposits and withdrawals made in the current year.

Channel Utilization

This chart displays the channel utilization for the selected account.

Transaction History and List View Tabs

This section displays the withdrawal and deposit amounts for the selected account. You can view this transaction history periodically using the From and TO drop-down lists.

List View Tab

This section lists all the transaction information for the selected account.

NOTE:   

·        You can view the alerted transaction list which is tagged as Alerted in the Alerted Flag column. It also displays the Case and Event IDs that are associated with this transaction.

·        To use the search bar options, see the Using Interactive Reports section.

·        Enable the Alerted Transactions toggle switch to the right to view the transaction amount to be alerted.

Source of Funds

This graph represents the source of funds for the selected account.

Most Common Counter Party

This graph represents which counter party is most active on the account. You can view data in the list view by clicking the List View button. By default, it is displayed as Chart View.

Customer Activity (Current vs. Prior Year)

This graph compares the selected account's current and prior years of customer activity.

Viewing an Entity Graph

NOTE:   

This section is applicable only for the AML_SURV case type.

This section displays a graphical representation of the case consisting of Customers, Accounts, and Derived Entity (External Entity) involved in the selected case.

·        Customers, Accounts, External Entities, Cases, and Events are displayed as nodes.

·        The relationships which occur between these nodes display as links. Edges may be relationships between the nodes like a customer having an account, similarity edges, and relationship edges to show linked entities or transactions.

·        Back-office transactions are not displayed in this graph.

To customize the graph, follow these steps:

1.     Right-click on the individual icon to view the details. For example, if you right-click on the account, then view the details such as Address, Business Domain, City, Entity type, Jurisdiction, and so on.

§       Click Expand - Fetch neighbors based on configurable hop count to expand that particular node 1 hop in each direction to view the additional information about Account/Customer/Derived Entity.

NOTE:   

You can expand graph from any given node 1 hop in each direction using Expand - Fetch neighbors based on configurable hop count.

§       Click Drop - Delete selected vertices and edges to remove vertices and edges from the network.

§       Click Focus - Drops everything and fetches n-hop neighbors of selected vertices to focus only from the network.

2.     On the right pane, click on the individual check box such as Account, Case, Customer, Event and so on to unlink from the case.

3.     Click Update Graph Data to view the updated graph based on changes made in the transactions and the entities of the case. For example, if users remove a customer from the graph and then click Update Graph Data, then a decision needs to be made whether to remove the accounts for that customer, and the associated transactions tied to the accounts will be removed from the list of case transactions and will not be included in the dossier.

4.     Click Network Evolution to visualize evolution of the entity graph.

§       Click Play Network Evolution icon to view the network evolution in the case.

§       Click Reset Network Evolution icon to reset the network evolution.

To control network evolution settings, follow these steps:

a.     Click Settings. The Network Evolution Settings pane is displayed.

The following table describes fields displayed on the Network Evolution Settings pane.

Table: Network Evolution Settings pane - Fields and Descriptions

b.     Click Reset to Default to retain the default settings.

c.     Click Save to save the updated changes.

5.     Click Full Screen to expand a graph and view the graph in full-screen mode for better investigation process.

6.     Click UI Setting button to customize the graphical representation. The Graph UI Settings pane is displayed.

§       Click Edit and select the cell that you want to be added/edited.

§       Click Save to save your updates.

Or

§       Click Reset to Default to retain the default settings.

7.     Click Move/Zoom icon to move the graph and also zoom in or zoom out based on your requirement.

8.     Click Fit to Screen icon to fit the graph as per page size.

9.     Click Toggles Sticky Mode icon to press the keys in a key combination in sequence rather than simultaneously.

10.  Click History to view the actions carried out in the graph.

Viewing the Transaction List

NOTE:   

·        This section is applicable only for the AML_SURV case type.

·        You cannot add/remove transactions when status of the case is closed.

Click Transaction List tab to view the lists of all transaction details associated with the case.

To add transaction, follow these steps:

1.     Click Add Transactions. The Add Transactions pane is displayed.

2.     Select the required check box(es) and click Add Transactions. The selected transaction(s) is added successfully to the case.

To remove transaction, follow the step:

1.     Select the required check box(es) and click Remove Transactions. The selected transaction(s) is removed successfully from the case.

NOTE:   

·        You can view the alerted transaction list which is tagged as Alerted in the Is Alerted column.

·        To use the search bar options, see the Using Interactive Reports section.