5.1.1.1 KYC Assessment Information

The following table provides a list of the KYC assessment search components that display in the KYC Assessment Search section.

Table 5-1 Components of KYC Assessment Search Bar

Field Description
Created From

Filters the KYC assessment list by the From date the assessment was created.

Note:

By default, Created From date is automatically populated with the current date minus 7 calendar days. This is a mandatory field when you have not selected any of the other filters.
Created To

Filters the KYC assessment list by the To date the assessment was created.

Note:

By default, Created To date automatically populates the current date. This is a mandatory field when you have not selected any of the other filters.
Customer

The Customer field enables you to choose between the two mutually exclusive options in the search bar. You can choose to retrieve search results related either to a customer Name or customer ID.

This field allows the use of wildcards when searching.

Note:

By default, the ID radio button is selected.
Risk Score Filters the KYC assessment list by the Risk score. This field retrieves risk assessment with scores greater than equal to, equal to, or less than equal to, to the score you enter in this text box.
Customer Type Filters the risk assessment list by the customer type.
Jurisdiction Filters the KYC assessment list by the jurisdiction. The list of jurisdictions in the drop-down options is based on your access permission.
Risk Assessment Status

Filters the KYC assessment list by the current status of risk assessment. The Risk Assessments can be filtered for Assessment Status:

  • Open
  • Auto Closed
  • Closed
  • Promote to Case

The Risk Assessments with Assessment Status as Open cannot be manually promoted to case. These records will be processed for case creation when the next KYC-ECM batch runs.

Risk Assessment Source

Filters the KYC assessment list based on the risk assessment source. The different types of risk assessment sources available for searching are as follows:

  • Accelerated Rereview Alerts
  • Default Review
  • Deployment Initiation
  • Periodic Review
  • Customer Without Account
Risk Assessment ID

Filters the KYC assessment list by the one or more Risk Assessment IDs entered in this text field. To search for multiple IDs, separate IDs with commas. If the assessments are found, the KYC Assessments List page displays information about the risk assessment with the IDs that exactly match the values you entered. The Risk Assessment ID search is mutually exclusive with all other filter criteria.

Note:

Search by Risk Assessment ID ignores all other search criteria.
Tax ID Filters the KYC assessment list by the tax ID of the customer.