5.1.2.1 KYC Assessments List Components

The KYC Assessments List matrix of the KYC Risk Assessments Search and List page consists of the KYC Assessments List header and a matrix containing one or more KYC assessments and associated data. Each KYC assessment has an ID and a hyperlink associated with it.

The components within the KYC Assessments List matrix are as follows:

  • KYC Assessments List header: Contains the number of KYC assessments displayed in the list, the total number of KYC assessments returned by the search, and the Excel icon. The KYC Assessment list matrix by default is sorted as per Assessment Date, Risk Assessment ID, and Customer ID. Pagination controls within the header allow you to navigate to the additional pages of KYC assessments.
  • List of KYC Assessments: Displays a list of KYC assessments based on your search criteria on the KYC assessments Search bar.

The following table provides a list of the columns that display in the KYC Assessment List matrix.

Table 5-2 Components of KYC Assessment List

Field Description
Assessment ID Displays the Assessment ID for the risk assessment.
Customer ID Displays the Customer ID of the risk assessment. It also serves as a hyperlink to the Customer details in a popup window. The customer details displayed are always up- to-date.
Customer Name Displays the name of the customer on whom the risk assessment is performed.
Customer Type Displays the type of customer on whom the risk assessment is performed.
Tax ID Displays the tax ID of the customer on whom the risk assessment is performed.
Risk Score Displays the overridden risk score if applicable, else displays the system generated risk score. It also serves as a hyperlink to Risk Information details in a popup window.
Assessment Source

Displays the assessment source for the risk assessment. A risk assessment record can have the following assessment sources:

  • Accelerated Review
  • Account On Boarding
  • Deployment Initiation
  • Periodic Review
  • Customer Without Account
Assessment Status

Displays the current status of the risk assessment record. A risk assessment record can be in any of the following statuses:

  • Auto Closed
  • Closed
  • Promote to Case
  • Open
Assessment Date Displays the date on which the risk assessment was assessed.
Next Review Date Displays the Overridden Review Date of the risk assessment if applicable, else displays the next review date of the risk assessment.
FIC_MIS_DATE Displays the processing date.
Case ID Displays the Case ID for risk assessments that are or were in Promote to Case status.
Case Status Displays the case status of risk assessments that are or were in Promote to Case status.
Risk Category Displays the risk category based on the recent risk score.