7.1 Manual Promotion of KYC Risk Assessments to Cases

Manual Promotion of KYC risk assessments is done by the KYC investigator and is done only for risk assessments that do not have a case created before and for the latest risk assessments.

Note:

A manual promotion can only be done if the risk assessment is in auto-closed status and if ECM is installed with Behavior Detection (BD).

The Promote to Case action on the KYC Risk Assessments List grid enables you to perform this action. The assignment of new cases happens along with case creation. When you perform the Promote to Case action on the selected KYC risk assessment, the status of the assessment changes to Promoted to Case, and a case ID is generated. The case ID generated is displayed in the Case ID column under the KYC Risk Assessment List grid. The data is then transferred to the Case Management system for further investigation.

Single and multiple risk assessments can be promoted to a case and while promoting multiple assessments to a case, multiple case Ids are generated by comma-separated values. If you select a risk assessment that already has a case, the following message is displayed:

You have selected one or more risk assessment(s) which already has a case or is locked by another user for case creation or is not the latest risk assessment or is in open status. The eligible Risk Assessment ID(s) for case creation are <Case IDs>.

You cannot perform the Promote to Case action on a risk assessment that is locked by another for case creation or if it is in the open status. If you select a risk assessment that is locked by another user or if it is in the open status, the following message is displayed:

You have selected the risk assessment(s) which already has a case or is locked by another user for case creation or is not the latest risk assessment or is in open status. Select the valid risk assessment(s).

To promote a KYC risk assessment to a case, follow these steps:

  1. Navigate to the KYC home page.
  2. Click KYC Assessments and Cases in the Left Hand Side (LHS) menu.
  3. Click KYC Assessments in the Investigation menu. The KYC Assessment Search and List page appears.
  4. Select the risk assessment that you want to promote to case. To select multiple risk assessments, use Ctrl + click.
  5. Click Promote to Case.

    The confirmation message informs you of the generated case ID. For further investigation, the generated case ID is used as a search filter in the KYC Cases User Interface (UI).