5.6.4 Obtaining SAR Labels for Customer Risk Scoring

Obtain the SAR Information for Sandbox

Disposition/SAR information of the historical alerts that are required in sandbox for the purpose of supervised machine learning model training. SAR information acts as a target/depended variable for the model training.

Populate Investigated Entity Details

Obtain the SAR from CRR/ECM

Use aif.load_sar_data () API to load the Suspicious Activity Report (SAR) entities details from the Compliance Regulatory Reporting (CRR) application and Non-SAR entities from ECM into Compliance Studio.

Note:

“aif” is just a package that is available as part of compliance Studio.
The data will be loaded into the aif_investigated_entity table.

Figure 5-83 Aif Load SAR Data


Description of Figure 5-83 follows
Description of "Figure 5-83 Aif Load SAR Data"

The following parameters are the input value for the paragraph:
  • from_date: From date range in YYYYMMDD format for SAR/Alert creation date.
  • to_date: To date range in YYYYMMDD format for SAR/Alert creation date.
  • CRR_conn: CRR Connection object.
  • ECM_conn: ECM Connection object.

    Note:

    • Register Oracle wallet entries/aliases for CRR & ECM Atomic schema to connect within Compliance Studio
    • Use the aliases mentioned here to create/register entries. If aliases are being created with some other name, use them accordingly in the Admin Notebook.

Obtain the SAR from the CSV file

Use aif.load_sars_from_csv() API to load the SAR and Non-SAR entities into a CSV file.

Figure 5-84 Aif Load Sars from CSV


Description of Figure 5-84 follows
Description of "Figure 5-84 Aif Load Sars from CSV"

The following parameters are the input value for the paragraph:
  • filename: Complete path of the CSV file.
  • headerIncluded: This parameter has two options: Y or N. If the file has data with the header, then Y or N.

    Note:

    • The date should be in YYYYMMDD HH24:MI:SS format.
    • Records should be comma-separated (CSV).
Ensure that the following columns are available in the CSV files with the required values:
  • ENTITY_ID: Customer Id or Account Id
  • SUSPICIOUS_FLAG: This parameter has two options: Y or N. If E-file for Regulatory body has been sent for Customer or Account, then Y or N.
  • ALERT_DATE: SAR/EVENT generated to date from Customers and Accounts
  • CREATED_ON: CSV file creation date
  • CREATED_BY: CSV file created by
  • UPDATED_ON: CSV file updated date
  • UPDATED_BY: CSV file updated by
  • LABELLED_SCENARIO: This value has the following options:
    • CUST: For customer-level SAR
    • ACCT: For account level SAR
  • ENTITY_CD: This value has the following options:
    • If entity type is customer
    • If entity type is the account

Obtain the SAR classification from the CRR database

The aif.get_case_data_and_sar_classification() API gets SAR classification from CRR schema, merge with entity ID (Customer ID) in ECM, and stores as metadata in Compliance Studio schema table, aif_case_information.

Figure 5-85 Aif Get Case Data


Description of Figure 5-85 follows
Description of "Figure 5-85 Aif Get Case Data"

The aif_case_information table columns are as follows:
  • ENTITY_ID
  • CASE_ID
  • SAR_CLASSIFICATION
  • FILING_AM
  • CONTINUING_SAR
  • FILING_DATE
The following parameters are the input value for the paragraph:
  • from_date: From date range in YYYYMMDD format.
  • to_date: To date range in YYYYMMDD format.
  • CRR_conn: CRR Connection object.
  • ECM_conn: ECM Connection object.
  • AIF_conn: AIF Connection object.

Format: cx_Oracle.connect(<db_user/db_password@tns>)

On successful execution of the paragraph, the details will be loaded in the aif_case_information table.

Note:

  • Register Oracle wallet entries/aliases for CRR and ECM Atomic schema to connect within Compliance Studio.
  • Use the aliases mentioned here to create/register entries. If aliases are being created with some other name, use them accordingly in the Admin Notebook.