Using Account Tab

About Account Tab

This tab provides a list of accounts associated with the selected case and their complete details.

The Account tab has the following sections:

Account List: details the list of accounts associated with the selected case.
Account Details: provides complete information of the selected account.

The following tasks are performed using the Account tab:

View and analyze the list of accounts that are associated with the case from the date of case creation or which are added to the case during the course of the investigation
Associate new accounts with the case
Disassociate or modify existing accounts
View and analyze complete details of each account
Designate as an involved party
Retrieve the latest account details in the Current Information window
Add, modify, and remove account restriction, contact information, and watch list members associated with the account
View and analyze investment advisor, risk information, anticipatory profile, and peer groups associated with the account

Note:

The following activities are recorded in Audit History when user:

Accesses the Account Tab
Views Account Details
Views Account Edit Information
Modifies Account Information
Views Current Account Information
Views Account Edit History
Searches Case Entities for Account
Searches Current Business Entities for Account
Accesses the Associated Customers tab
Access Account Contact Information tab

For more information, see the Using Audit History.

Follow these steps to navigate to the Accounts List.

From the homepage, click Enterprise Case Investigation.
Click Search Cases.
Case Search page is displayed.
Open the required Case List (EX: CA100)
Click the Entities tab.
Account List displays.

Figure 5-32 Account List screen

Managing Account List

The Account List section allows you to view the list of accounts associated with the selected case. This section also allows you to perform the following activities:

Adding, Editing, and Removing accounts. Click the History link to view a historical record of all changes made to the account information. This link displays only for records which have been edited. For more information, see Managing Business Entity List.
Designating accounts as an involved party. For more information, see Designating as Involved Party.
Viewing current information of accounts. For more information, see Viewing Current Information.

Figure 5-33 Managing Account List

Managing Account Details

This section allows you to view and analyze the complete details of the selected account.

To view the Account Details tabs, follow these steps:

Select an account in the Accounts List using the check box.
Click View Account Details. The tabs are displayed.

Figure 5-34 Account Details tabs

Viewing Account Details

This section displays the detailed information of the selected account such as account ID, branch, account type, account open date. You can also modify account details. For more information, see the Managing Business Entity List section.

Figure 5-35 Viewing Account Details

Viewing Additional Information

This section displays additional information about the account provided in the Add Account API. Multiple levels of information is displayed in simplified manner. You cannot modify the information displayed on this tab.

Figure 5-36 Viewing Additional Information

Managing Account Manager

This section shows the list of employees who are involved in managing the selected account along with the roles they play. Additional account managers can be associated with the account. The associated account manager's role can be modified.

Note:

Only those account managers who are part of the case and are available in the Employee tab of the case can be associated with the account. To associate new account managers to the account for the current case, then they should be added to the case through Add action in the list of business entities section of the Employee tab. For more information, see the Managing Business Entity List section.

To add, modify, and remove the account manager. See the Managing Business Entity List section.

To add a new account manager, select the employee ID from the drop-down list and enter the role mapped for the account manager in the Account Manager window.

Figure 5-37 Managing Account Manager

Managing Account Restriction

The Account Restriction shows restrictions that are applied on accounts associated with the case for the purpose of limiting privileges or activities available to the account holder. For example, a restriction may limit the account holder's ability to trade on margin. This section displays the list of restrictions applied to the selected account. You can add new restrictions and modify or remove the existing restrictions.

To add new restrictions, click the Add button to open the Account Restriction window. Select the restriction from the drop-down, select the date from which the restriction to be applied, and enter the restriction end date (removed date) for this account.

For more information on add, modify, and remove actions, view the Managing Business Entity List section. Click the History link to view a historical record of all changes made to the account restriction information. This link displays only for records which have been edited.

Figure 5-38 Managing Account Restriction

Viewing Investment Advisor

Investment Advisors are those firms or individuals who manage accounts which are associated with the case. This section displays the list of investment advisors associated with the selected account. You can view details such as an investment advisor firm ID, investment advisor firm name, date this investment advisor began to manage this account.

Figure 5-39 Viewing Investment Advisor

Managing Contact Information

This section displays the list of addresses, phone numbers, and emails associated with the selected account. You can add new contact information and modify or remove the existing contact information. Click the History link to view a historical record of all changes made to the contact information. This link displays only for records which have been edited.

To add, modify, or remove contact information for the selected account, see the Managing Business Entity List section.

Figure 5-40 Managing Contact Information

Viewing Associated Customers

This section displays information about all customers associated with this account.

Viewing Risk Information

This section displays the value of various risks associated with the selected account such as effective risk, business risk, and geographical risk.

Figure 5-41 Viewing Risk Information

Managing Risk List Memberships

The Risk List Membership shows details of accounts that are associated with the case that appear on one or more watch lists and audits the time frame for which the account appeared on, or was associated with a given watch list. This section displays the watch lists associated with the selected account. You can map additional watch lists to the account and modify or remove the existing watch lists.

Adding New Watch Lists

To add new watch lists, follow these steps:

Navigate to the Account tab.
Select the required Account ID. The Account Records Details section displays.
Go to the Risk List Memberships section and click Add. The Risk List Memberships window displays.

Enter the following information in the respective fields as described in the following table.

Table 5-21 Risk List Membership

Fields	Description
Source	Select the source of the watch list from the drop-down list. For example Private or Public.
Added	This is the date on which account was associated with the watch list.
Removed	This is an account was no longer associated with the watch list.
Entry Description	This is the description of the reason why this entity is on the watch list.

Click Save. A confirmation message displays.
Click Cancel. The window closes and navigates you to the refreshed list of Risk List Memberships and the newly added watch list displays. Also, corresponding audit entries are recorded on the case.
To modify or remove the existing watch lists records, see the Managing Business Entity List section.
Click the History link to view a historical record of all changes made to the watch list records. This link displays only for records which have been edited.

Viewing Anticipatory Profile

The anticipated profile of all accounts that are associated with a case is collected at the time of inception of customer relationships to understand the sources of funds and the expected transactions for these entities.

This section displays the following information:

A summary of transactions for the anticipatory profile associated with the selected account.
The source of funds and expected transactions for the selected account.
Metric measured by this anticipatory profile record. For example, cash, domestic wire, or traveler's check.
Country from which it is anticipated that this account is to receive a wire transfer, period of time that this anticipatory profile represents, and so on.

Figure 5-42 Viewing Anticipatory Profile

Viewing Balance

This section displays the balance and holdings available on the selected account as on the date of case creation. You can view details such as account net worth, uncollected balance, and overdraft balance.

Figure 5-43 Viewing Balance

Viewing Equities

This section displays the following information:

The equities associated with the selected account.
Value of all low-priced equity positions
Total market value of all short equity positions in this account

Viewing Concentration

This section displays the following information:

Equity security in which the account is most highly concentrated
Number of shares held in this account in its highest concentration short equity security
Total market value of all long equity positions in this account, and so on

Viewing Loans

The Loans section displays the loans associated with the selected account such as type of loan, class, and pay period.

Viewing Peer Groups

This section displays the following information:

A summary of the average monthly transaction activity in account peer groups for accounts associated with the case.
A specific account peer-group profile ID.
Summaries are displayed on a monthly basis for the five months previous to the date of last transaction performed from the selected account.
If you click the Account Peer Group ID link on the summary section, the summary for the last thirteen months displays in a window.

Viewing Summary

This section displays the following information:

Summary types such as deposits, trades, and disbursement
A summary of an account's transactions on a monthly basis for the five months previous to the date of the last transaction performed from the selected account. By default, transaction amounts are displayed in Base Currency. Select the Functional check box to also display transaction amounts in Functional Currency.

5.6.2 Using Account Tab