5.6.21 Using Transactions Tab

The Transactions tab allows you to perform a comprehensive analysis of transactions associated with the case.

This tab displays all transactions which are associated to the events on the case as well as any others which have been identified as needing to be part of the case investigation. You are able to view the details of an individual transaction, search on other, non-evented transactions for entities on the case, add those transactions to the case and provide the context, via labels, in which the transaction is related to this investigation.

If a particular transaction is on the case because it was part of an event, then the Evented label is displayed for that transaction. Transactions on the case can also be assigned other labels.

Note:

Your System Administrator can map the Transaction tab to your case type using Case Designer. For more information, see the Managing Case Designer chapter in Administration and Configuration Guide.

Using Transactions Tab Search Criteria

This section describes how to search and view transactions, and add transactions to a case.

You can search and view the non-case entity (customer or account that are not on the case) transactions. It allows you to view transactions for any account/customer (personal or non-personal) within the organization without first having to add that account/customer to the Entities tab of a case.

Viewing Transactions

A single grid displays all transactions across all transaction types. Each transaction type, except cash transactions, includes a Details link which provides additional information.

By default, only labeled transactions are displayed. Initially, these are only evented transactions but this can be expanded to include others which are searched on and then added to the case.

You can export the list of transactions to Excel or CSV format.

Note:

  • The Transaction tab displays information from the case transaction on the initial load. When using the Search criteria, however, the result will list the transactions from business data.
  • The Transactions tab displays transactions in chronological order by default when it is loaded.

The following table details the transaction information displayed.

Table 5-29 Transaction Information

Column Description
Details This link displays information on the specific transaction type (Back Office or Monetary Instrument or Funds Transfer).
Labels Displays the transaction labels.
Transaction ID Displays the transaction ID.
Transaction Type Displays the transaction type.
Transaction Date Displays the date of transaction in chronological order.
Posting Date Displays the date when the event was posted. It shows based on the logged in user's local time.
Account ID Displays the account ID for the transaction types.
Account Name Displays the account name for the transaction types.
Debit/Credit Displays whether the transaction is debit or credit.
Activity Amount Displays the activity amount.
Base Amount Displays the base amount.
Functional Amount Displays the functional amount.
Transaction Description Displays description entered for transaction.
Transaction Channel Code Displays the channel code (Teller Line or Mobile or Online or Merchant) through which transaction was made.
Branch/Store/Transit # Displays Branch/Store/Transit number of the financial institution where the transaction occurred.
Subtype Displays the client defined Subtype code.
Location Name Displays the location name and ID for cash transactions.
Location Address Displays the location address for cash transactions.
Conductor/Party Name Displays name of the conductor/party.
Conductor Internal/ External

Indicates whether external (non-customer) or internal conductor (customer of the bank).

In case of an internal conductor, the details can be viewed under the Customer tab.

In case of an external conductor, the details can be viewed under the Conductor tab.

This information is displayed only after CA-STR-related configurations are implemented.

For more information see the Conductor-related Data Movement for CA-STR and Displaying CA-STR Fields in ECM UI sections in Administration and Configuration Guide.
Originator Displays name of the originator for Funds Transfer related transactions.
Beneficiary Displays name of beneficiary who received the funds.
Country
  • Credit: Displays the Beneficiary Country.
  • Debit: Displays Originator Country.

Searching Case Entity-related Transactions

To search additional transactions which are part of the case, follow these steps:
  1. Navigate to the Transaction tab. The existing labeled transactions are displayed by default.
  2. To find a particular transaction, enter the following information in their search respective fields as described in the following table.

    Table 5-30 Search Criteria

    Field Description
    Date From* Select a start date for when you wish the transactions to be displayed.
    Date To* Enter an end date for the transactions to be displayed.
    Customer Select Customer. These are only customer that are on this case.
    Account Select Account. These are only account which are on the case or are related to the selected customer.
    Transaction Type Select one or more options from the following:
    • Back Office
    • Cash
    • Monetary Instrument
    • Funds Transfer
    Transaction ID

    The Transaction ID allows you to search for a transaction without having to enter any other Search criteria.

    Note: Search by Transaction ID ignores all other Search parameters.

    Transaction Amount >= Enter an amount which is greater than or equal to Transaction amount. This value is compared with the Activity Amount.
    Labels
    • Evented: These are the transactions that are associated with the evented transactions. This label cannot be removed.
    • Sampled: These are the manually added transactions that were added before the use of the new tab, use the Sampled tag.
    • Surrounding: This indicates transactions which are surrounding those that were events.
    • Suspicious: These are transactions which are suspicious and related to the case but were not evented.
    Note: The Label allows you to search for a transaction without having to enter any other Search criteria.
    Customer ID/Account ID The Customer ID/Account ID allow you to search for a transaction that is not on the case.
    Note:
    • Enter a maximum of ten Customer IDs/Account IDs separated by commas.
    • Search with either Customer ID or Account ID at a time.
    • When a Customer ID is entered, the Customer drop-down, Accounts drop-down, and Account ID field are all disabled. When a user types a customer name into the text field, all of the customer's accounts are searched. The user does not have to pick the accounts individually. However, the Customer drop-down will continue to display customers as part of the case.
    • When an Account ID is entered, the Customer drop-down, Accounts drop-down, and Customer ID field are all disabled. The Accounts drop-down menu will still display the case's customer accounts.
    • If Customer is selected from the Customer drop-down menu, searching with the Customer/Account ID is disabled.
    • If Account is selected from the Account drop-down menu, searching with Customer/Account IDs is disabled.

    * -Mandatory fields

  3. Click Search. The Search result displays the list of transactions that meet the search criteria.

    Note:

    • If there is a business transaction available on a case with a customer's account that is not on the case, then such transactions will not be listed in the transaction search.
    • On the initial Tab load, however, all labeled transactions will be displayed.

Searching Non-Case Entity-related Transactions

To search additional transactions which are part of the case, follow these steps:
  1. Navigate to the Transaction tab. The existing labeled transactions are displayed by default.
  2. To find a particular transaction, enter the following information in their search respective fields as described in the following table.

    Table 5-31 Search Criteria

    Field Description
    Date From* Select a start date for when you wish the transactions to be displayed.
    Date To* Enter an end date for the transactions to be displayed.
    Customer* Select Customer. These are only customer that are on this case.
    Account* Select Account. These are only account which are on the case or are related to the selected customer.
    Transaction Type
    Select one or more options from the following:
    • Back Office
    • Cash
    • Monetary Instrument
    • Funds Transfer
    Transaction ID

    The Transaction ID allows you to search for a transaction without having to enter any other Search criteria.

    Note: Search by Transaction ID ignores all other Search parameters.

    Transaction Amount >= Enter an amount which is greater than or equal to Transaction amount. This value is compared with the Activity Amount.
    Labels
    • Evented: These are the transactions that are associated with the evented transactions. This label cannot be removed.
    • Sampled: These are the manually added transactions that were added before the use of the new tab, use the Sampled tag.
    • Surrounding: This indicates transactions which are surrounding those that were events.
    • Suspicious: These are transactions which are suspicious and related to the case but were not evented.

    Note: The Label allows you to search for a transaction without having to enter any other Search criteria.

    * -Mandatory fields

  3. Click Search. The Search result displays the list of transactions that meet the search criteria.

    Note:

    • If there is a business transaction available on a case with a customer's account that is not on the case, then such transactions will not be listed in the transaction search.
    • On the initial Tab load, however, all labeled transactions will be displayed.

Adding Searched Transaction to Case

You can add one or more searched transactions to the case. Once added, this action is recorded in the Audit History and is added to the Transaction Audit table. You cannot add a transaction to a closed case.

To add a searched transaction to a case, follow these steps:
  1. Select one or more of the searched transactions and then click Add to Case icon. The Add Transactions page appears.
  2. From the Labels drop-down, select one or more of the label(s).
  3. Click Add to Case. A confirmation message is displayed.

Editing Transaction Labels

You can edit the existing labels in the transaction based on requirement. You can also delete the existing label or add a new one. When labels are removed from a transaction, it is removed from the labelled transaction list. To remove a transaction from a case, remove its label.

Transactions with the Evented label cannot have their label removed and therefore cannot be removed from the case.

Once edited, this action is recorded in the Audit History and is added to the Transaction Audit table.

To edit a label in the transaction, follow these steps:
  1. Select a labeled transaction and then click the Edit icon. The Edit Label page appears.
  2. From the Labels drop-down, select a new label or delete the existing label and then click Save.

Editing Multiple Transaction Labels

You can also select more than one labelled transaction (up to 100 per page in display) and edit at one go. You can add new labels (add to existing labels per transaction) or override (delete existing labels when adding labels as new).

Transactions with the Evented label cannot have their label removed.

Once edited, this action is recorded in the case Audit History.

To edit multiple transaction labels, follow these steps:
  1. Select multiple transactions and then click the Set Label icon. The Set Label page appears.
  2. From the Labels drop-down, select new labels or remove the existing labels and then click Save.

    After selecting the labels check the Override existing labels check-box to override.

Adding Manual Transactions

Manually added transactions can only have the Surrounding, Sampled, and Suspicious labels. However, these cannot have an Evented label. There is no default Label while adding a manual transaction from the UI.

This section describes how to add the following manual transactions:
  • Back Office
  • Cash
  • Fund Transfer
  • Monetary Instrument (MI)

Once you add any of these transactions manually these are displayed in Audit History.

Note:

  • When a manual transaction is added with a customer's account that is not on the case, the manually added transactions will not be listed in the transaction search.
  • On the initial Tab load, however, all labeled transactions (whether manually added or not) will be displayed.
  • Not all values entered for a manual transaction are displayed in the transactions grid but they are stored in the database.

Adding Back Office/Cash/Fund Transfer/MI Transactions

This section describes how to add Back Office/Cash/Fund Transfer/MI transactions from the Transaction tab.

You can only search for and add Business Transactions. The manual transactions (which are labeled while adding the Case) are listed in the initial Tab load along with other labeled transactions but are not displayed when searching. We must ensure that the user can always return to only the transactions that are part of the case (including the manually added ones).

To add a Back Office/Cash/Fund Transfer/MI transaction, follow these steps:
  1. Navigate to the Case Summary page.
  2. Click the Transaction tab. The Transaction page is displayed.
  3. Click Add. The Add Transaction List is displayed.
  4. From the Select Transaction Type drop-down, select from one of the following options:
    • Back Office Transaction
    • Cash Transaction
    • Fund Transfer
    • Monetary Instrument
  5. From the Labels drop-down, select from one or more of the following options:
    • Sampled
    • Surrounding
    • Suspicious

      Based on the Transaction Type selected the fields are populated. The mandatory fields are marked with * asterisks. For more information, see Transaction.

  6. Click Save. The transaction will be added in the Transactions List grid.

Editing and Deleting the Manually Added Transactions

This section describes how to edit the manually added transactions. Once you edit any of these transactions manually it is displayed in Audit History.

Editing a Manually Added Transaction

This section describes how to edit a manually added transaction.

To edit a manually added transaction, follow these steps:
  1. Navigate to the Case Summary page.
  2. Click the Transaction tab. The Transaction List is displayed.
  3. Select the Transaction(Edit is allowed for manually added Transactions only) and click the Edit icon. The Edit Transaction page is displayed.
  4. Make the required updates and then click Save.

Deleting a Manually Added Transaction

This section describes how to delete a manually added transaction.

To delete a manually added transaction, follow these steps:
  1. Navigate to the Case Summary page.
  2. Click the Transaction tab. The Transaction List is displayed.
  3. Select the Transaction(Delete is allowed only for Manually added transaction) and click the Delete icon. A confirmation message is displayed.