19.3 Continuing Activity Review & Continuing Activity Report

This section describes the Continuing Activity Review & Continuing Activity Report.

The Continuing Activity case allows investigators to review activities that occurred after filing the SAR on the previous case. This case must be investigated and concluded within your firm's review period, typically between 90-120 days. After this period, a continuing SAR must be filed, if necessary.

To fully implement the Continuing Activity Review process, your firm must implement Oracle FCCM Compliance Regulatory Reporting for US-SAR. This allows investigators to view select information from the parent SAR when reviewing the CAR case.

The Secure Direct Transfer Mode (SDTM) must be configured while setting up CAR Case Due Date. For more information, see Configuring Secure Direct Transfer Mode (SDTM) in the Oracle Financial Services Compliance Regulatory Reporting Admin Guide.

The setting of the CAR due date is based on receipt of a successful msg xml from the FINCEN after the CRR first sends the e-file. The information from CRR is sent to ECM via an API.

To enable this Continuing Activity Report (CAR) functionality, there are certain configurations to be set up both on the CRR and ECM sides.

CRR Side:

Note:

  • Ensure that individual users are available with RRUSSUPER, RRUSSUPERVISOR and RRADMINISTRATOR group mapped and having the required security mapping. For more information, see the Configuring Security Attributes section in CRR Administration Guide.
  • Ensure that DIM_DOMAIN1, DIM_DOMAIN2, DIM_DOMAIN3, DIM_DOMAIN4, and DIM_DOMAIN5 as well as associated _TL tables, contain the corresponding data with ECM security mapping tables.
For CRR side of configuration, follow these steps:
  1. Log into the CRR UI with a user having mapped with the RRADMINISTRATOR group.

    This step allows the privileged user to access CRR for further configurations.

  2. Go to Webservice Configuration and set the user as rruser and password as password.

    This step allows handshake between CRR and ECM using the credentials mentioned.

  3. Update V_ATTRIBUTE_VALUE4 in the APPLN_PARAMETERS table for N_PARAM_IDENTIFIER=2 with http://<Application URL>/ecmcrr-rest-api

    This API URL update is required to send the Basic Details (Previous Case, Total Suspicious Amount, Date Range of Suspicious Activity, Prior BSA Identification Number, Cumulative Violation Amount, SAR Filed Date), Subject of Previous SAR (Customer, External Entity, and Account), Typologies from the SAR (Cyber Events, Fraud Type, Gaming Activities, etc.), Narrative of the filed SAR, and CAR due date from CRR to ECM.

  4. Update PARAMNAME ='V_ABS_CONTEXT_PATH' in the CONFIGURATION table with the deployed .war path. For example:

    /scratch/ofsaebas/WL14_j11/user_projects/domains/BECS8124/applications/BECS8124.ear/BECS8124.war

    This step is necessary to validate the XSD Parameters, which is required for report approval.

    For more information, see the Configuring XSD Parameters section in CRR Administration Guide.

  5. Update the UCM_GROUP_NAME parameter value to PRADMINISTRATOR in the CONFIGUARTION table.
  6. Update the CRR_CONFIGURATION table with CRR_SERVICE_URL (http://<Application URL>).

ECM Side:

For ECM side of configuration, follow these steps:
  1. Log in as ECM Administrator.
  2. Select Case Management Configuration and then select Manage Common Parameters.
  3. Under the Parameter category, select Deployment Based and under Parameter name, select Regulatory Report Solution Web Service.
  4. Update the following fields with required parameters to connect with CRR.
    • Parameter Value = Y
    • Attribute 1 Value = rruser
    • Attribute 3 Value = http:// <Application URL>/RRSService/InitiateRequest
    • Attribute 4 Value = http:// <Application URL>/CRRframeworkDataingestion
    • Attribute 5 Value = Y
  5. Navigate to Configuration of Web Service.
  6. For Enter Password for Regulatory Reporting Web Service, enter password as password and then click Encrypt.

    This step allows handshake between ECM and CRR using the credentials mentioned. This will encrypt the password for the rruser and the encrypted password will get saved in the Attribute 2 Value column of the kdd_install_param table.

  7. Assign 775 permissions to the MiscellaneousCRR folder available in the deployed .war path.

    MiscellaneousCRR is used for XSD validation at the CRR side.

  8. Restart APP and Web Servers.

    Following the filing of the US-SAR, a report is generated at CRR, and once the filing in CRR is complete, the relevant information is sent to ECM UI under the Previous Summary Report tab. The relevant tables are:

    • KDD_CASE_RR_MAP
    • KDD_CASE_RR_TYPOLOGY
    • KDD_CASE_RR_ENTITY_MAP
    • KDD_CASE_RR_DETAILS.