4.2.1 Using Case View

This topic provides information about investigating the Customer Screening cases in a Case view.

You can view case details at the top of the Case Summary Page. Users can investigate cases either in Case View or Entity View. By default, Case View is displayed on the Case Summary Page. Click on the Entity View button to view the entity details. For more information about entity view, see the Using Entity View section.

Note:

From this release, AI Investigator is supported for CS RT, CS Batch and 314a cases (except CS_314aTRXN cases) that give a conclusion summary based on each event details.
To enable AI Generative feature, ensure that you:
  1. Enable AI Investigator (AII).
  2. Run the AIInsightGeneration batch after running other batches for case creation.

Note:

The AIInsightGeneration batch is to generate the AI insights for the cases in Investigation Hub. This feature can only be used if Artificial Investigation Assistant Cloud Service is deployed.

The AI Investigator for an event is displayed on the Case Summary page along with a summary of the event.

The following attributes are supported for AI Investigator for Individuals:
  • Full Name
  • Nationality
  • Address
  • Date of Birth
  • Occupation
The following attributes are supported for AI Investigator for Entities:
  • Full Name
  • Country of Taxation
  • Address
  • Country of Incorporation

Note:

  • The CS_314a case type enables the screening of Customer against the 314(a) watchlist and the events cover the time period of 12 months.
  • The CS_314a_TRXN case type enables the screening of External Entity along with transaction counterparties against the 314(a) watchlist.

Customer Details

On the left pane, users can view customer details associated with the case.

Note:

The Customer Details display for all CS cases except the CS_314a_TRXN case type.

Note:

The address displayed in this section is the primary address of the customer. If there are more addresses linked to a customer, they are displayed in Event Details page when you click Event ID.

External Entity Details

On the left pane, users can view external entity and transactions details with customers for this case. Click Transaction Details link to view the list of transactions associated with this external entity.

Note:

The External Entity Details display only for CS_314a_TRXN case type.

Event Details

On the right pane, users can view event details associated with the case and you can also filter the case details either Event ID or Match quality using Sort By drop-down list. Click Event ID link to view the following event details. On the Event Details drawer, the attributes are categorized under the respective collapsible sections and in a tabular format. Expand the relevant sections to view more information and a high level summary for the event.
  • Basic Details
  • Additional Details
  • Address Details
  • Identifiers
  • Policy Details
  • Watchlist URLs

You can search for the required values using the search bar. All the attributes having this match are displayed. To view only the attributes have the search value, select the Show only Matched Information checkbox.

The following details are available only for CS_314a cases along with the previous details:
  • Contact
  • IP Address
  • Website

To search for similar data, select the Show only similar info check-box.

The status of all events associated with the case is always Open status. Based on your investigation, change the event status from Open to Closure (Closed as True Positive or False Positive).

Note:

You can close the case (make it false positive or true positive) only after providing your comments.

Note:

Once the Event has been set to False Positive, you can also change the Event status from False Positive to True Positive or Reopen status and vice versa.

To view the events as a list, click the List View icon on the right-hand side of the screen. Using this view you can take actions on multiple events at the same time.

You can also sort the list of events based on event id, match quality, watchlist type and watchlist subtype. And, also you can filter the list based on the watchlist.

Some events are automatically moved to the Auto-Eliminated Events section after the case is created and the reason is mentioned in the Event Details page. For more information about auto-elimination, see the Using Auto Elimination Rules Widget section in the Oracle® Financial Crime and Compliance Management Cloud Service Using Pipeline Designer Guide.

To move the status of multiple events at the same time, click the List View and then select the events and click True Positive or False Positive.

You can view the latest comments against the event by clicking the comment icon.

To view all comments for an event, click the Audit History.

To view the events that are open, click the Open tab.

To view the events categorized as false positive, click the False Positive tab.

To view the events categorized as true positive, click the True Positive tab.

To view the events that are auto-eliminated, click the Auto Eliminated tab.

Note:

Some events are auto-closed due to some rules defined in case designer pipeline. These events are closed automatically when the case is created and if all the events are auto-closed, then the case is also Auto-Closed.

Note:

The AI Investigator is not applicable for the Auto Eliminated and Auto-Closed events.