4.1.1 Using Case View

This topic provides information about investigating the AML_SURV case type 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.

Note:

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.

Case Details and Description

The Case Details and Description section provides detailed information about the case. The sections displayed will be based on the type of case you are viewing. You can view high-level case information in the Case Information section at the top of the page.

On the Case List View page, click the Case ID link to open the Case Details and Description in a new window. The Case Details and Description includes the Case Events, Primary Entity, Alerted Transactions Graph, Alerted Transactions, and Accounts.

Case Events

Use the Case Events section to view complete details of events associated with the selected case and identify if they are relevant to the case. You can view case events in either card view or list view using Card View and List View buttons, respectively. By default, the case event is displayed with a Card View.

There are two types of scenarios for the AML cases:
  • AML Scenarios

    Click on any Event to view the following information.

    The Event ID and date of the event is displayed.

    Table 4-1 Event Details - Fields and Descriptions

    Field Description
    Mark as Relevant Enable the check box if events are relevant to this case. If it is enabled, the case events are displayed as relevant

    Note: Marking events as relevant determines if they are included in any regulatory report and will be used to improve the relevance of events in cases in the future.

    Score Displays the score for the event.
    Event ID Displays the ID for the event.
    Event Reason The reason event was generated.

    Note: The overall, effective, and activity risks are listed for the Anticipatory Profile Account Focus scenarios.

    Scenario ID Displays the ID of the scenario used to create the event.
    Evented Date Displays the date this event was created.
    Incoming Profile Metric Activities This section is displayed only for Anticipatory Profile Account Focus scenarios. The graph shows incoming transactions and information about the actual amount, anticipated amount, threshold amount and difference of Anticipated vs Actual amount for each profile metric.
    Outgoing Profile Metric Activities This section is displayed only for Anticipatory Profile Account Focus scenarios. The graph shows outgoing transactions and information about the actual amount, anticipated amount, threshold amount and difference of Anticipated vs Actual amount for each profile metric.
    Incoming Activities This section is displayed only for Anticipatory Profile Account Focus scenarios. This is a tabular representation of the incoming transactions.
    Outgoing Activities This section is displayed only for Anticipatory Profile Account Focus scenarios. This is a tabular representation of the outgoing transactions.

    You can filter the transaction details in the table using the start and end dates.

    To download the transaction details click the Download icon(Download Transactions) button.

    Threshold Breach: The polar chart depicts the selected Case Event's relevant data.

  • Trade Scenarios

    Click on any Event to view the following information:

    The Event ID and date of the event is displayed.

    The trade scenario along with information about the event is displayed. The supported trade scenarios are:
    • Customers Engaging in Offsetting Trades - Customer Focus
    • Movement of Funds without Corresponding Trade - Customer Focus
    • Trades in Securities with Near-Term Maturity Exchange of Assets - Customer Focus

    Note:

    For creating and running custom pipelines related to trade scenarios, see the Copying Pipeline section of Oracle® Financial Crime and Compliance Management Cloud Service Using Pipeline Designer.
    The following sections are displayed only for the trade scenario AML cases:
    • Threshold Parameters: Lists the defined threshold parameters and their values.
    • Trade Details: The trade details which are relevant to the event such as customer account, offset account trade id and so on are represented in graphical form and a tabular format.
      You can filter the data for the graph or the trade table by selecting the required security, the start and end date of the trade.
      • The start date is the difference between the end date and the lookup period as listed in Threshold Parameters.
      • End date is is the evented date.

      Note:

      For customer focus graphs, the Offset Percentage Difference Buy and Offset Percentage Difference Sell is also displayed. Select or unselect other options on the graph to view the difference. If there is only a slight difference between the offset sell and offset buy the line representing the difference is a very small line on the graph. If the difference is significant the line is displayed evidently.

      Note:

      If there are no details about the dates, then all the trade transactions are listed.

      Hover over the graph to view details like security name, sell, offset buy, and percentage difference between buy and sell.

      To download the trade details click the Download icon(Download Offset) button.

    • Threshold Breach: The polar chart depicts the selected Case Event's relevant data.

    To view the trade details of the event, click the Trade Details tab.

    The customer account and offset accounts are displayed. You can click on the respective tile to view the trade details of each account.

    All the trade details related to the accounts that are part of the trade are listed in a tabular format with start and end date filters.
    • The start date is the evented date.
    • End date is the sum of start date and look up date listed in Threshold parameters.

    To download the trade details click the Download icon button.

  • Customer Holdings

    Click this tab to view the securities held by customers. The customer holdings are represented in a graphical format (when buying quantity of securities is greater than selling quantity of the securities).

    By default, the graph displays data till the evented date. You can select a date from the Select Date filter to view the holdings till the selected date.

    The details of the various instruments held by the customer are listed in a tabular column.

    To filter the data on tabular column, you can use the search bar or click the graph to drill-down the data till Product Sub-Type level.

    Click the download button to download the holding details to an excel sheet.

Note:

To view case events detail through List View, follow these steps:
  1. Click List View.
  2. Click View Detail hyperlink to view the Event Details.

Event Details

The Event Details pane displays a complete description of the events associated with the selected case. Events can be focused on customers, accounts, or external entities. This section also displays the details of the scenario or ML model that triggered this event.

Transaction Details

The Event Details pane lists all transactions associated with this event.

Table 4-2 Transactions - Fields and Descriptions

Field Description
Transaction ID The unique identification number of the transaction.
Transaction Date The date on which this transaction was conducted.
Transaction Type The transaction type such as fund transfer or monetary instrument.
Product Type The product used for this transaction.
Transaction Base Amount The monetary value of the funds transferred via this transaction.
Base Currency The currency value in which the transaction has happened.
Transaction Activity Amount The latest transaction amount.
Transaction Activity Currency The currency value of the transaction.
Originator ID The ID of the party who is the originator of the transaction.
Originator Name The Name of the party who is the originator of the transaction.
Beneficiary ID The ID of the party who is the beneficiary of the transaction.
Beneficiary Name The Name of the party who is the beneficiary of the transaction.
Added Date Displays the date when this beneficiary was created.
Is Alerted Displays if this transaction is alerted or not.

Sort Transactions

To sort transactions in the list, follow these steps:
  1. In the Transactions list of the Transactions tab, select a column (for example, Transaction ID, and so on).
  2. Sort in ascending or descending order by clicking the up or down arrow buttons.

Threshold Breach

This polar chart displays the selected Case Event's relevant data which helps to determine relevance.

For Anticipatory Profile Account Focus scenarios, on selecting the Show Threshold Breaches check-box, only the entries having threshold breaches are displayed.

Primary Entity

The Primary Entity section provides details about the primary subject of the investigation, such as Risk Score, Overall SAR score, Entity Name, and so on. For any case created by the system, the Primary Entity will be automatically provided based on the events associated with the case.

Click View SAR(s) hyperlink to show previous SARs filed for the primary entity.

Alerted Transactions

You can view the total transactions amount and count in the graphical view and transactions list view by clicking the Alerted Transactions tabs. By default, the Alerted Transactions Graph is displayed. In the graph, the left column displays the total transaction amount, and the right column displays the transaction count.

The list view displays the list of all transactions associated with this case. To use the search bar options on the Alerted Transaction tab, see the Using Interactive Reports section.

Accounts

Click Accounts tab to view the details of accounts associated with the selected case

Adding Accounts

Note:

You cannot add an account when status of the case is closed.

To add an account of the selected case, follow these steps:
  1. Click Add Accounts. The Select Account pane is displayed.
  2. Select the required check box(es) and click Add Accounts. The selected account(s) is added successfully to the case.

    Table 4-3 Transactions - Fields and Descriptions

    Field Description
    Account ID Displays the Account ID for this account.
    Internal Account ID Displays the Internal Account ID for this account.
    Account Type Displays the account type for this account (for example, Savings, Investment, and so on).
    Current Balance Displays the current balance for this account.
    Account Status Displays the status of this account. The statuses are Active and Inactive.
    Age Displays the account's age in the number of days.
    Last Transaction Date The date on which this transaction was conducted.
    Account Open Date The date on which this account was opened.
    Effective Risk Level of effective risk associated with this account.

Note:

To use the search bar options, see the Using Interactive Reports section.