Managing an Open Case

How to use features within the iComply platform to screen cases.

This case is open. Adjustments cannot be made to closed cases and if ongoing monitoring is toggled on, that will prompt the case to reopen and appear as a potential match.

The result of a search will generate a new Case entry that includes the risk sources included in the KYC Subject’s result, as seen in the example below. Users can filter results based on the screening criteria important to them.

The original results showed two rows, but now only the row not related to ‘All Adverse Media’ appears.

Users can apply more than one filter at the same time through selecting multiple types. These highlighted types will display search results that match ANY of the selected types.

What do the Match Filtering colours signify?

• Grey - These filters were not included in the search and no results will display.

• Green - These filters were part of the initial search with no results.

• Red outline - These filters do have potential results but have been deselected and thus corresponding results will not appear in the Matches table.

• Solid red - These filters do have potential results and have been selected to show their results in the table.

Working Matches

Matches will appear in the Matches section of the page.

From here, users can review each Potential Match and either mark them as Unknown, Accepted or Rejected. Users can accept or reject individually selecting the buttons on each line or by selecting one or more rows and using the buttons on top of the list.

The Matches are not removed from the Search, but are resolved and moved to their own section in the Search, which users can return to as needed.

These statuses also appear in reports if a client is attached to a particular Case. Potential, Unknown and Accepted will appear in a KYC report unless Accepted Only is selected. Rejecting cases will stop them from appearing in reports.