This is a Module Configuration that comes at a cost. If you would like to have this available, please contact support@lex247.com with a reference to this article to have it set up.
When this Module is setup for you, you will see Due Compliance section on both the Client Card and Case Card, as below.
Client Card
Client Card will show all of the performed AML checks if more than one Case Request is created for the Client and its results.
Case Card
Case Card will only show the AML check related to the Case being viewed.
Configuration Requirements:
Firstly, you will need to have an active license with Due Compliance before turning this Module on.
This integration with LEX247 can be configured in the following ways. You will need to specify to us which configuration you would like to have.
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Due Compliance Check required on Case-level (recommended)
Due Compliance check must be performed per Case Request, before the Case Request can be accepted. -
Due Compliance Check required on Client-level
This means that a Due Compliance check is required to be performed on Client-level.-
- Can be setup so that it is required only once or every time a Case Request is created.
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Since the Case-level requirement is the most popular, the rest of this article will display performing a Due Compliance check on Case-level.
Click on the headers below to expand its contents.
Step 1: Create a Case Request
Simply create a new Case Request through the Case Creation Dialogue on Main Card.
Step 2: Starting an AML Check
After you have created a Case Request, you can start the AML check by going to the Case Card > Details-view, under the Due Compliance section and click Start new 'AML' Check.
This will redirect you to Due Compliance website.
If it is the first time you are doing this, you will need to login using your credentials to sign into Due Compliance.
Once that is done, you can go ahead and perform the Due Compliance check/requirements as necessary.
In LEX, in the Case Request, you will see the below which will show details of the AML Check, as below.
1. AML identification number
This will show the identification number from Due Compliance. Typically, this will follow the name from your license in Due Compliance, followed by a 5-digit number series.
2. User who Started the AML Check
Here you can see who initiated the Due Compliance check.
3. Initiated Date
Here you can see the date when the AML check was initiated.
4. Current Status
Here you can see the current Status of the AML check; Ongoing or Completed.
Ongoing
Completed
5. Open
Clicking this will take you directly to the AML Check in Due Compliance as a new browser window.
6. Additional Information
Hovering over the 'i'-icon will display a summary of the Due Compliance check.
Step 3: Completing the AML Check
In Due Compliance, fill in the information and details as required.
In the end of that process, you will decide whether to accept the Client/Case or not. Clicking Yes will complete the Due Compliance check and the information will be sent to LEX.
This will mark the AML Check in LEX as Completed.
Once that is done, you can then accept the Case Request in LEX.
Step 4: Accepting the Case Request
If you have not yet completed the AML Check, you will not be able to accept the Case Request in LEX, as it will show that AML process for all the clients associated with the Case must be completed.
You can then go to the Case Card, Details-view, Due Compliance, and click Open. This will take you directly to the Due Compliance check where you can then complete it as required.
Once the AML check is Completed, it should look as below.
Once that is done, you can click Accept Case; as long as any other mandatory requirements are met.
Checking the Status of an AML Check
You can check the status of the AML Check on either the Client Card, or Case Card, Details-view under Anti Money Laundering (AML) Checks.
It will have a status either Ongoing or Completed.
Ongoing
Completed
Downloading AML Results
If you wish to download the AML results, go to either the Client Card or Case Card, Details-view, and under Anti Money Laundering (AML) Checks, click Download.
This will download the AML results as seen in Due Compliance.