oracle financial services anti money laundering express ...€¦ · oracle financial services anti...

Oracle Financial Services Anti Money Laundering Express Edition Case Investigation

User Guide

Release 10.0.1.0.0

February 2020

E98712-01

OFS AMLXE CASE INVESTIGATION USER GUIDE | 2

Oracle Financial Services Anti Money Laundering Express Edition Case Investigation

Copyright © 2020 Oracle and/or its affiliates. All rights reserved.

This software and related documentation are provided under a license agreement containing

restrictions on use and disclosure and are protected by intellectual property laws. Except as expressly

permitted in your license agreement or allowed by law, you may not use, copy, reproduce, translate,

broadcast, modify, license, transmit, distribute, exhibit, perform, publish, or display any part, in any

form, or by any means. Reverse engineering, disassembly, or decompilation of this software, unless

required by law for interoperability, is prohibited.

The information contained herein is subject to change without notice and is not warranted to be error-

free. If you find any errors, please report them to us in writing.

If this is software or related documentation that is delivered to the U.S. Government or anyone

licensing it on behalf of the U.S. Government, then the following notice is applicable:

U.S. GOVERNMENT END USERS: Oracle programs, including any operating system, integrated

software, any programs installed on the hardware, and/or documentation, delivered to U.S.

Government end users are “commercial computer software” pursuant to the applicable Federal

Acquisition Regulation and agency-specific supplemental regulations. As such, use, duplication,

disclosure, modification, and adaptation of the programs, including any operating system, integrated

software, any programs installed on the hardware, and/or documentation, shall be subject to license

terms and license restrictions applicable to the programs. No other rights are granted to the U.S.

Government.

This software or hardware is developed for general use in a variety of information management

applications. It is not developed or intended for use in any inherently dangerous applications,

including applications that may create a risk of personal injury. If you use this software or hardware in

dangerous applications, then you shall be responsible to take all appropriate fail-safe, backup,

redundancy, and other measures to ensure its safe use. Oracle Corporation and its affiliates disclaim

any liability for any damages caused by use of this software or hardware in dangerous applications.

Oracle and Java are registered trademarks of Oracle and/or its affiliates. Other names may be

trademarks of their respective owners.

Intel and Intel Xeon are trademarks or registered trademarks of Intel Corporation. All SPARC

trademarks are used under license and are trademarks or registered trademarks of SPARC

International, Inc. AMD, Opteron, the AMD logo, and the AMD Opteron logo are trademarks or

registered trademarks of Advanced Micro Devices. UNIX is a registered trademark of The Open Group.

This software or hardware and documentation may provide access to or information about content,

products, and services from third parties. Oracle Corporation and its affiliates are not responsible for

and expressly disclaim all warranties of any kind with respect to third-party content, products, and

services unless otherwise set forth in an applicable agreement between you and Oracle. Oracle

Corporation and its affiliates will not be responsible for any loss, costs, or damages incurred due to

your access to or use of third-party content, products, or services, except as set forth in an applicable

agreement between you and Oracle.

For information on third party licenses, click here.

http://www.google.com/

http://www.google.com/

https://docs.oracle.com/cd/E61555_01/licensing.htm


Document Control

Version Number Revision Date Change Log

10.0.1.0.0 February 2020 First version of the AML XE User Guide R10.0.1.0.0


Table of Contents

1 About This Guide ................................................................................................................... 7

1.1 Who Should Use This Guide .............................................................................................................................................. 7

1.2 How This Guide is Organized ............................................................................................................................................ 7

1.3 What's New in This Release ............................................................................................................................................... 7

1.4 Where to Find More Information...................................................................................................................................... 8

1.5 Conventions Used in This Guide ...................................................................................................................................... 8

2 About AML XE Case Investigation ........................................................................................ 9

2.1 Introduction ........................................................................................................................................................................... 9

2.1.1 Key Features ................................................................................................................................................................... 9

2.2 User Roles and Privileges ................................................................................................................................................... 9

2.2.1 Security within the AML XE Case Investigation Application .............................................................................. 10

3 Getting Started ...................................................................................................................... 12

3.1 Accessing Case Investigation Application ..................................................................................................................... 12

4 Searching Cases .................................................................................................................... 14

4.1 About Case Search and Case List ................................................................................................................................... 14

4.1.1 Sorting Case List ........................................................................................................................................................... 15

4.2 Searching Cases .................................................................................................................................................................. 15

4.2.1 Using Dashboard .......................................................................................................................................................... 15

4.2.2 Using Views ................................................................................................................................................................... 16

4.2.3 Using Case ID ................................................................................................................................................................ 16

4.2.4 Using Filters .................................................................................................................................................................... 17

4.2.5 Acting on Cases ............................................................................................................................................................ 20

4.2.6 Adding Comments to Cases ...................................................................................................................................... 20

4.2.7 Adding Evidence to Cases ........................................................................................................................................... 21

5 Investigating Cases ............................................................................................................... 22

5.1 About Investigating Cases ............................................................................................................................................... 22

5.1.1 Case Details ................................................................................................................................................................... 22

5.2 Accessing the Case Details Page .................................................................................................................................... 22


5.3 Viewing Case Context ....................................................................................................................................................... 23

5.4 Dashboard ............................................................................................................................................................................ 23

5.4.1 Scenarios ....................................................................................................................................................................... 23

5.4.2 Transactions ................................................................................................................................................................. 23

5.4.3 Parties Involved ............................................................................................................................................................ 24

5.5 Events.................................................................................................................................................................................... 25

5.5.1 Event Details ................................................................................................................................................................. 25

5.5.2 Filtering Events in the List .......................................................................................................................................... 26

5.6 Account ................................................................................................................................................................................. 26

5.6.2 Filtering Accounts ........................................................................................................................................................ 27

5.7 Customer .............................................................................................................................................................................. 28

5.7.2 Filtering Customers ..................................................................................................................................................... 29

5.8 Transactions ........................................................................................................................................................................ 30

5.8.2 Filtering Transactions ................................................................................................................................................. 30

5.9 External Entity ...................................................................................................................................................................... 31

5.9.2 Filtering External Entities ............................................................................................................................................ 31

5.10 Relationship ......................................................................................................................................................................... 32

6 Acting on Cases ..................................................................................................................... 33

6.1 Introduction ......................................................................................................................................................................... 33

6.2 Taking Action on Cases .................................................................................................................................................... 33

6.2.1 Accessing Take Action Window ................................................................................................................................ 33

6.2.2 Setting or Modifying Due Date ................................................................................................................................. 35

6.2.3 Closing Cases ................................................................................................................................................................ 36

6.2.4 Assigning Cases ........................................................................................................................................................... 36

6.2.5 Adding Evidence .......................................................................................................................................................... 37

6.3 Audit History ....................................................................................................................................................................... 38

6.3.1 Searching Audit History.............................................................................................................................................. 38

6.3.2 Adding Comments ....................................................................................................................................................... 38

6.4 Narrative ............................................................................................................................................................................... 38

7 Case Reports ......................................................................................................................... 40

7.1 Generate Report ................................................................................................................................................................ 40

ABOUT THIS GUIDE

WHO SHOULD USE THIS GUIDE


1 About This Guide

This Anti Money Laundering Express Edition (AML XE) Case Investigation User Guide provides step-

by-step instructions to navigate through the Case Investigation application, search cases, investigate

cases, and resolve cases.

The following topics are covered in this chapter:

Who Should Use this Guide

How this Guide is Organized

Where to Find More Information

Conventions Used in this Guide

1.1 Who Should Use This Guide

This guide is designed for the following users:

Case Analyst: This user performs case investigation to determine how the case should be

resolved and provides recommendations for the same. Predefined role privileges determine

what this user can view and do using this application.

Case Supervisor: This user provides oversight into case investigations and reviews the

recommendations provided by the Case Analyst. Users in this role have additional privileges in

addition to all those provided to a Case Analyst.

For complete details on the user roles and privileges, see the User Roles and Privileges section.

1.2 How This Guide is Organized

The AML XE Case Investigation User Guide includes the following chapters:

About AML XE Case Investigation provides a brief overview of the Case Investigation application

and its components.

Getting Started includes instructions on how to login to the Case Investigation application.

Searching Cases explains various case search criteria you can use to filter cases and select

case(s) you want to view and investigate.

Investigating Cases provides information about investigating cases that help you determine

what actions to take to resolve them.

Acting on Cases explains how to take actions to resolve cases.

Case Reports explains how to generate reports of cases.

1.3 What's New in This Release

With the R10.0.1.0.0 release of AML XE Case Investigation, the following new features have been

introduced:

ABOUT THIS GUIDE

WHERE TO FIND MORE INFORMATION


1. Ability to generate reports of cases that enhances data visualization and analyses. Being role-

based, you can generate reports in tabular and graphical formats only for cases you are

permitted to access.

2. Introduction of the Process Modeling Framework, a design and execution framework that

enables Process pipeline developers to implement various pipelines modeled by business

analysts. Process pipeline developers use the framework to orchestrate business pipelines and

run pipelines within OFSAA, and to design artifacts that participate in the pipelines in order to

complete their implementation.

1.4 Where to Find More Information

For more information on the AML XE Case Investigation application, see the following documents in

the Oracle Help Center (OHC):

Release Notes and Readme

Installation and Upgrade Guides

Technical Guides

User Guides

1.5 Conventions Used in This Guide

This table lists the conventions used in this guide.

Convention Description

Italics Names of books, chapters, and sections as references

Emphasis

Bold Object of an action (menu names, field names, options, button

names) in step-by-step procedures

Commands typed at a prompt

User input

Monospace Directories and subdirectories

File names and extensions

Process names

Code sample, including keywords and variables within a text and

as separate paragraphs, and user-defined program elements

within a text

<Variable> Substitute input value

https://docs.oracle.com/cd/E60570_01/amlxe.htm

https://docs.oracle.com/cd/F19477_01/relnotes.htm

https://docs.oracle.com/cd/F19477_01/install.htm

https://docs.oracle.com/cd/F19477_01/technicalguides.htm

https://docs.oracle.com/cd/F19477_01/homepage.htm

ABOUT AML XE CASE INVESTIGATION

INTRODUCTION


2 About AML XE Case Investigation

The purpose of this chapter is to provide a brief introduction to AML XE Case Investigation, roles and

privileges assigned to its users, and security-related information.

2.1 Introduction

The purpose of the AML XE Case Investigation application is to help Case Analysts and Case

Supervisors search, investigate, and resolve cases. After a case is created and appears in the

application, user actions towards investigation and resolution change the status of a case from new

(New) to closure (Closed as True Positive or Closed as False Positive).

AML XE Case Investigation supports modifying case details and associated business data. Access to

types of cases and certain actions can be controlled based on a user's role and access permissions.

2.1.1 Key Features

The key features of the AML XE Case Investigation application include:

Search and filter cases based on Case IDs, search criteria, and Views.

Investigate cases by performing an in-depth analysis using detailed information provided for

each case.

Resolve cases by taking appropriate actions on cases.

Record the complete audit history of the case including narratives provided.

Generate reports of cases you have access to.

2.2 User Roles and Privileges

Case Analyst and Case Supervisor are the two roles supported by AML XE Case Investigation

application.

The following table lists functions that each user role can perform.

Privileges Case Analyst Case Supervisor

Access Cases

Search for Cases X X

View Case List X X

View Dashboard X X

Edit Case Context X X

View Event Details X X

Set Event Decision X

View Account X X

View Customer X X


USER ROLES AND PRIVILEGES


Privileges Case Analyst Case Supervisor

View Transactions X X

View Related Case X X

View Related Events X X

Clear Due Date X X

Set Due Date X X

Set Case Owner X X

Set Case Assignee X X

Recommend a Case for

Closure as False Positive

X

Recommend a Case for

Closure as True Positive

X

Reject Recommendation X

Close a Case as False

Positive

X

Close a Case as True

Positive

X

View Evidence (Attachment

and Comment list)

X X

Add Document X X

Remove Document X X

View Attachments X X

Remove Attachments X X

Add Narrative X X

View Narrative X X

View Audit History X X

Add Investigation

Comments

X X

Own a Case X X

2.2.1 Security within the AML XE Case Investigation Application

Security to control data access in the AML XE Case Investigation application is defined in the following

table. You can view a case if the access controls authorize you to view events and business

information.


USER ROLES AND PRIVILEGES


Security Layer Description

Type Controls

Roles Features and Functions This security layer identifies features and

functions you can access within the AML

XE Case Investigation Application.

Business Domains Case and Business

Information

This security layer enables you to restrict

access along operational business lines

and practices. You can only see cases

that are assigned to at least one of the

business domains you have access to.

Jurisdictions Case Information This security layer enables you to restrict

access using geographic locations. You

can only see cases that belong to the

jurisdiction you have access to.

Case Type Case Information This security layer enables you to restrict

access to specific types of investigations.

To see a case, you must have access to

view the specific Case Type assigned to

the case.

GETTING STARTED

ACCESSING CASE INVESTIGATION APPLICATION


3 Getting Started

This chapter provides step-by-step instructions to login to the AML XE Case Investigation application.

3.1 Accessing Case Investigation Application

The AML XE Case Investigation application is qualified to run on Microsoft Internet Explorer (IE) or

Google Chrome web browsers.

Your System Administrator provides the intranet address Uniform Resource Locator (URL), User ID,

and Password to access the application. After your first login, the Case Investigation application

prompts you to change your password.

To access the AML XE Case Investigation application, follow these steps:

3. Enter the URL in the web browser using the following format:

<Protocol>://<HostName>:<Port_Number >/amlxe/login

4. The Financial Services Anti Money Laundering Express Edition login page is displayed.

5. Select the language from the Language drop-down list.

6. Enter your User ID and Password.

7. Click Submit. The Anti-Money Laundering Express Edition Application landing page is

displayed.

8. Click Case Investigation in the Navigation List (LHS menu). The Case Investigation Summary

page is displayed.

GETTING STARTED

ACCESSING CASE INVESTIGATION APPLICATION


SEARCHING CASES

ABOUT CASE SEARCH AND CASE LIST


4 Searching Cases

This chapter describes the multiple search mechanisms available to search cases and select one or

multiple cases for investigation.

4.1 About Case Search and Case List

Use the search mechanism to search and/or filter cases that you want to view and investigate. Your

access control permissions also determine the cases you are permitted to view and investigate.

You can search for cases by one of the following four methods:

1. Using Dashboard: Use the predefined filters provided to search for cases.

2. Using Views Search: Use prepopulated search queries to search for cases.

3. Using Case ID Search: Search for one or multiple cases when you know the Case ID(s). This

search method overrides all other filter criteria.

4. Using Filters: Use filters with multiple search criteria to help you filter the cases.

The results of your search are displayed in a Case List. You can view the Case List in List View or Table

View. You can sort the Case List in ascending or descending order. There are options to modify the

number of cases you view on a page (records per page) and also navigate back and forth between

pages to view all cases in the Case List.

The Case List displays the list of all or filtered cases. You can select a case by clicking the

corresponding Case ID link to view the details, analyze, and resolve it, based on your role privileges.

The following table provides the case details based on the search criteria.

Column Description

Case ID The unique case identification number. This is a link to navigate to the

Case Details page for further analysis.

Title The title of the case.

Case Type A logical grouping of cases. For example, AML_DD, AML_PAT.

Owner The person who owns the case.

Status One of the five possible statuses the case can be:

New, Investigation, Pending Review, Closed - False Positive, and Closed -

True Positive.

Due Date Date by which action must be taken on the case.

Business Domain The business domain to which the case belongs to.

Created Date The date when the case was created.

Jurisdiction The jurisdiction to which this case belongs to.

Closed Date The date on which the case was closed.

SEARCHING CASES

SEARCHING CASES


You click on the Case ID link to view details of the selected case or select one or multiple cases to take

action.

NOTE If the selected case is locked, that is, another user has currently accessed the same case, a warning message is displayed. For more information, see Investigating Cases.

4.1.1 Sorting Case List

To sort the Case List, follow these steps:

1. On the Case Summary page, select an option (Created date, Priority, Due date, Case Type,

Status) from the Sort By drop-down list.

2. You can also sort the Case List in ascending or descending order by clicking the up arrow or

down arrow buttons respectively.

NOTE By default, the search list is sorted by Due Date, Priority, and Case ID.

4.2 Searching Cases

This section describes different ways to search cases and steps to filter cases based on your search

criteria.

You can filter cases by:

Using Dashboard

Using Views

Using Case ID

Using Filters

4.2.1 Using Dashboard

This is the simplest way to search cases. Five buttons are displayed at the top on the Case Summary

page. Each button is associated with a predefined case search criteria. Clicking on a button displays

cases in the Case List based on the predefined search criteria associated with that button. The five

predefined search criteria are:

Overdue Cases: Cases that are past their set due date.

Nearing Due Date Cases: Cases approaching the due date. The default value for a case to be

classified as Nearing Due Date is 1 day from the due date, provided no action is taken on the

case. This default value is set by your System Administrator.

Pending Review Cases: Cases for which investigations have started, but are awaiting

Supervisor's actions (Approve or Reject).

SEARCHING CASES

SEARCHING CASES


New Cases: Cases whose status is New.

Last Case Accessed: The case that you accessed last in this or your previous login.

To search for cases using the Dashboard, follow these steps:

1. Navigate to the Case Summary page. You can see the five buttons, each associated with a

predefined search criteria at the top of the page.

2. Depending on your requirement, click Overdue Cases, Nearing Due Date Cases, Pending

Review Cases, or New Cases. The Case List is updated and cases matching the chosen criteria

are displayed.

3. To see the last case you accessed in this or your previous login, click Last Accessed Case. The

details page of the last accessed case is displayed.

4.2.2 Using Views

Views represent prepopulated search queries. Use the Views option to quickly view a filtered Case List.

To search cases using Views, follow these steps:

1. In the Case Summary page, select an option (Open or Closed) from the View drop-down list.

Relevant cases based on the selected option are displayed in the Case List.

Option Description

Open Cases with any status except those in Closed as False Positive or Closed as True

Positive status.

Closed Cases whose status is either in Closed as False Positive or Closed as True Positive

status.

4.2.3 Using Case ID

The Case ID Search filter is the quickest way to locate cases if you know the case ID. Note that the

search string is not case-sensitive. Example: you can type CA660 or ca660 to find the Case ID CA660.

You can also search for multiple cases by providing case IDs separated by a comma (no space after

the comma). If you are using a combination of search methods, for example: Case ID search and Views

search, primacy is given to the Case ID search and all other search methods are ignored.

To search cases using Case IDs, follow these steps:

1. Navigate to the Case Summary page.

2. Enter one or more unique Case IDs in the Search by Case ID field.

NOTE To search for multiple IDs, separate the case IDs with commas (no space after the comma).

3. Click the Search icon or press the Enter key on the keyboard. The Case List page lists the Case

ID(s).

SEARCHING CASES

SEARCHING CASES


NOTE The Search by Case ID option overrides all other search criteria.

4.2.4 Using Filters

This is a powerful option to search and narrow down the Case List based on a host of search criteria.

You can use a combination of these search criteria to quickly find the case(s). If you don’t enter any

value in any search field, it is equivalent to selecting all the criteria. Search results display only those

cases you are authorized to view.

To search cases using Search Criteria, follow these steps:


2. Click the Filter icon. The Filter properties appear on the left-hand-side pane.

3. Use the expand or collapse buttons to maximize or minimize the filter pane.

4. Enter one or multiple search criteria as described in the following table.

Field Description

Case ID Enter one or more unique case IDs you want to search. For multiple case IDs,

separate them with a comma. Ensure that you do not enter a space after the

comma. Case IDs are not case-sensitive. This overrides all other filter criteria.

Example: CA660,ca671

Created From Use the calendar icon to specify a date on or after which the case was created.

For example: Select 08/15/19 to search for cases created on or after August 15, 2019.

You can also use this along with the Created To filter to search for cases created

within a date range.

SEARCHING CASES

SEARCHING CASES


Field Description

Created To Use the calendar icon to specify a date up to which case was created.

For example: Select 12/06/19 to search for cases created up to and including

December 6, 2019.

You can also use this in conjunction with the Created From filter to search for cases

created within a date range.

Age Use this option to specify a case's age in number of days.

For example, if you want to search a case not older than two days, use the “<”

operator followed by 2 using the up/down arrows.

A case's age is calculated as the number of calendar days between its date of

creation and the current date. Cases stop aging when they are closed.

Case Class A class is a grouping of case types.

For example: AML is a class consisting of types AML_DD, AML_PAT, AML_SURV,

and so on.

Select the case class to narrow your search to include only cases associated with the

selected class.

Case Type A logical grouping of cases.

For example: AML_DD, AML_PAT, and so on.

Select the case type to narrow your search to include only cases of the selected type.

Status The case status can be one of the following:

New: Cases not assigned to any user yet.

Investigation: Cases assigned to users and are under investigation.

Pending Review: Cases for which recommendations are made, but not yet

approved by the Case Supervisor.

Closed as False Positive: Cases closed without the need for any further action.

Closed as True Positive: Cases closed with recommendation for further action

to be taken.

Title Search cases based on case title by enter a few letters of the case's title (case-

sensitive).

For example: if you type AML, you will find cases with titles AML, AML8,

AML_Events_Processing_Rule, and so on in the search results.

Jurisdiction Search cases that belong to a certain business jurisdiction.

The drop-down list contains only jurisdictions which you are authorized to view.

Business

Domain

Search cases that belong to a certain business domain.

For example: EMP, GEN, and INST.

The drop-down list contains only business domains which you are authorized to

view.

Entity Type Search cases based on one or more entity type(s).

When the entity type is specified, you must enter a value in the Entity ID or Entity

Name field.

Entity ID Used in conjunction with Entity Type.

When the entity type is specified, you must enter a value in the Entity ID.

SEARCHING CASES

SEARCHING CASES


Field Description

Entity Name Search cases by the entity name associated with a case. When the Entity Type is

specified, you must enter a value for Entity Name.

Action Type Select the Action Type as Workflow, Operational, or both. By default, both options

are selected.

Workflow actions change the status of a case.

For example: Recommend Close As True Positive.

Operational actions do not change the status of a case.

For example: Add Comment, Document Uploaded, and so on.

If the Action Type option is not selected, the Case Action list displays both the action

types.

Case Action Select one or more Case Actions to search for cases, which are marked for the

specified action to be taken. This list is updated based on the Action Type you

select.

Last Action Used in conjunction with Case Action. Search for cases where the selected Case

Action is the last action recorded on the case.

For example: If you selected Clear Due Date as the Case Action and Yes as the Last

Action, only cases for which the last Case Action was to clear the due date are listed.

If Case Action is not selected, the system excludes this filter from the search criteria.

Action From Used in conjunction with Case Action. Search for cases on which the Case Action is

recorded within the time range specified in the Action From and Action To filters.

For example: If you select Case Accessed as the Case Action and 12/01/19 as the

Action From date, all cases on which the action Case Accessed is recorded from and

including December 1st are listed.

You can use Action From and Action To date fields to specify a date range within

which a selected action was taken.

Action To Used in conjunction with Case Action. Search for cases on which the Case Action is

recorded within the time range specified in the Action From and Action To filters.

For example: If you selected Case Accessed as the Case Action and 12/01/19 as the

Action To date, all cases accessed up to but not including December 1st are listed.

You can use Action From and Action To date fields to specify a date range within

which a selected action was taken.

For example: If you selected Case Accessed and specify 12/01/19 and 12/06/19 as

the Action From and To dates, respectively; all cases accessed between Dec 1st and

Dec 6th are listed.

Priority Select the priority of the case (High, Medium, or Low) from the drop-down to search

based on the case’s priority.

Due Date From Select the date using the calendar to filter the Case List by the past date before the

action should be taken on the case.

Due Date To Select the date using the calendar to filter the Case List up to the date before the

action should be taken on the case.

Closed From Search cases closed on or after the specified date.

You can also use this in conjunction with Closed To date filter to search cases closed

within a date range.

SEARCHING CASES

SEARCHING CASES


Field Description

Closed To Search cases closed up to including the specified date.

You can also use this in conjunction with Closed From date filter to search cases

closed within a date range.

Owner Search cases by case owners.

For example: if you select CM Analyst as the owner, all cases owned by the CM

Analyst are listed.

You can select multiple owners to search using multiple-choice selection.

Event Type Search cases based on the selected event type.

For example: Anti-Money Laundering.

Scenario Used in conjunction with the selected Event Type. Use one or more scenario options

to filter and narrow your search based on the Event Type scenario combination.

Scenarios are displayed in the list based on the event type you select in the Event

Type search field. If any event type is not selected, all available scenarios are

displayed.

Assignee Search cases by assigned user role.

For example: if you select CM Analyst as the Assignee, all cases assigned to the CM

Analyst are listed.

You can select multiple assignees to search using multiple-choice selections.

Standard

Comments

Search cases by standard comments provided to the case.

Comments Search for cases based on comments provided on the case.

5. Click Apply Filter. The cases matching your search criteria are displayed in the Case Summary

page.

6. To carry out a new filter search, click the Reset button and repeat from step 2 of this procedure.

4.2.5 Acting on Cases

In the Case List, you can take action on multiple cases simultaneously based on your access

permissions.

For more information, see Acting on Cases.

4.2.6 Adding Comments to Cases

To add comments to a case or cases, follow these steps:

1. In the Case Summary page, select one or multiple cases. Click the Add Comments icon.

2. Enter the comments and click Done. The new comment is displayed in the comment list.

SEARCHING CASES

SEARCHING CASES


4.2.7 Adding Evidence to Cases

This section explains how to add attachments and comments to the case.

For more information, see Adding Evidence.

INVESTIGATING CASES

ABOUT INVESTIGATING CASES


5 Investigating Cases

This chapter explains how to investigate cases and determine the actions to resolve them.

The following topics are covered in this chapter:

About Investigating Cases

Accessing the Case Details Page

Dashboard

Events

Account

Customer

Transactions

External Entity

Relationship

5.1 About Investigating Cases

A case investigation is carried out using the Case Details page. This page provides complete details of

the selected case and take appropriate actions.

5.1.1 Case Details

The Case Details page provides detailed information displayed in seven sections, each of which can be

accessed by a button on the left pane.

You can view high-level case information by clicking the More Details link at the top of the page.

Depending on your role, you can also modify case-related information.

You have options to view and filter the required information.

NOTE When you click a Case ID on the Case Summary page and navigate to the Case Details page, the selected case is locked by you and other users have view-only access.

5.2 Accessing the Case Details Page

To access the Case Details page, follow these steps:

On the Case Summary page, click the Case ID link to investigate. Only if the case is in New status and it

is not assigned to any owner, a message asking you to confirm if you want to own the selected case is

displayed.

1. Select Yes to confirm and proceed. The Case Details page for the selected case is displayed.

INVESTIGATING CASES

VIEWING CASE CONTEXT


5.3 Viewing Case Context

Use the Case Context window to view important details of the selected case such as Case ID, Case

Title, Case Type, Status, and Priority. Based on your role, you can also update information in some

fields.

To view and/or update the case context details, follow these steps:

1. On the Case Details page of a selected case, click More Details. The case details are displayed.

2. You can only modify the case’s Title, Priority, and Description. The remaining details are view-

only.

3. View the details of the case or modify the information if required.

4. Click Save to save details or Cancel to close the Case Investigation window.

5.4 Dashboard

The Dashboard page displays a bird’s-eye view of all scenarios, transactions, and parties involved with

the selected case. Information is provided under the sections: Scenarios, Transactions, Parties

Involved, and Involved Transaction, and All Transactions.

5.4.1 Scenarios

Use this section to view the scenarios and their highlights.

5.4.2 Transactions

In this section, you will see a graphical representation of the network consisting of customers,

accounts, and external entities involved in the selected case. Transactions between them are displayed

by a red dotted line, which you can click to view additional details.

You can view the relationship between the customer and external entity using the following steps:

INVESTIGATING CASES

DASHBOARD


1. In the Case Details page of a selected case, click the Dashboard button on the left pane and

navigate to the Transactions section.

2. The network graph displays the relation between customers and external entities. Click on the

graphical line between the required customer and their external entity to view the Transactions

Details window. The details such as Total Amount, Number of Transactions, Type of

Transactions, and Transaction Dates are displayed.

3. Click the Close button to exit the Transactions Details window.

5.4.2.1 Filtering Case Network

You can also filter the case network to view only selected entities.

To filter the case network, follow these steps:

1. Click the Filter icon on the top right of the Transactions section. The Filters window is

displayed.

2. Enter or select the required fields and click Apply Filter. The network graph changes based on

the filters you have selected. The information you want to view is displayed on the network

graph.

3. Click the Close button to exit the Filter window.

5.4.3 Parties Involved

This section displays the list of parties involved and their description in this case. Click on a party’s

name to view the details about the selected party.

5.4.3.1 Involved Transactions

This section displays details of the transactions that are flagged.

5.4.3.1.1 Counter Party Details

You can view the names of all the counter parties involved in this transaction under the Involved

Transactions tab.

5.4.3.1.2 Filtering Counter Parties

To filter counter parties, follow these steps:

1. Click the Filter icon on the top right of the Involved Transactions tab. The Filters window is

displayed.

2. Enter or select the required fields.

3. Click Apply Filter. Based on the filter criteria, only required counter party details are displayed.

5.4.3.2 All Transactions

Use this option to view all the transactions that are flagged (which are shown under Involved

Transactions) over a selectable time period ranging from one month to six months.

INVESTIGATING CASES

EVENTS


5.5 Events

Use the Events section to view complete details of events associated with the selected case.

5.5.1 Event Details

The Event Details page displays a complete list and description of the events associated with the

selected case. Events can be on customers, accounts, or external entities.

This page also displays the details of the scenario name and highlights. Based on the focus of the

event customer or account, you can see the relevant sections.

5.5.1.1 Focused Customer Detail

This section displays the details of the focused customer.

NOTE This section is displayed only if the event is a customer.

To view details of the focused customer, follow these steps:

1. Navigate to the Focused Customer Details section.

2. Click Focused Customer. The Current Customer Details window is displayed.

3. For more information, see the Customer section.

5.5.1.2 Customer Linked Accounts

This section displays the number of accounts linked to the selected event and its details.

To view the selected accounts, follow these steps:

1. Navigate to the Linked Account section.

2. Click Account Number. The Accounts Details page is displayed.

3. For more information, see the Account section.

5.5.1.3 Focused Account Details

This section displays the details of the focused account.

NOTE This section is displayed only if the event is an account.

To view the selected focused account details, follow these steps:

1. Navigate to the Focused Account section.

2. Click Account Number. The Accounts Details page is displayed.

3. For more information, see the Account section.

INVESTIGATING CASES

ACCOUNT


5.5.2 Filtering Events in the List

This option allows you to filter the list of events using the search feature.

To filter events in the list, follow these steps:

1. Navigate to the Event page.

2. Click the Filter icon. The Event Filter window is displayed.

3. Enter the required information in the fields.

4. Click Filter. The relevant events are displayed in the Event List section.

5.6 Account

Use the Account page to view the complete details of the accounts associated with the selected case.

5.6.1.1 Account List Details

To view details of accounts, follow these steps:

1. In the Case Details page of a selected case, click the Account button on the left pane. The

Account dashboard is displayed with a list of accounts bound to the event when the event was

generated.

2. Click the link corresponding to the account. The Account Details page is displayed. By default,

the Details tab is displayed with the selected account information.

3. Click the Account hyperlink to view the Current Account window, which displays the account’s

information on the current date.

INVESTIGATING CASES

ACCOUNT


5.6.1.2 Contact Information

Use this section to view the contact address(es) of the selected account.

5.6.1.3 Risk List Memberships

Use this section to view the risk list members associated with the selected account.

5.6.1.4 Balance

Use this section to view details pertaining to account balance such as Account Net worth, Overdraft

Balance, Debt, and so on.

5.6.1.5 Anticipatory Profile

Use this section to view details pertaining to the anticipatory profile associated with the selected

account.

5.6.1.6 Using Transaction

Use this section to view details pertaining to transactions associated with the selected account.

5.6.2 Filtering Accounts

This option allows you to filter the list of accounts using the search feature.

To filter accounts in the list, follow these steps:

1. In the Account Dashboard, click the Filter icon. The Account Filter window is displayed.

2. Enter the required information to filter the accounts.

NOTE Search by Account ID ignores all other search criteria.

3. Click Apply Filter. The accounts based on your filter request are displayed.

INVESTIGATING CASES

CUSTOMER


4. Click the Close button to exit the Filter window.

5.7 Customer

Use this section to view a complete list and description of customers associated with the selected case.

5.7.1.1 Customer List

To view the complete list of customers and their details, follow these steps:

1. On the Case Details page of a selected case, click the Customer button on the left pane. The list

of customers when the event was created is displayed.

2. Click on the link corresponding to a customer whose details you want to view. The details of the

selected customer are displayed.

You can view the current details of the customer in the Current Customer Details window.

INVESTIGATING CASES

CUSTOMER


5.7.1.2 Relationship

To understand the information provided in the Relationship tab, see Transactions.

5.7.1.3 Basic Information

Use this tab to view basic information pertaining to the selected customer such as Residence, Tax ID,

Estimated Liquid Net Worth, Date of Birth, and so on.

5.7.1.4 Contact Information

Use this tab to view contact details of the selected customer.

5.7.1.5 Account Information

Use this tab to view account information of the selected customer.

5.7.1.6 Anticipatory Details

Use this tab to view anticipatory profile details of the selected customer.

5.7.1.7 Risk List Memberships

Use this tab to view the risk list members associated with the selected customer.

5.7.2 Filtering Customers

Use this option to filter the list and view only the selected customers.

To filter the list of customers, follow these steps:

1. In the Customer page, click the Filter icon.

2. Enter the required information based on which you want to filter the list of customers.

NOTE Search by Customer ID ignores all other search criteria.

3. Click Apply Filter. The list of customers is refreshed and only those customers matching your

search criteria are displayed.

4. Click the Close button to close the Filter window.

INVESTIGATING CASES

TRANSACTIONS


5.8 Transactions

Use this section to view a complete list and description of the transactions when the event was created

associated with the selected case.

5.8.1.1 View List of Transactions

To view a list of all transactions associated with this case, follow these steps:

1. In the Case Details page of a selected case, click the Transactions button on the left pane. The

Transaction dashboard is displayed with the list of transactions.

2. Click the Transaction ID. The Transactions details are displayed under multiple tabs: Funds

Transfer, Monetary Instrument Transaction, Cash Transactions, and Backoffice

Transaction.

5.8.1.2 Funds Transfer

Use this tab to view details of funds transfers.

5.8.1.3 Monetary Instrument Transaction

Use this tab to view details of monetary instrument transactions.

5.8.1.4 Cash Transactions

Use this section to view cash transactions associated with the selected transaction.

5.8.1.5 Backoffice Transaction

Use this tab to view back-office transactions for the selected transaction.

5.8.2 Filtering Transactions

Use this option to filter the list and view only the selected transactions.

To filter transactions in the list, follow these steps:

1. In the Transaction page, click the Filter icon. The Transaction Filter window is displayed.

2. Enter the required information based on which you want to filter the transactions.

NOTE Search by Transaction ID ignores all other search criteria.

3. Click Apply Filter. The list of transactions is refreshed and only those transactions matching

your search criteria are displayed.


INVESTIGATING CASES

EXTERNAL ENTITY


5.9 External Entity

Use this section to view a complete list and description of external entities associated with the selected

case.

5.9.1.1 External Entity List

To view the list of all external entities associated with this case, follow these steps:

1. In the Case Details page of a selected case, click the External Entity button on the left pane.

The External Entity dashboard is displayed with the list of all external entities.

2. Click the link corresponding to the external entity whose details you want to view. The External

Entity details page is displayed with multiple tabs.

5.9.1.2 Contact Info

Use this tab to view contact details of the selected external entity.

5.9.2 Filtering External Entities

Use this option to filter the list and view only the selected external entities.

To filter external entities in the list, follow these steps:

1. On the External Entity page, click the Filter icon. The External Entity Filter window is

displayed.

2. Enter the required information based on which you want to filter the external entities.

INVESTIGATING CASES

RELATIONSHIP


NOTE Search by External Entity ID ignores all other search criteria.

3. Click Apply Filter. The list of transactions is refreshed and only those external entities matching

your search criteria are displayed.


5.10 Relationship

Use this section to view a complete list and description of cases and events related to the selected

case.

To view cases and events related to a selected case, follow these steps:

1. On the Case Details page of a selected case, click the Relationship button on the left pane. The

list of all related cases and related events is displayed.

ACTING ON CASES

INTRODUCTION


6 Acting on Cases

This chapter explains how to take action on cases and resolve them.

6.1 Introduction

Based on your role, you can take action on one or multiple cases under investigation. Actions

permitted based on the roles are listed as follows:

Analyst: As an analyst, you can clear a due date, set a due date, recommend a case for closure

as false positive, recommend a case for closure as true positive, set a case owner, set a case

assignee, add comments, and attach the documents on one or multiple cases.

Supervisor: As a supervisor, you can clear due date, set due date, close a case as false positive,

close as true positive, approve or reject recommendations, set a case owner, set a case

assignee, add comments, and attach the documents on one or multiple cases.

The actions you can take are classified as:

Status Changing Actions: Classified as Workflow Action Type, these are actions which when

executed change the status of a case. For example, when an Analyst recommends a case for

closure to the Supervisor, the case changes status from Investigation to Recommend for

Closure.

Non Status Changing Actions: Classified as Operational Work Type, these are actions which

when executed do not change the status of a case. For example, when you email a case, set a

due date for a case, assign a case to another user, or add evidence to a case.

NOTE You cannot perform any action if the selected case is locked, that is, another user is currently accessing the same case.

6.2 Taking Action on Cases

This section explains how to take actions on a selected case or cases.

NOTE To take actions on multiple cases simultaneously, use the Case Summary page to select the cases and take necessary actions. To take action on a single case, select the case from the Case Summary page or navigate to the Case Details page of the case and perform the required actions.

6.2.1 Accessing Take Action Window

The Take Actions window has several options that you can take on a selected case. The options that

you see in this window are based on the case type, case status, and the user role for the selected case

or cases.

ACTING ON CASES

TAKING ACTION ON CASES


To take action on one or multiple cases, follow these steps:

1. Navigate to the Case Summary page. Select one or more cases you want to take action on.

2. Click Take Action. The Take Actions window is displayed.

3. Or, if you are taking action on a single case, you can also click the Take Action button on

the Case Details page. The Take Actions window is displayed.

Take Action window as seen by an Analyst when viewing a case in Investigation status

ACTING ON CASES



Take Action window as seen by a Supervisor when viewing a case in Pending Review status

6.2.2 Setting or Modifying Due Date

You can take the following actions using the Due Date option.

Clear Due Date: You can clear the existing due date of the selected case or cases.

Set Due Date: You can set a new due date for the selected case or cases.

To clear a due date, follow these steps:

1. On the Take Action window, under the Due Date section, select Clear Due Date.

2. Under the Evidence section, click Add Comment.

3. Select one or more Standard Comments and/or enter your comments in the Enter Comments

field.

4. Click Save. The previously set due date is cleared.

To set a due date, follow these steps:

1. On the Take Action window, under the Due Date section, select Set Due Date and set a due

date using the calendar.


3. Select Standard Comments and/or enter your comments in the Enter Comments field.

4. Click Save. The new due date is set for the case.

Due Date must be set to a current or future date.

It is mandatory to enter comments when you are clearing or setting a due date.

ACTING ON CASES



6.2.3 Closing Cases

You can close cases by performing the following Resolution actions:

Recommend Close as False Positive or Recommend Close as True Positive: An Analyst uses

these options to recommend a selected case or cases for closure. After the Analyst takes this

action, the selected case is assigned to the Supervisor for approval. The Supervisor can then

approve or reject the recommendation with their comments.

Close as False Positive: Supervisors use this option to close false positive cases.

Close as True Positive: Supervisors user this option to close true positive cases.

When a case is resolved, the case’s status moves to either Closed as False Positive or Closed as True

Positive and the existing due date of the case is cleared by the system.

As an Analyst, to resolve cases, follow these steps:

1. In the Take Action window, under the Resolution section, select Recommend Close as False

Positive or Recommend Close as True Positive. (These options are available only for the

Analyst).



4. Click Save. The case is assigned to the Supervisor and the status of the case changes to

Pending Review.

After a case is recommended for action by an Analyst, the Supervisor can resolve cases by following

these steps:

1. Select Close as False Positive, Close as True Positive or Reject Recommendation. (These

options are enabled only for the Supervisor).



If the case is rejected, the case is assigned back to the Analyst who recommended this

action and the status of the case changes to Investigation.

If the case is closed as false positive, the case is assigned back to the Analyst who

recommended this action and the status of the case changes to Closed as False Positive.

If the case is closed as true positive, the case is assigned back to the Analyst who

recommended this action and the status of the case changes to Closed as True Positive.

6.2.4 Assigning Cases

With this option you can assign a case or reassign ownership of a case to a different user. There are

two types of case assignments: Set Case Owner and Set Case Assignee.

If the initial analysis of the case reveals an issue that should be reviewed by another user, reassign the

case to the most appropriate user.

Case Owner: When a case is created, by default, a user or user group is made the owner. The

owner can be modified during the investigation of the case.

ACTING ON CASES



Case Assignee: There is no default assignee for a new case. The user is responsible for the

investigation and resolution of cases.

NOTE It is mandatory to enter comments but attaching documents is optional.

The Set Case Assignee action updates the assignee of the case, whereas, the Set Case Owner action updates the owner of the case.

To assign a case or cases, follow these steps:

1. In the Take Action window, under the Assign section, select Set Case Owner and/or Set Case

Assignee.

2. Select the required user from the drop-down list.



5. Click Save. The case is updated with the new owner and/or assignee.

6.2.5 Adding Evidence

Evidence can be comments or attachments; they provide more insight on the case being investigated.

Adding comments and attaching documents are two ways of adding evidence to the selected case or

cases.

NOTE You cannot add evidence if the selected case’s status is either Closed as True Positive or Closed as False Positive.

You can add evidence to a case from the Take Action window. You can also add evidence using

the Case Summary page or Case Details page using the Evidence icon.

Adding attachments to the case does not change the status of the case.

Attachments can be removed from a case. This does not change the status of the case.

Case Investigation provides standard comments based on the case type. You can select as one

or multiple comments to add.

To add comments or attachments, follow these steps:

1. In the Take Action window, under the Evidence section, click Add Comment.


3. Click Save. The comments are saved and captured in the Audit History.

ACTING ON CASES

AUDIT HISTORY


To add attachments, follow these steps:

1. In the Take Action window, under the Evidence section, click Add Attachment.

2. Drag and drop files or upload files as attachments. When you upload the files, the file name,

size, and file type are displayed. You can also delete the uploaded files using the Delete

icon.

3. Click Save. The documents are saved.

6.3 Audit History

The Audit History displays historic details of the case. These details include all activities that are

performed on the case. This saves time when analyzing details and determining the next course of

action when resolving cases.

This also allows you to search and add comments pertaining to the selected case.

6.3.1 Searching Audit History

To view the audit history consisting of all comments pertaining to the case, follow these steps:

1. Navigate to the Case Details page.

2. Click the Audit History button. The Audit History window is displayed with a trail of

comments made on the case.

3. If you are looking for a particular comment, click the Search button and enter the required

information to view details.

6.3.2 Adding Comments

To add comments in the Audit History window, follow these steps:

1. In the Audit History window, click the Add Comments button.

2. Enter your comments and click Done. The new comment is displayed in the audit trail.

6.4 Narrative

Use the Narrative option to capture any narrative surrounding the analysis of a case that has helped

you decide how to dispose the case. Think of it as a log, where you enter your observations as the case

progresses. The narrative exists as a single data element on a case, which allows you to add and

maintain that narrative. The case narrative supports Rich Text Formatting (RTF).

6.4.1.1 Creating or Editing a Narrative

To create or edit a narrative, follow these steps:


2. Click the Narrative button. The Narrative page is displayed with a blank text area.

ACTING ON CASES

NARRATIVE


3. Click Edit. The text area is enabled. Enter your analysis and format as required.

4. Click Save. A confirmation message is displayed.

5. Click OK. The system saves your changes, adds the current date to the Last Updated field, and

your name to the By field in the Narrative section header.

6.4.1.2 Viewing Narrative History

The Narrative History page in the Narrative tab allows you to view the date and time when the

narrative was created or edited, who created or edited it, and the complete narrative analysis.

To view the audit history of a narrative, follow these steps:


2. Click the Narrative tab. The Case Narrative page is displayed with the most recent narrative

entered for the selected case.

3. Click History. The Narrative History window is displayed with the following information for

your analysis.

Field Descriptions

Date and Time Displays the date and time on which the narrative was created or edited.

By Displays the user’s name who updated the narrative.

Details Displays the narrative entered for the case.

CASE REPORTS

GENERATE REPORT


7 Case Reports

The AML XE Case Investigation application enhances data visualization and analyses by providing the

ability to generate operational reports of cases. Use the filter mechanism to narrow down the cases of

your interest, select the row and column data, and generate the report for cases you have access to

view. These reports are available in tabular and graphical formats.

7.1 Generate Report

To generate a report:

1. From the Navigation List (LHS menu), click Case Reports.

2. Expand the Case Filters section, if it's not already expanded, by clicking the expand/collapse

icon.

3. Provide your filter criteria. See step 4 of the Using Filters section for information on providing

the filter criteria.

4. Collapse the Case Filters section by clicking the expand/collapse icon.

5. Select one of the following options from the Columns list.

Field Description

Case Age A case's age in number of days. A case's age is calculated as the number of calendar

days between its date of creation and the current date. Cases stop aging when they

are closed.

If you select Case Age, you must select one of the Column Aggregation options:

Weekly, Daily, Monthly, Quarterly, or Yearly.

Use the Case Aggregation option to specify how the cases meeting your criteria

must be displayed, that is, on a daily, weekly, monthly, quarterly, or yearly basis.

Assignee Cases assigned to user roles. For example: cases assigned to CM Analyst.

Type Cases of a selected event type. For example: Anti-Money Laundering.

Jurisdiction Cases belonging to a business jurisdictions you are authorized to view.

Owner Case owners.

Priority Priority of the case (High, Medium, or Low).

Status Status of a case: New, Investigation, Pending Review, Closed as False Positive, or

Closed as True Positive.

6. From the Rows list, select a different option from the one you chose from the Columns list.

Note that the options available in the Rows list are the same as those available in the Columns

List.

7. Click Generate Report. The report is generated and displayed in the Case Report section.

CASE REPORTS

GENERATE REPORT


Sample report showing cases aggregated Daily in tabular and graphical formats.

Sample report showing the same cases aggregated Weekly in tabular and graphical formats.

CASE REPORTS

GENERATE REPORT


In the graphical view, the Columns values form the y-axis and the Rows values form the x-axis

of the chart.

8. Click the Graphical View or Tabular View buttons on the top-right corner of this section to

view the report as a chart or a table, respectively.


OFSAAI Support Contact Details

Raise an SR in https://support.oracle.com if you have any queries related to EPM, ERM, and

FCCM applications.

https://support.oracle.com/


Send Us Your Comments

Oracle welcomes your comments and suggestions on the quality and usefulness of this publication.

Your input is an important part of the information used for revision.

Did you find any errors?

Is the information clearly presented?

Do you need more information? If so, where?

Are the examples correct? Do you need more examples?

What features did you like most about this manual?

If you find any errors or have any other suggestions for improvement, indicate the title and part

number of the documentation along with the chapter/section/page number (if available) and contact

the Oracle Support.

Before sending us your comments, you might like to ensure that you have the latest version of the

document wherein any of your concerns have already been addressed. You can access My Oracle

Support site which has all the revised/recently released documents.

oracle financial services anti money laundering express ...€¦ · oracle financial services anti...

Documents