Summary


Draft cases enable you to create a case, input part of the information, then leave it in your First AML Dashboard until you are ready for the case to be actioned. The First AML AML Specialist team cannot view your case until you submit it through to 'In progress' status. 



Benefits of using the draft functionality:
 

  • You can input basic case information before going to meet your clients in person, then use the 'Verify Now' button to verify your clients with your smartphone. This saves you from having to input case information while you are with the clients in person.
     
  • If you are verifying multiple individuals, you can verify one, leave the case in draft and then when you meet the other individual, you can go back into the case. You can also verify any individuals once you have submitted the case.

  • You can submit the basic case information, leave in draft and then add any additional notes, case contacts details or information in the notes section at a later time. Once the case is submitted, you will not be able to amend the notes section. 



TABLE OF CONTENTS



How to create a draft case

Create a draft case, so you are ready to verify your clients when you meet in person before sending through to First AML to complete the final checks.




Video Demonstration: Draft Case Creation



Creating a Draft Case: Agent User





Creating a Draft Case: Platform User

 





Detailed Description - Draft case creation


Step 1: Click on "Create new case" 



Step 2: Complete the transaction details


This next screen will appear slightly different depending on whether you are a Real Estate Agent, an Advisor, or a Lawyer.



a. Real Estate Agents:


The screen will first appear asking for the deal type, entity type, expected transaction value, and the branch. As you populate the boxes, further boxes will appear as below.

  • Deal type 
  • Purpose
  • Street address/city/post code
  • Entity type- is the property owned by individual(s), trust, company etc
  • Case name- For individual cases, the name of the individual/s. For entity cases, the name of the entity. 
  • Expected transaction value (This field cannot contain any special characters)
  • Branch



Platform ViewMobile View




b. Advisors (Investment Agents)

  • Entity type- is your customer an individual(s), trust, company etc
  • Branch


Platform ViewMobile View




c. Lawyer


  • Entity type- is your customer an individual(s), trust, company etc
  • Reference- your internal reference for this client 
  • Branch



Platform ViewMobile View



Step 3: Click "Create Case"


Once you have entered the case details, you will land on a Draft case. 

a. You can add individuals, edit their contact details, verify them, and add notes before submitting your case. 
b. Please note that you will need to add at least one individual before you can submit the case, so that First AML have someone to contact. 
Platform View


Mobile View





Step 4: Add individuals

Please add all individuals who are involved in the case, whether they are just someone to liaise with to collect information for CDD purposes, or an individual who will need to be verified.


  1. Please include their name, email address & phone number
  2. Click "Save", or if you want to add any additional individuals click "Save & add another"


Note: If the case is for individuals owning the property in their personal capacity, without e.g. a company or trust, please add all the individuals that need to be verified

 


Platform ViewMobile View

(Step 4.1: Add individuals)


  1. If you are meeting more than one client in person to verify their ID, please add all individuals that needs to be verified. 
  1. If you are only meeting one person, but there are several individuals involved that needs to be verified, only add the individuals who you will be meeting. First AML will verify anyone else. 




Step 5: Draft Complete


At this point the draft case is complete. You can choose to edit the details of an individual by clicking on the three grey dots on the right of the "Verify" button while the case is still in the draft status.





Step 6: (optional) Add case notes 


This is an optional step where you can liaise with First AML. If you have any additional information that you think might be help for the analyst to know, please note it down here.

For details on how to submit a draft case to First AML so our AML Specialists can start working on it, please click here








How to delete a draft case

If you have a case in draft status and would like to remove it from the platform, you can simply click on the bin icon and delete the case. 

Please note, this will permanently delete the case from your system. If you require the case in the future, a new one will need to be created.



Video demonstration - Draft case deletion 



Detailed Description - Draft case deletion


A compliance officer or office admin is able to delete cases while they are still in the draft status for themselves or on behalf of Agents. To do this, simply follow the steps below: 



Step 1: At the main page, click on the draft case that you wish to delete.

 




Step 2: Click on the bin icon and confirm that you would like to delete the case 





Step 3: Confirm that you would like to delete the case. Once you click on "Yes, delete", the process is complete.