Summary 


This article will guide you through the full step by step of how to send through a case to First AML via the platform or mobile app.



TABLE OF CONTENTS


Creating a Standard Case




Video Demonstration


Mobile View:  Agent View     

                                              


Desktop View: Platform User View






Detailed Description


Step 1: Click on "Create new case" 


Click the green 'Create new case' button on the top right hand side of the main First AML dashboard.


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 - why they are completing this captured activity/transaction with you i.e. if they are selling a family home it may be because they are relocating out of town
  • Nature - nature of the transaction and client (e.g. returning clients selling family home) - giving a bit more context to who the customer is and their relationship to you (the reporting entity)
  • 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 customer
  • Branch


Platform ViewMobile View




Step 3: Click "Create Case"


Once you have entered the case details, you will land on a Draft case. 
  1. You can add individuals, edit their contact details, verify them, and add notes before submitting your case. 
  2. 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 ViewMobile 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. Please add any individuals you know are involved

  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 5 (optional): Verify Individuals 


Platform ViewMobile View
If you are meeting with any of the individuals you have added and want to verify them in person before submitting the case:
  1. Click the 'Verify' button

  2. This will then prompt a window giving you two options to access the EIV form (Also includes the option to skip the biometric stage, if you are able to verify your clients in person)

    * The individual is verified in-person - This tick box gives the option to skip the biometric stage of the EIV form. (Please note: this requires the person verifying the client to confirm they have sighted the original document in the presence of the client and verify it is a true likeness of the individual)

    Option one: Get Started - Choose this option for the standard process and proceed to step c. where you start the EIV form with your client from your current device (gives you the option to switch device before photos/videos are required)

    Option two:  Verify on another device - Choose this option when you prefer to use the QR code method to move to another device to complete the form from there (the Get Started option also gives the option to switch device on a further stage if required)

    How to use the QR code method:
    - Open your mobile device with a camera, and open the camera app
    - Point your camera at the QR code you see on the screen of the current device with the QR code
    - Click on the prompt the QR code generated to open the form with your browser (In the example below, "Open in Chrome" is generated)

    (If the QR code method does not work for you, please use the "Get Started" standard process where it gives other options for you to switch to another device)

  3. This will take you through the Electronic Verification Form
    (For step by step details on how to complete the EIV form please Click Here)





Step 6 (optional): Add case notes - How to toggle between Individual and Note section on mobile


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



Platform ViewMobile View


Note: To toggle between the notes section and individuals section on your mobile app, please click on the white box containing "Individuals" and choose the section you would like to go to as shown below:




Step 7: Submit the case


Once you have entered the relevant information, please submit the case to First AML.

  1. Select the 'Submit case' button, this will update the case to In Progress. 
  2. Once in progress, our  team will reach out to verify the individuals in the case. If your vendor prefers to complete the ID form with you in person, you can verify an individual using the 'Verify' button.
  3. Once the case is in progress you can view the notes & activity log for the case.


Platform ViewMobile View

Toggle between Individuals/Notes/Activity log on the mobile app

 

Once the case is changed to "In Progress" you will be able to toggle between the Notes/Individuals/Activity Log sections on your mobile app. 

Please click on the white box "Individuals" which will prompt a drop down. Choose the section you would like to go to as shown below:

You can also verify the individuals once the case has been moved to "In progress" status by clicking on the name of the individual in the Individuals tab as shown below:



Creating a Lite Case


Demo videos


The following demo videos take you through the full process of creating and completing a lite case according to your region.



Australia





New Zealand



Step by step case submission guide


Step 1: Click on "+ Create new case"

 



Step 2: Click on "Lite case" 




Step 3: Complete the transaction details




Step 4: Click "Create Case"


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

  1. You can now add the individual, edit contact details before submitting your case. 
  2. Please note that you will need to add an individual before you can submit the case



Step 5: Click on the "+ Add individual"


After clicking on the "+ Add individual" button, you will then need to fill in the Individual's details:

  • First name
  • Middle name
  • Last name
  • Email address
  • Phone number

Then click "Save"


Step 6: Submit the case


Once you have entered the relevant information, please submit the case to First AML.


Select the 'Submit case' button, this will update the case to In Progress. 

Step 7: Wait for the results notification to come through


There could be four types of results:

  1. Pass - Individual had passed the verification checks sucessfully
  2. Consider - Results indicate some verification checks should be considered
  3. Fail - Results indicate some verification checks have failed
  4. Dormant - Client has not responded within timeframe




Step 8 (Optional): Escalate the case into a standard case


You can escalate a lite case to First AML for further investigation if it has completed with an individual that has a "Consider" or "Failed" result.


Escalating the case to us for rework means we can retrieve your client’s information and in most cases, they won’t need to re-supply information via a new case.


For further details on the process of escalating a Lite case. Click here - Lite case escalation




For further details on the process of completing the verification form sent through to your clients. Click here - How do I complete the verification form?