How to Carry Out SAR Notification Reason Operations In Compliance Planet Anti Money Laundering/Core Banking Finance Software

This section provides a guide on how to modify “REASON” options available when sending an SAR notification (see section 6.2.2) on the Compliance Planet, with step-by-step instructions and pictures. These options are available when filling in “Reason for filing SAR” when sending an SAR notification.

Here, the operations are;

1. Editing notification reason,
2. Deleting reason
3. Adding a new reason

NOTE: Only person(s) profiled as deputy supreme admin can carry out these operations.

To perform any of the operations;

STEP 1: From the app dashboard, click ‘Control panel’ as in Fig. 23.1a.

Fig 23.1a

• This will display a drop-down as shown below.
  
  

STEP 2: Select ‘SURVEILLANCE’ on the drop-down list and click on “CILPA“. See an example in Fig. 23.1b below.

Fig 23.1b

STEP 3: In the CILPA drop-down option, select the “SAR” as in Fig. 23.1c below.

 Fig. 23.1c

• This will display a page showing a list of all reasons that have been created and are available on the Compliance Planet. See Fig. 23.1d for an example.

(Fig. 23.1d)

How to edit the SAR notification reason

This refers to changing the description or status of the SAR notification reason. Here is how to do this.

STEP 1: Click on the ‘EDIT’ button in the action column. See Fig. 23.2a for an example.

Fig 23.2a

• Clicking the EDIT button will display a console titled ‘Notifications Reasons’ as shown in Fig. 23.2b below.

Fig 23.2b

STEP 2:  Click on the reasons text box to change the Notification reason description. See an example in Fig. 23.2c below.

Fig 23.2c

STEP 3: Click on the reason status checkbox to make that notification reason active or inactive. This is illustrated in Fig. 23.2d and Fig. 23.2e below.

Fig. 23.2d

STEP 4: Click on the ‘SAVE’ button to save the edit or click ‘DISMISS CONSOLE’ to close the console. See Fig. 23.2f for an example.

Fig. 23.2f

• This displays a confirmation console as in Fig.23.2g below

Fig 23.2g

• A notification, as in Fig. 23.2h, will be displayed at the top of the page when the operation is successful.

Fig 23.2h

How to delete an SAR notification reason

A deleted SAR notification reason will no longer be part of the available options when sending a SAR notification on the software(See section 6.2.2 for sending an SAR notification).

 Here is how to do this.

STEP 1: Click on the ‘DELETE’ button of the SAR notification reason as in Fig. 23.3a.

Fig23.3a

• This displays a confirmation console to confirm your request to delete the SAR reason.

STEP 2: Click on ‘CONFIRM’ as in Fig. 23.3b to proceed or ‘CANCEL’ to discontinue.

Fig. 23.3b

• A notification will be displayed at the top of the page when the delete operation is complete, as in Fig. 24.3c below.

Fig. 23.3c

How to add a new SAR notification reason

This refers to creating a new SAR notification reason. This notification reason will form part of the available options when sending a new SAR notification on the compliance planet (See section 6.0 for sending an SAR notification).

STEP 1: Click on ‘NEW NOTIFICATION REASON’ as shown in Fig. 23.3d below

Fig. 23.3d

• A console as in Fig. 23.3e will be displayed.

Fig. 23.3e

STEP 2: Fill the reasons text box as in Fig. 23.3f below

(Fig. 23.3f)

STEP 3: Click on the ‘reason status’ checkbox to make that notification reason active or inactive. This is illustrated in Fig. 23.3h and Fig. 23.3h below.

Fig. 23.3h

Fig. 23.3h

• Fig. 23.3g shows that the notification reason is set ACTIVE, while Fig. 23.3h shows that the notification reason is set INACTIVE.
• An active notification reason will form part of the available options when sending a SAR notification on the software. In contrast, an inactive notification reason will no longer be part of the available options when sending a new SAR notification on the Compliance Planet.

STEP 3: Click on ‘SAVE’ to save the edit or click ‘DISMISS CONSOLE’ to close the console. See Fig. 23.4a for  an example

 Fig. 23.4a

• This displays a confirmation console as in Fig. 23.4b below.

Fig. 23.4b

• A notification, as in Fig. 23.4c (A), will be displayed at the top of the page when the operation is successful. Also, see Fig. 23.4c for an example of the updated description and status

Fig. 23.4c

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