complianceaml

How to Revise Suspicious Transaction/Activity Notification (STR/SAR) In Compliance Planet Anti Money Laundering/Core Banking Finance Software

The STR/SAR notification goes straight to the REVISION DESK team lead(s) when successfully sent. It is the duty of the revision team lead(s) to assign notifications to revision officer(s) to review the notifications sent to the compliance team. Below are steps on how to review notifications sent to the compliance desk. Note that notifications attended to by team members will go to the team lead who can either accept or reject the team member’s decision (to accept or reject the notification). If a team member’s decision is rejected, the notification goes back to the team member to work on before it returns to the team lead. However, upon team lead’s approval the notification goes to the next desk i.e. supervision desk or revision desk (depending on the institution setting) NOTE; Only Person(s) profiled as ‘Revision Desk Officer’ can carry out these operations Below are steps on how to review notifications sent to the compliance desk. ➔ From the main dashboard and click on reports as in fig below

STEP 1: From the left-hand side menu click on “NFIU STR/SAR Revision”. See this feature in fig. 6.3a below.

(fig. 6.3a) ➔ Clicking on “NFIU STR/SAR Revision” will display a page as in fig. 6.3b below.

(fig. 6.3b) ➔ The notification(s) highlighted “RED” indicates that it has not been viewed by anyone on the reporting desk. ➔ The notification(s) highlighted “GREEN” indicates that it has been viewed by you alone. ➔ The notification(s) highlighted “WHITE” indicates that it has been viewed by you and at least one other reporting officer(s) ➔ The notification(s) highlighted “BLUE” indicates that it has been viewed by other reporting officer(s) excluding you You can increase the number of notifications you want to see per page by clicking on the ENTRIES box. Pick any number of entries per page of your choice. See fig. 6.3c below for an example.

(fig. 6.3c) ➔ You can sort the notifications by clicking on any of the column header, either by alphabetical order or from the latest to the earliest notifications or vice-versa as shown in Fig 6.3d above

(fig. 6.3d) ➔ Click on the VIEW box to see notifications classified according to the stage of processing they have gotten to. See fig. 6.3e for the classes of notifications available to a revision officer’s view. Select any of them.

(fig. 6.3e) As seen in fig. 6.3e above, the classes are;

Revision Officer Pending Notification(s); these are notifications that have not been reviewed, i.e. they have not been attended to by a revision officer. This is the default view of the revision desk.
Revision Officer Approved Notification(s); these are notifications that have been reviewed by a revision officer and approved by the revision desk team lead. These notifications will be forwarded to the supervising officer for further processing. Once a Notification is reviewed and approved, it joins the supervising officer pending Notification(s) list for further approval.
Revision Officer Rejected Notification(s); these are notifications that have been reviewed but rejected by team lead.
Pending Notifications Assigned to me; these are notifications that are assigned to you (a revision officer) by the revision desk team lead and are yet to be reviewed or treated by you.
My Notification(s) rejected by team lead; these are notifications that have been reviewed by you but not satisfactory to the revision desk team lead.
Pending Notification(s) assigned by me; these are notifications that you (i.e. if you are profiled as either team lead 1 or 2) assigned to other revision officers in your team and are yet to be treated or attended to. In this case you are the team lead.
Revision Officer All Pending Notification(s) Assigned; these are the notifications that have been assigned to a revision officer (or team member) by the team lead but are yet to be attended to.
Revision Officer All Pending Notification(s) Unassigned; these are the Notifications are yet to be assigned to any revision officer (or team member) by the revision desk team lead.
Revised Notification awaiting team lead’s attention; these are notifications that have been attended to by a revision desk team member but is yet to be reviewed or treated by the team lead.
Supervising Officer Rejected Notification(s); these are notifications that have been reviewed by revision officer and sent to supervising officer for further processing but were rejected by the supervising officer.
Supervising Officer Pending Notification(s); these are notifications that have been approved by revision team lead and await the supervising officer’s treatment.

➔ After selecting the class of Notification(s) from the VIEW box, Click on the view reports button to view the notification(s) from any of the selected class. This button is at the top-right corner of the page. See this in Fig6.3f below

(fig. 6.3f) ➔ Also, you can search for a particular notification by typing in the customer’s name or account number concerned in the search box. The planet will make the search immediately. See fig. 6.3g for an example of a search.

(fig. 6.3g) STEP 2: Select notification to be reviewed from the ‘REVISION OFFICER PENDING NOTIFICATION(S) list by clicking on the details button at the end of the notification row. NOTE: If you are not profiled as a Team Lead 1 or Team Lead 2 on Revision desk; all notifications revised by you will be forwarded to a Team Lead 1 or Team Lead 2 on revision desk for higher level approval. If the Team Lead 1 or Team Lead 2 approves, then it proceeds to the next higher desk. If the Team Lead 1 or Team Lead 2 rejects, then it is returned to you for your re-evaluation.

(fig. 6.3h) STEP 3: By clicking on ‘DETAILS’, a console will be displayed as in fig. 6.3i.

(fig. 6.3i) STEP 4: Click on the ‘Reason for Filing Suspicious Transaction Notification’ box to state your reason(s) for approving the notification. This step is compulsory if you want to accept the notification. See an example in fig. 6.3j below.

(fig. 6.3j) STEP 5: Click on “Extra Details” box to enter in other comment. STEP 6: Click on “Action Taken” box to enter in action(s) taken concerning the suspicion filed. See an example in fig. 6.3k below (Note that this field is mandatory if you want to accept the notification).

(Fig. 6.3k) STEP 7: Click on ‘Reason to Decline’ box (if you want to reject the notification) to enter in comments. This step is mandatory if you want to reject the notification. See fig. 6.3l for an example.

(fig. 6.3l) STEP 8: Click on REJECT or ACCEPT. A confirmation console will be displayed to confirm your selected action. Check that you are sure of your options before rejecting or accepting the notification as this step cannot be reversed once confirmed. See fig. 6.3m and 6.3n to see a confirmation console when you decide to ‘reject’ and when you choose to ‘accept’ respectively. To proceed, click on CONFIRM and to cancel the review, click on CANCEL.

(fig. 6.3m)

(fig. 6.3n) ➔ Irrespective of the decision you make to accept or reject the notification, the software will display a notification at the top of the page.

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How to Send SAR Notification to your institution’s compliance Team In Compliance Planet Anti Money Laundering/Core Banking Finance Software

The ‘notification’ section of the STR/SAR on the planet handles the instant notification of the compliance team of a bank, upon the identification of a suspicious transaction or activity. Follow the following steps to send a STR Notification

STEP 1: Click ‘Send SAR notifications’ as in fig. 6.2.2a below.(Fig 6.2.2a)

➔ Clicking on ‘SEND SAR NOTIFICATIONS’ will display a console as in fig. 6.2.2b below

(Fig 6.2.2b)

STEP 2: Type in the Account number involved in the activity. See an instance in fig. 6.2.1c. Kindly note that the account number must be valid.(Fig 6.2.2c)

STEP 3: Fill in all other information about the activity in the editor provided on the console. See an example in fig. 6.2.2d

(Fig6.2.2d)

STEP 4: Click on “Select Document(s) to Upload” button to add supporting documents to the SAR notification as shown in Fig.6.2.2e below(Fig 6.2.2e)

➔ Click on ‘SEND SAR TO COMPLIANCE TEAM’ to send the information to compliance desk. This button is at the bottom-right corner of the console. Check out this button in fig. 6.2.2e above.

➔ A confirmation console will be displayed when you click on ‘SEND SAR TO COMPLIANCE TEAM’. Click on CONFIRM to proceed or click on Cancel to go back to the notification console.

(fig. 6.2.2f)

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How to Send STR Notification to your institution’s compliance Team In Compliance Planet Anti Money Laundering/Core Banking Finance Software

The ‘notification’ section of the STR/SAR on the compliance planet handles the instant notification of the compliance team of a bank, upon the identification of a suspicious transaction or activity. Follow the following steps to send a STR Notification.

STEP 1: Click ‘Send STR notifications’ as in fig. 6.2.1a below

(fig. 6.2.1a)

➔ Clicking on ‘SEND STR NOTIFICATIONS’ displays a console as in fig. 6.2b. It is the STR Notification console. The STR notification console requires information about the suspicious transaction.

(fig. 6.2.1b)

STEP 2: Type in the Account number involved in the transaction. See an instance in fig. 6.2.1c. Kindly note that the account number must be valid.

(fig. 6.2.1c)

STEP 3: Fill in all other information about the transaction in the editor provided on the console. See an example in fig. 6.2.1d

(Fig. 6.2.1d)

➔ To fill the general information about the transaction and extra details section, there is a rich text editor which allows plain texts, characters and special features like tables, font style, colour, size, alignment, etc to format and customize the texts in your notification. See this feature in fig. 6.2.1e for an example.

(fig. 6.2.1e)

➔ Amongst the features on the toolbar of the editor, there is a button that can maximize the editor to full screen. This button also minimizes the editor’s view back to the console. See this button in fig. 6.2.1f and see fig. 6.2.1g for an example of a full screen view.

(fig. 6.2.1f)

(fig. 6.2.1g)

STEP 4: Click on “Select Document(s) to Upload” button to add supporting documents to the STR notification as shown in Fig.6.2.1h below

(fig. 6.2.1h)

➔ Click on ‘SEND STR TO COMPLIANCE TEAM’ to send the information to compliance desk. This button is at the bottom-right corner of the console. Check out this button in fig. 6.2.1h above.

➔ A confirmation console will be displayed when you click on ‘SEND REPORT TO COMPLIANCE TEAM’. Click on CONFIRM to proceed or click on Cancel to go back to the notification console.

(fig. 6.2.1i)

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KYC Repository Listing In Compliance Planet Anti Money Laundering/Core Banking Finance Software

The compliance planet software keeps a record list of all KYC reports that have been manually scheduled. In this section, you will learn how to find your scheduled KYC report and some other features to give you the best experience.

NOTE; Only person(s) assigned right to ‘View KYC report’ can carry out this operation

STEP 1: From the left hand side menu, click on ‘CBN ADRAPS KYC LIST’ Check out fig. 5.4a below.

(fig. 5.4a)

➔ Clicking on ‘KYC Repository LIST’ will display a page as in fig. 5.4b below. On this page, you can search out KYC reports by specifying periods in which they were scheduled for.

(fig. 5.4b)

STEP 2: Click on the START DATE button/box and the END DATE button/box to set the beginning and the end of the period in which the reports you want to see have been scheduled for. See fig. 5.4c below for an example and check out fig. 5.3e to study the use of the calendar.

(fig. 5.4c)

➔ Take a look at the arrow labelled a to d in fig. 5.4d to study the calendar.

a) Click on the given year to change it to your year of choice.

b) Click on the given month to change it to your month of choice.

c) Then, click on the date of the month.

d) You can also click on the angle brackets on the calendar [ ‘’ ] to go backward or forward.

(fig. 5.4d)

➔ You can increase the number of reports you want to see per page by clicking on the ENTRIES box. Pick any number of entries per page of your choice. See fig. 5.4e below for an example.

(fig. 5.4e)

STEP 3: Click on the VIEW button to see the reports. It is an orange colour button at the upper area of the page, next to the END DATE box. By doing this, the software will search out reports that were scheduled for that period you have entered in the date boxes. See fig. 5.4f below to see the pointer clicking on the view button and see the results of the example in fig. 5.3g.

(fig. 5.4f)

(fig. 5.4g)

➔ The software will search out the requested reports and give information about the start and end date, the number of branches the account information relates to (Kiosk Rpt), the number of excel files and the XML files the report has been written into, the start date and end date for the processing of the report, the report type and whether the report has been completed or not. See fig. 5.4g above.

➔ The numbers under the Kiosk Rpt column represent the number of branches reported in the KYC report. By clicking on Kiosk Rpt., a page titled, Kiosk KYC Report, will come up. Another name for branch on the compliance planet is kiosk. This page gives information about the branch’s ID, number of tier one accounts and tier two accounts, their total account balances and number of accounts that moved from one tier to another, for each branch reported in the ADRAPS KYC. See fig. 5.4h below.

(fig. 5.4h)

➔ See the following steps on how to make use of the features on the Kiosk KYC Report page.

a) Click on the entries box to adjust the number of transactions you want to see per page. See fig. 5.4i below for an example on how to do this. The software will automatically effect your changes.

(fig. 5.4i)

b) Click on the filter box to select a bank branch for which you want to see KYC information. See fig. 5.4j below for an example on how to do this.

(fig. 5.4j)

c) After selecting the bank branch of your choice as in fig. 5.4j above, click on VIEW to see the result of your selection. See fig. 5.4k for an example on how to do this.

(fig. 5.4k)

➔ The numbers under the ‘Excel’ column (in fig. 5.4g) also represent the number of Excel files that the software has written the report into. By clicking on the number of Excel files, the KYC Repository Excel file(s) console will be displayed on screen. See fig. 5.4l below for an example of the console.

(fig. 5.4l)

➔ The KYC Repository Excel file(s) page gives information about the Excel file name(s), the number of times users have downloaded the file and the download history. See the following steps on how to make use of its features.

a) Click on the entries box to adjust the number of Excel files you want to see per page. See fig. 5.4m below for an example on how to do this. The software will automatically effect your changes whenever you do this.

(fig. 5.4m)

b) Click on the file name to download the Excel file to your computer. The number of download will change as soon as you click on the file name. See fig. 5.4n below for an example on how to download KYC excel file.

NOTE; Only person(s) assigned right to ‘Process KYC report’ and ‘Download KYC Report’ can carry out this operation

(fig. 5.4n)

c) To see who downloaded the file and the time of download, click on the ‘File Download History’ button. A console will be displayed on screen as in fig. 5.4o below for an example. Close the console using the DISMISS button at the bottom-right corner of the console.

(fig. 5.4o)

d) Also, at the bottom-right corner of the KYC Repository Excel file(s) page, the software gives information about the number of pages of the KYC Repository Excel file(s) list,, with the page numbers written out. All the page numbers represent buttons for each page. By clicking on any page number, the software takes you to that particular page. The NEXT button will take you to the page after the one you are viewing at the moment, while the PREVIOUS button will take you to the page before the one you are viewing at that moment. To close this page, click on the DISMISS button. It is also at the bottom-right corner of the page.

➔ The numbers under the ‘XML’ column (in fig. 5.4g) also represent the number of XML files that the software has written the respective report into. By clicking on the number of XML files, a page will be displayed as in fig. 5.4p

(fig.5. 4p)

➔ The KYC Repository XML file(s) page also gives information about the XML file name(s), the number of times users have downloaded the file(s) and the download history. See the following steps on how to make use of its features. The features on the KYC Repository XML file(s) page work like those of the KYC Repository Excel file(s) page.

a) Click on the entries box to adjust the number of XML files you want to see per page. See fig. 5.4q below for an example on how to do this. The software will automatically effect your changes whenever you do this.

(fig. 5.4q)

b) Click on the file name to download the XML file to your computer. The number of download will change as soon as you click on the file name. The file name is underlined and the download is immediately also! See fig. 5.4r below for an example on how to download KYC XML file.

NOTE; Only person(s) assigned right to ‘Process KYC report’ and ‘Download KYC Report’ can carry out this operation.

(fig. 5.4r)

c) To see who downloaded the file and the time of download, click on the ‘File Download History’ button. A console will be displayed as in fig. 5.4s below for an example. Close the console using the DISMISS button at the bottom-right corner of the console.

(fig. 5.4s)

d) At the the bottom-right corner of the KYC Repository XML file(s) page, the software also gives information about the number of pages of the KYC Repository XML file(s) list, with the page numbers written out. All the page numbers represent buttons for each page. By clicking on any page number, the software takes you to that particular page. The NEXT button will take you to the page after the one you are viewing at the moment, while the PREVIOUS button will take you to the page before the one you are viewing at that moment. To close this page, click on the DISMISS button at the bottom-right corner of the page. See these features in fig. 5.4s above.

➔ Back to fig. 5.4g – KYC Repository list page, at the end of each report row, the software shows if the processing of the report is enabled or dis-enabled under the ‘ACTIVE’ column.

➔ For reports that have been completed, their status will read, ENABLED. See fig. 5.4g for an instance.

➔ For reports that have not been completed, there will be an extra button next to their ACTIVE status. This button is used to ACTIVATE or DEACTIVATE the processing of the report. See fig. 5.4g also for an example. The button turns red when the report is enabled and it can be used to DEACTIVATE the report. It is green when the report is dis-enabled and it can be used to ACTIVATE the report for processing.

STEP 4: Click on Activate to enable processing of report or Deactivate to disable the processing of the report.

NOTE; Only person(s) assigned right to ‘Process KYC report’ and ‘Edit KYC Report’ can carry out this operation

➔ Clicking on ACTIVATE turns the status bar of the report to green with an ‘ENABLED’ inscription, while clicking on DEACTIVATE will turn the status bar back to red with an ‘DIS-ENABLED’ inscription. See fig. 5.4t and fig. 5.4u to see the result of activating the report for an example and see fig. 5.4v and fig. 5.4w to see the result of deactivating the report for another example.

● Activating a report

(fig. 4.7t)

(fig. 4.7u)

● Deactivating a report

(fig. 4.7v)

(fig. 4.7w)

➔ At the bottom-right corner of the page, the software gives information about the number of pages of your result, with the page numbers written out. All the page numbers represent buttons for each page. By clicking on any page number, the software takes you to that particular page. There is the NEXT button to take you to the next page when you click on it and there is a PREVIOUS button to take you to the page before the one you are viewing at that moment. See these features in fig. 5.4x below.

(fig. 5.4x)

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Suspicious Transaction / Suspicious Activity Report (STR/SAR) In Compliance Planet Anti Money Laundering/Core Banking Finance Software

Anti-Money laundering and Countering Financing of Terrorism regulations places obligations on financial institutions to detect and deter money laundering and terrorism financing. A financial institution is required to render an STR/SAR report to the Nigerian Financial Intelligence Unit within twenty-four hours and inform the CBN of same whenever it detects a known or suspected criminal violation of MLPA or a suspicious transaction related to money laundering activity or a violation of other laws & regulations.

A suspicious transaction is one for which there are reasonable grounds to suspect that the transaction whether or not made in cash is related to a money laundering offence or a terrorist activity financing offence. A suspicious activity refers to any observed behaviour or event that could indicate terrorism or terrorism-related crime.

STR/SAR OPERATIONS

Suspicions may arise from any branch of a financial institution. Upon any suspicion, there are processes that would kick-off to bring about an STR/SAR to be sent to the NFIU by the Compliance team. These processes are;

Sending the SUSPICIOUS TRANSACTION REPORT or SUSPICIOUS ACTIVITY report to the compliance team
Reviewing the SUSPICIOUS TRANSACTION REPORT or SUSPICIOUS ACTIVITY REPORT notification.
Supervising the STR
Reporting the transaction/activity

➔ To perform STR/SAR operations on the software, Click REPORT on the main dashboard as shown below

This will display a page as shown in fig. 6.1b below

(fig. 6.1b)

➔ All the processing desks have indicators that show if the desks have pending requests or not.

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ADRAPS Three Tiered Know Your Customer Report In Compliance Planet Anti Money Laundering/Core Banking Finance Software

ADRAPS THREE-TIERED KNOW YOUR CUSTOMER REPORT (ADRAPS KYC)

This section provides a guide on how to perform operations pertaining to ADRAPS KYC Report on the Compliance Planet, with step-by-step instructions and pictures.

What is ADRAPS KYC REPORT?

KYC stands for ‘Know Your Customer”. The ‘Know Your Customer’ Policy is a mandatory framework for all banks and other financial institutions used for customer identification. It is the process of a business verifying the identity of its clients and assessing potential risks of illegal intentions.

However, the enforcement of this requirement excluded the socially and financially disadvantaged persons, a greater segment of the Nigerian population, from financial services because of lack of an acceptable means of identification. Therefore, to promote financial inclusion, the Central Bank of Nigeria (CBN) issued the Three-tiered KYC requirements. With this development, all bank accounts in Nigeria have been categorized into tier one, two and three with the documentations for each class clearly established by the policy.

While, the three-tiered KYC requirements seek to promote and deepen financial inclusion, the objective of the KYC process is to prevent banks from being used, intentionally or unintentionally by criminal elements for money laundering. All banks are required to file three-tiered KYC report quarterly.

ADRAPS KYC REPORT OPERATIONSThe operations pertaining to ADRAPS KYC on the Compliance Planet are;

➔ To perform any of the operations,

➔ From the main dashboard and click on reports as in fig. 5.2b below

(fig. 5.2b)

➔ On the left hand side menu, you’ll see a list of ADRAPS KYC operations as in fig. 5.2c below.

(fig. 5.2c)

NOTE: Only person(s) assigned right to ‘view KYC Report’ and ‘Process KYC Report’ can carry out these operation(s)

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How To Generate KYC Report In Compliance Planet Anti Money Laundering/Core Banking Finance Software

The compliance planet allows you to manually schedule your ADRAPS KYC report ahead of time and download them when they are completely processed. Here is how to do this.

NOTE; Only person(s) assigned right to ‘Process KYC report’ can carry out this operation

STEP 1: From the left hand side menu, click on CBN ADRAPS KYC Report. As in fig. 5.3a below.

(fig. 5.3a)

➔ By clicking on ‘CBN ADRAPS KYC REPORT’, a Manual KYC Scheduler console as in fig. 5.3b below will be displayed.

(fig. 5.3b)

STEP 2: Fill in the name of your report in the REPORT NAME box. The report name should be any title of your choice for easy identification. See fig. 5.3c for an example.

(fig. 5.3c)

STEP 3: Click on the REPORT START DATE button to select the date that begins the period for which you want to generate an ADRAPS KYC report from a calendar as shown in fig. 5.3d.

(fig. 5.3d)

➔ Take a look at the arrows labelled a to d in fig. 5.3e to study the calendar.

a. Click on the given year to change it to your year of choice.

b. Click on the given month to change it to your month of choice.

c. Then, click on the date of the month.

d. You can also click on the angle brackets on the calendar [ ‘’ ] to go backward or forward.

(fig. 5.3e)

STEP 4: Click on the REPORT END DATE button to select the date ending the period for which you want to generate an ADRAPS KYC report from a calendar as shown in fig. 5.3f. The calendar works like the one in fig. 5.3e above.

(fig. 5.3f)

STEP 5: Click on the EXECUTION DATE button to select the date you want your ADRAPS KYC report to be processed, from a calendar as shown in fig. 5.3g. The calendar also works like the one in fig. 5.3e above.

(fig. 5.3g)

STEP 5: Set your report’s EXECUTION TIME by filling in the ‘hour’ and the ‘minute’ you want the report to be processed. There’s a button next to the hour and minute boxes used for switching between AM and PM. See an example in fig. 5.3h.

(fig. 5.3h)

STEP 6: Click on ‘SCHEDULE KYC REPORT’ to create your report or CANCEL to close the console. These buttons are at the bottom-right corner of the console. See them in fig. 5.3h above.

Clicking the ‘SCHEDULE KYC REPORT’ displays a confirmation console as in fig 5.3i below click on ‘CONFIRM’ to proceed with your operation to schedule the report or ‘CANCEL’ to go back to the scheduler.

(fig. 5.3i)

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PEP Repository Listing In Compliance Planet Anti Money Laundering/Core Banking Finance Software

The compliance planet keeps a record list of all PEP reports that have been manually scheduled. In this section, you will learn how to find your scheduled PEP report and some other features to give you the best experience.

NOTE: Only person(s) assigned right to ‘View PEP report’ can carry out this operation

STEP 1: From the left hand side menu, click on ‘CBN ADRAPS PEP LIST’ Check out fig. 4.7a below

(fig. 4.7a)

➔ This displays a page as in fig. 4.7b below.

(fig. 4.7b)

STEP 2: Click on the START DATE button/box and the END DATE button/box to set the beginning and the end of the period in which the reports you want to see have been scheduled for. See how to do this in fig. 4.7c below.

Fig. 4.7d shows a labelled calendar to guide you on how to make use of the calendar.

(fig. 4.7c)

➔ Take a look at the arrows labelled a to d in fig. 4.7d to study the calendar.

a. Click on the given year to change it to your year of choice.

b. Click on the given month to change it to your month of choice.

c. Then, click on the date of the month.

d. You can also click on the angle brackets on the calendar [ ‘’ ] to go backward or forward.

(fig. 4.7d)

➔ For instance to see reports for June, 2018, the start and end date would be 06/01/2018 and 06/30/2018 respectively. See an example in fig. 4.7e below.

(fig. 4.7e)

➔ You can increase the number of reports you want to see per page by clicking on the ENTRIES box. Pick any number of entries per page of your choice. See fig. 4.7f below for an example.

(fig. 4.7f)

STEP 3: Click on the VIEW button to see the reports. It is an orange color button at the upper area of the page, next to the END DATE box. By doing this, the software will make a search and reports that were scheduled for that period you have entered in the date boxes will be displayed. See fig. 4.7g to see the pointer clicking on the view button and see the results of the example in fig. 4.7h.

(fig. 4.7g)

(fig. 4.7h)

➔ You can make changes to your date but to effect the changes you have made on the page, click on VIEW. For instance; when you change the date entries, click on view to see the reports for the new date range you have just set.

➔ The results of the report(s) that fall within that date range will be displayed row by row. On every row, for each report, the software will give information about the number of transactions contained in each report, the number of accounts involved, the number of Excel files and XML files the software has exported report information into, the execution date and time, the start date and end date, the type of report, and a comment on whether the processing of the report has been completed or not. See fig. 4.7h above.

➔ The numbers under the ‘Tran’ column (in fig. 4.7h) represent the number of transactions carried out by the PEPs that are being reported in the respective reports. By clicking on the number of transactions, the software will display a page that gives a list of the transactions carried out by the PEPs in the particular report. See fig. 4.7i below for an example of a PEP repository transaction(s) page.

(fig. 4.7i)

➔ See the following steps (a – f) on how to make use of the features on the PEP Repository Transaction page.

a) Click on the entries box to adjust the number of transactions you want to see per page. See fig. 4.7j below for an example on how to do this. The software will automatically effect your changes.

(fig. 4.7j)

b) Click on the filter box to select a bank branch for which you want to see PEP transactions. See fig. 4.7k below for an example on how to do this.

(fig. 4.7k)

c) After selecting the bank branch of your choice as in fig. 4.7k above, click on VIEW to see the transactions attached to the selected bank branch. See fig. 4.7l for an example on how to do this.

(fig. 4.7l)

d) You can search for a particular transaction using an account number, account name, reference number, transaction type, narration, amount or transaction mode. To do this, type in the search term in the search box as in the example in fig. 4.7m below. The software will automatically search out your search term as soon as you type in a character in the search box. You do not have to click on the VIEW button for the software to carry out a search.

(fig. 4.7m)

e) At the end of the page, the bottom-right corner, the software gives information about the number of pages of your result, with the page numbers written out. All the page numbers represent buttons for each page. By clicking on any page number, the software takes you to that particular page. There is the NEXT button to take you to the next page when you click on it and there is a PREVIOUS button to take you to the page before the one you are viewing at that moment. See these features in fig. 4.7i, fig. 4.7j, fig. 4.7k, fig. 4.7l and fig. 4.7m

f) To close this page, click on the DISMISS button at the bottom-right corner of the page. Check out fig. 4.7i, fig. 4.7j, fig. 4.7k, fig. 4.7l and fig. 4.7m above to see this button.

➔ The numbers under the ‘Acc’ column (in fig. 4.7h) represent the number of PEP accounts being reported in each report. By clicking on the number of accounts, the displays a page showing list of the PEP accounts and their respective details. See fig. 4.7n below to see an example of the PEP repository account(s) page.

(fig. 4.7n)

➔ See the following steps (a – f) on how to make use of the features on the PEP Repository Account(s) page.

a) Click on the entries box to adjust the number of accounts you want to see per page. See fig. 4.7o below for an example on how to do this. The software will automatically effect your changes whenever you do this.

(fig. 4.7o)

b) Click on the filter box to select a bank branch for which you want to see PEP accounts. See fig. 4.7p below for an example on how to do this.

(fig. 4.7p)

c) After selecting the bank branch of your choice as in fig. 4.7p above, click on VIEW to see the accounts attached to the selected bank branch. See fig. 4.7q for an example on how to do this.

(fig. 4.7q)

d) You can search for a particular account using the account number, account name or BVN. To do this, type in the search term in the search box as in the example in fig. 4.7r below. The software will automatically search out your search term as soon as you type in a character in the search box. You do not have to click on the VIEW button for the software to carry out a search.

(fig. 4.7r)

f) To close this page, click on the DISMISS button at the bottom-right corner of the page. Check out fig. 4.7n, fig. 4.7o, fig. 4.7p, fig. 4.7q and fig. 4.7r above to see this button.

➔ The numbers under the ‘Excel’ column (in fig. 4.7h) also represent the number of Excel files that the software has written the report into. By clicking on the number of Excel files, a page will be displayed on the screen. See fig. 4.7s below for an example of the page..

(fig. 4.7s)

➔ The PEP Repository Excel file(s) page gives information about the Excel file name(s), the number of times users have downloaded the file and the download history. See the following steps (a -d) on how to make use of its features.

a) Click on the entries box to adjust the number of Excel files you want to see per page. See fig. 4.7t below for an example on how to do this. The software will automatically effect your changes whenever you do this.

(fig. 4.7t)

b) Click on the file name to download the Excel file to your computer. The file name is underlined and the download happens immediately! The number of download changes as soon as you click on the file name. Compliance software is fast and easy! See fig. 4.7u below for an example on how to download PEP excel file.

NOTE; Only person(s) assigned right to ‘View PEP report’ and ‘Download PEP report’ can carry out this operation

(fig. 4.7u)

c) To see who downloaded the file and the time of download, click on the ‘File Download History’ button. A small console will be displayed on the page as in fig. 4.7v below for an example. Close the console using the DISMISS button at the bottom-right corner of the console.

(fig. 4.7v)

d) Also, at the the bottom-right corner of the PEP Repository Excel file(s) page, the software gives information about the number of pages of the PEP Repository Excel file(s) list,, with the page numbers written out. All the page numbers represent buttons for each page. By clicking on any page number, the software takes you to that particular page. The NEXT button will take you to the page after the one you are viewing at the moment, while the PREVIOUS button will take you to the page before the one you are viewing at that moment. To close this page, click on the DISMISS button. It is also at the bottom-right corner of the page.

➔ The numbers under the ‘XML’ column (in fig. 4.7h) also represent the number of XML files that the software has written the respective report into. By clicking on the number of XML files, a page will be displayed on the screen. See fig. 4.7w below for an example of the page.

(fig. 4.7w)

➔ The PEP Repository XML file(s) page also gives information about the XML file name(s), the number of times users have downloaded the file(s) and the download history. There are 500 PEP transactions per XML file. See the following steps (a – d) on how to make use of its features. The features on the PEP Repository XML file(s) page work like those of the PEP Repository Excel file(s) page.

a) Click on the entries box to adjust the number of XML files you want to see per page. See fig. 4.7x below for an example on how to do this. The software will automatically effect your changes whenever you do this.

(fig. 4.7x)

b) Click on the file name to download the XML file to your computer. The number of download changes as soon as you click on the file name. The file name is underlined and the download is immediately also! See fig. 4.7u below for an example on how to download PEP XML file.

NOTE; Only person(s) assigned right to ‘View PEP report’ and ‘Download PEP report’ can carry out this operation

(fig. 4.7y)

(fig. 4.7z)

d) Here also, at the the bottom-right corner of the PEP Repository XML file(s) page, the software gives information about the number of pages of the PEP Repository XML file(s) list,, with the page numbers written out. All the page numbers represent buttons for each page. By clicking on any page number, the software takes you to that particular page. The NEXT button will take you to the page after the one you are viewing at the moment, while the PREVIOUS button will take you to the page before the one you are viewing at that moment. To close this page, click on the DISMISS button at the bottom-right corner of the page.

➔ Back to fig. 4.7h – Pep Repository list page, at the end of each report row, the software shows if the processing of the report is enabled or dis-enabled under the ‘ACTIVE’ column.

➔ For reports that have been completed, their status will read, ENABLED. See fig. 4.7h for an instance.

➔ For reports that have not been completed, there will be an extra button next to their ACTIVE status. This button is used to ACTIVATE or DEACTIVATE the processing of the report. See fig. 4.7aa below for an example. The button turns red when the report is enabled and it can be used to DEACTIVATE the report. It is green when the report is dis-enabled and it can be used to ACTIVATE the report for processing.

NOTE; Only person(s) assigned right to ‘View PEP report’ and ‘Edit PEP report’ can carry out this operation

(fig. 4.7aa)

➔ As in fig. 4.7aa above, the report has not been completed. Click on Activate to enable processing of report or Deactivate to disable the report.

➔ Clicking on ACTIVATE turns the status bar of the report to green with an ‘ENABLED’ inscription, while clicking on DEACTIVATE will turn the status bar back to red with an ‘DIS-ENABLED’ inscription. See fig. 4.7ab and fig. 4.7ac to see the result of activating the report for an example and see fig. 4.7ad and fig. 4.7ae to see the result of deactivating the report for another example.

●Activating a report

(fig. 4.7ab)

(fig. 4.7ac)

●Deactivating a report

(fig. 4.7ad)

(fig. 4.7ae)

➔ At the end of the page, the software gives information about the number of pages of your result, with the page numbers written out. All the page numbers represent buttons for each page. By clicking on any page number, the software takes you to that particular page. There is the NEXT button to take you to the next page when you click on it and there is a PREVIOUS button to take you to the page before the one you are viewing at that moment. See these features in fig. 4.7af below.

(fig. 4.7af)

For further enquiries :
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Email solutions@efuelite.com
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How to generate PEP Report In Compliance Planet Anti Money Laundering/Core Banking Finance Software

The compliance planet allows you to schedule your ADRAPS PEP report ahead of time. You can manually schedule and download ADRAPS PEP reports. Here is how to do this.

NOTE; Only person(s) assigned right to ‘Process PEP Report’ can carry out these operations

STEP 1: From the left hand side menu, click on ‘CBN ADRAPS PEP REPORT’ Check out fig. 4.6a below

(fig. 4.6a)

➔ By clicking on ‘CBN ADRAPS PEP REPORT’, an ADRAPS PEP Scheduler as in fig. 4.6b below will be displayed.

(fig. 4.6b)

STEP 2: Fill in the name of your report in the REPORT NAME box. The report name should be any title of your choice for easy identification. (See fig. 4.6c for an example.)

STEP 3: Click on the REPORT DATE button to select the date for which you want to generate an ADRAPS PEP report from a calendar as shown in fig. 4.6c below.

(fig. 4.6c)

➔ Take a look at the arrows labelled a to d in fig.4.6d to study the calendar.

a. Click on the given year to change it to your year of choice.

b. Click on the given month to change it to your month of choice.

c. Then, click on the date of the month.

d. You can also click on the angle brackets on the calendar [ ‘’ ] to go backward or forward.

(fig. 4.6d)

STEP 4: Click on the EXECUTION DATE button to select the date you want your ADRAPS PEP report to be processed from as shown in fig. 4.6e below. The calendar works like the one in fig. 4.6d above.

(fig. 4.6e)

(fig. 4.6f)

STEP 6: Click on ‘SCHEDULE PEP REPORT’ to create your report or CANCEL to close the console. These buttons are at the bottom-right corner of the console. See them in fig. 4.6f above.

(fig. 4.6g)

➔ This displays a confirmation console.

Click CONFIRM to confirm your request to schedule the report or CANCEL to go back to the scheduler. See fig. 4.6h below for an example of the confirmation console

(fig. 4.6h)

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Tel +234(0) 816 555 9818

Email solutions@efuelite.com

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How to generate PEP Account List Report In Compliance Planet Anti Money Laundering/Core Banking Finance Software

Using the PEP Acc. List feature, you can see a list of all the PEP accounts on the Compliance planet. Here is how to do this.

NOTE; Only person(s) assigned right to ‘View PEP report’ can carry out this operation

STEP 1: From the left hand side menu, click on CBN ADRAPS PEP Acc List. Check out fig. 4.5a below

(fig. 4.5a)

➔ By clicking on ‘CBN ADRAPS PEP Acc List’, a page as in fig. 4.5b below will be displayed. This page will automatically give you a list of all the PEP accounts saved on the Compliance planet.

(fig. 4.5b)

➔ When you scroll down the page ; at the bottom-right corner of the page, there is an information about the number of pages of the list and the page number of the page you are viewing at that moment as in fig. 4.5c below. The NEXT button takes you to the next page of the list if the list spreads to more than one page and the PREVIOUS button takes you to the previous page of the list that you viewed. The numbers are buttons that represent the different page numbers of the list. Click on any number to go to the page. For instance, if you click on ‘4’, the software will bring up page 4 of the list.

(fig. 4.5c)

STEP 2: Click on the FILTER box to limit your account list to any bank branch. The default list is for all the branches of the institution (See fig. 4.5b and 4.5c above). So, you can select any branch to see its PEP accounts as in fig. 4.5d below.

(fig. 4.5d)

STEP 3: Type in the SEARCH box next to the FILTER box to narrow your list to a particular account number, account name, first name, middle name, last name or bank verification number. When Searching for a bank branch through the search box will not work. The filter box does that already. See fig. 4.5e below to see example of a search.

(fig. 4.5e)

➔ For every search result given on the ‘PEP Acc. List’ page, there are three (3) action buttons right at the end of the row. These buttons deal with the account on their rows only. They are; the Details button, Edit button and the Delete button.

➔ By clicking on the Details button, a console as in fig. 4.5f below will be displayed on your screen showing you the details of the PEP account on the row you clicked the button. Click on DISMISS CONSOLE to close the console.

(fig. 4.5f)

➔ If you want to update or change some information in the details you saw in the PEP account console, click on the Edit. This button is next to the DETAILS button. By clicking on EDIT, a console as in fig. 4.5g below, titled CREATE NEW PEP ACCOUNT will be displayed on your screen. This console is the same as the one generated when creating a new PEP account but it comes with fields that are already filled. After filling in the details, effect the changes by clicking on the SAVE button. If you do not want to edit the information on the console, click on CANCEL.

NOTE; Only person(s) assigned right to ‘View PEP report’ and ‘Edit PEP report’ can carry out this operation

(fig. 4.5g)

➔ To remove a PEP account , click on the DELETE button.

➔ This displays a confirmation console as in fig. 4.5h below will be displayed. Click on CANCEL if you do not want to delete the account or click on PROCEED to confirm your request to delete the account. When you do this, the account will be removed straight away from the list.

NOTE; Only person(s) assigned right to ‘View PEP report’ and ‘Edit PEP report’ can carry out this operation

(fig. 4.5h)

➔ Also, the PEP ACC. LIST page gives options for bulk operations. The bulk operations include; downloading PEP accounts and Deleting PEP accounts. Red arrows in the fig. 4.5i below indicate the buttons.

(fig. 4.5i)

➔ To carry out bulk download of PEP accounts or bulk delete of accounts, select the accounts you want to download or delete as in fig. 4.5i above and click on either the DOWNLOAD ACCOUNTS button or DELETE SELECTED ACCOUNTS button.

NOTE; You need to be assigned right to ‘Edit PEP report’ to carry out delete operation while you need to be assigned ‘right to download’ to carry out download Operation.

For further enquiries :
Tel +234(0) 816 555 9818
Email solutions@efuelite.com
Web http://solutions.efuelite.com