Tag: CBN ADRAPS PEP Report

Using the PEP Account Repository feature, you can see a list of all the PEP accounts on the Compliance Planet software. Here are the steps:

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

STEP 1: From the app dashboard, click on “REGULATORY REPORTS” as in Fig. 4.5a below.

Fig 4.5a

STEP 2: Click ‘CBN ADRAPS PEP’ on the drop-down list and display the PEP page as in Fig. 4.5b below.

Fig 4.5b

STEP 3: From the menu, click “Account Repository” as in Fig. 4.5c below.

Fig 4.5c

• This displays a page showing a list of all the PEP accounts, as in Fig. 4.5d below.

Fig 4.5d

• At the top-right and bottom-right corners of the page, there is information about the number of pages. The NEXT button takes you to the next page of the list, and the PREVIOUS button takes you to the page before the current one.

STEP 5: Click on the FILTER BOX to view the PEP list for a specific branch bank. The default list includes all branches of the institution (See Fig. 4.5d above). Therefore, you can select any branch to view its PEP accounts, as shown in Fig. 4.5e below.

Fig 4.5e

STEP 6: 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.

Note that you can’t search a branch name. The filter box does that already.

See Fig. 4.5f below to see an example of a search.

Fig 4.5f

• Sort orders in ascending or descending order:
  Click on the “Account Opened Date” column header to sort the records in ascending or descending order.
• Action buttons:
  For every search result given on the ‘PEP Account Repository’ page, there are action buttons right at the end of the row, and they are:
  Details button
  Edit button
  Exempt button
  Delete button
  These buttons only affect the account on their respective rows.
• DETAILS
  Click on the “Details” button, and a console, as shown in Fig. 4.5g below, will be displayed, showing the details of the PEP account on the row you clicked the button. To close the console, click on “DISMISS CONSOLE“.

Fig 4.5g

• EDIT
  Click the “Edit” button to update or modify information in the details of your PEP account console. This button is next to the DETAILS button.  By clicking on EDIT, a console as in Fig. 4.5h below, titled CREATE NEW PEP ACCOUNT will be displayed. This console is identical to the one generated when creating a new PEP account, but it comes pre-populated with fields that are already filled in. 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”.

Fig 4.5h

• EXEMPT
  Click on the “Exempt” button, and a console, as shown in Fig. 4.5i below, will be displayed, displaying the account number and account name of the PEP to be exempted, along with the reason(s) for exemption. Click on “DISMISS CONSOLE” to close the console if the PEP is not to be exempted.

Fig 4.5i

• DELETE
  Click on the “DELETE” button to remove a PEP account.
  NOTE: Only person(s) assigned the right to ‘Process PEP Report’ and ‘Edit PEP Report’ can carry out these operations
•  This displays a confirmation console as in Fig. 4.5j. Click “CANCEL” if you do not want to delete the account, or click on “CONFIRM” to confirm your request to delete the account. When you do this, the account will be deleted immediately from the list.

Fig 4.5j

• Also, the PEP ACCOUNT REPOSITORY page gives options for bulk operations. The bulk operations include downloading PEP accounts and deleting PEP accounts.

How to Carry Out Bulk Delete of PEP Records

NOTE: You need to be assigned the right to ‘edit PEP Report’ to be able to delete reports.

• To carry out a bulk delete of accounts, select the accounts you want to delete as shown in Fig. 4.5k below

Fig 4.5k

• Click on “Account Operations” as shown in Fig. 4.5l below.

Fig 4.5l

• This will display a drop-down as in Fig. 4.5m below,
• Click “Delete Selected Account” as in Fig 4.5m below

Fig 4.5m

How to Carry Out Bulk Download of PEP Records

NOTE: You need to be assigned the right to ‘download PEP Report’ to be able to download reports.

• To carry out a bulk download of PEP accounts, select the accounts you want to download, and click “Download Selected Accounts” as shown in fig. 4.5n below.

Fig 4.5n

This feature is used for the creation of new PEP accounts individually.  Here are the steps to creating a new PEP account:

NOTE: Only person(s) assigned the right to ‘process PEP Report’ can carry out these operations

STEP 1: From the app dashboard, click on “REGULATORY REPORTS” as in Fig 4.6a below.

Fig 4.6a

STEP 2: Click ‘CBN ADRAPS PEP’ on the drop-down list and display the PEP page as in Fig. 4.6b below.

Fig 4.6b

STEP 3: From the menu, click “Account Repository” as in Fig. 4.6c below.

Fig 4.6c

• This displays a page showing a list of all the PEP accounts, as in Fig. 4.6d below.

Fig 4.6d

STEP 5: Click on “Account Operations” as shown in Fig. 4.6e below.

Fig 4.6e

• This will display a drop-down as in Fig. 4.6f below.

Fig 4.6f

STEP 6: Click “Register Account” as in Fig. 4.6f above.

• This displays a ‘CREATE NEW PEP ACCOUNT’ console as in Fig. 4.6g below.

Fig 4.6g

STEP 7: Enter details of the new PEP account you want to create. Some fields are mandatory to create a PEP account successfully. They are;

• Account Number – Ensure the account number is present in the software account base.
• First Name
• Middle Name
• Last Name
• Telephone
• Branch Code

See Fig. 4.6h below for an example.

Fig 4.6h

STEP 8: Click SAVE to create the PEP account after filling in the details, or click CANCEL to close the console if you do not wish to continue.

• Clicking SAVE will display a confirmation console as in Fig. 4.6i below.
• During the upload and single entry of PEP accounts, the software automatically scans other accounts related to the record entered using the CUST ID as an identifier, and also automatically migrates these records into the software.

Fig 4.6i

• Click on CANCEL to go back to the console.
• Click on CONFIRM to confirm your request to create a new PEP account. A notification will be displayed at the top of the page, as in Fig. 4.6j below.

Fig 4.6j

This operation involves uploading multiple New PEP accounts. There is another feature that handles the creation of a new PEP account. For instance, to upload fifty (50) new PEP accounts on the planet, the Bulk Upload is the feature you should use instead of entering them one by one.

Compliance Planet also automatically scans the institution’s system for registered PEPs and notifies the Compliance Team.

Here is how to upload bulk PEP information:

NOTE: Only person(s) assigned the right to ‘process PEP Report’ can carry out these operations.

STEP 1: From the app dashboard, click on “REGULATORY REPORTS” as in Fig. 4.7a below.

Fig 4.7a

STEP 2: Click ‘CBN ADRAPS PEP’ on the drop-down list and display the PEP page as in Fig. 4.7b below.

Fig 4.7b

STEP 3: From the menu, click “Account Repository” as in Fig. 4.7c below.

Fig 4.7c

• This displays a page showing a list of all the PEP accounts, as in Fig. 4.7d below.

Fig 4.7d

STEP 5: Click on “Account Operations” as shown in Fig. 4.7e below.

Fig 4.7e

• This will display a drop-down as in Fig. 4.7f below.

Fig 4.7f

STEP 6: Click “Upload Account” as in Fig. 4.7f highlighted above.

• This displays a ‘PEP Account Upload’ console as in Fig. 4.7g below.

Fig 4.7g

STEP 7: Click on “Select PEP Excel File” to upload the Excel file containing the details of the PEP Accounts you want to save on the software.
Refer to Fig. 4.7h below to learn how to upload a file from your computer.

Fig 4.7h

• If you do not have the file specification for uploading new PEP Accounts, you can download it from the “SYSTEM SPEC FILES” on the software, as shown in the figure. 4.7i below to download an Excel file with the required specification.

Fig 4.7i

• An Excel file will be downloaded to your computer with pre-filled titled columns under which the details will be entered. Open the file, fill in the required details of the new sub-sector schemes, and save the changes to the file. Renaming the file on your computer is optional.
  Go back to the software and click on ‘Select PEP Excel File’ to select the file.
• After selecting a file from your computer, the name of the selected file will be added to the upload console.
  See Fig. 4.7j for an example of what the PEP Account Upload Console looks like after selecting a file for upload.

Fig 4.7j

STEP 8: Click on “UPLOAD ACCOUNTS” to upload details from the selected file on the Compliance Planet software. This button is at the bottom-right corner of the console. See fig. 4.7k below for an example.

Fig 4.7k

• This displays a confirmation console as in Fig. 4.7l below.

Fig 4.7l

• Click on “CANCEL” to go back to the console.
• Click on “CONFIRM” to confirm that you want to upload the PEP Accounts. By clicking on CONFIRM, a notification will be displayed at the top of the console. See the notification in Fig. 4.7m below.

Fig 4.7m

• Click on the “DISMISS CONSOLE” button to close the console. By clicking this button, the page will close, but you can return to it by clicking on Bulk Upload. See the button in Fig. 4.7j above.

• Click on “CANCEL” to cancel the operation. See the button in Fig. 4.7j above.

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

The Compliance Planet enables you to schedule your ADRAPS PEP report in advance. You can manually schedule and download ADRAPS PEP reports. Here is how to do this:

NOTE: Only the person(s) assigned the right to ‘process PEP Report’ can carry out these operations

STEP 1: From the app dashboard, click on “REGULATORY REPORTS” as in Fig. 4.3a below.

Fig 4.3a

STEP 2: Click ‘CBN ADRAPS PEP’ on the drop-down list and display the PEP page as in Fig. 4.3b below.

Fig 4.3b

STEP 3: From the menu, click “Schedule Report” as in Fig. 4.3c below.

Fig 4.3c

 This displays an ‘ADRAPS PEP Scheduler’ as in Fig. 4.3d below.

Fig 4.3d

STEP 4: 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. 4.3e for an example)

Fig 4.3e

STEP 5: Click the “REPORT START DATE” and “REPORT END DATE” buttons to select the start date and end date, respectively, for generating the report. See examples in Fig. 4.3f and Fig. 4.3g below.

Fig 4.3f

Fig 4.3g

• Look at the arrows labelled a to d in Fig. 4.3h to study the calendar.
• Click on the given year to change it to your year of choice.
• Click on the given month to change it to your month of choice.
• Then, click on the date of the month.
• You can also click on the angle brackets on the calendar [ ‘<’ or ‘>’ ] to go backward or forward.

Fig 4.3h

STEP 6: Click on the “EXECUTION DATE” button to select the date you want your ADRAPS PEP report processed from a calendar, as shown in Fig. 4.3i below. The calendar operates similarly to the one shown in Fig. 4.3h above.

 Fig 4.3i

STEP 7: Set your report “EXECUTION TIME” by filling in the ‘hour’ and the ‘minute’ you want the report to be processed. There is a button next to the hour and minute boxes used for switching between AM and PM. See examples in Fig. 4.3j and 4.3k below.

Fig 4.3j

Fig 4.3k

STEP 8: Click ‘SCHEDULE PEP REPORT’ to create your report.
Click “CANCEL” to close the console. These buttons are at the bottom-right corner of the console. See them in fig. 4.3l below.

Fig 4.3l

• Click on ‘SCHEDULE PEP REPORT’ as in Fig. 4.3l above. A confirmation console will be displayed. Click on “CONFIRM” to confirm your request to schedule the report. Click “CANCEL” to go back to the scheduler. See Fig. 4.3m below for an example of the confirmation console.

Fig 4.3m

The Compliance Planet maintains a record of all PEP reports that have been manually scheduled. In this section, you will learn how to access your scheduled PEP report and explore additional features to enhance your experience.

NOTE: Only person(s) assigned the right to ‘view PEP Report’ can carry out these operations.

STEP 1: From the app dashboard, click on “REGULATORY REPORTS” as in Fig. 4.4a below.

Fig 4.4a

STEP 2: Click ‘CBN ADRAPS PEP’ on the drop-down list and display the PEP page as in Fig. 4.4b below.

Fig 4.4b

STEP 3: From the menu, click “Report Repository” as in Fig. 4.4c below.

Fig 4.4c

•  This will display a page as in Fig. 4.4c below.

Fig 4.4c

STEP 4: 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. See how to do this in Fig. 4.4d below. Fig. 4.4e shows a labeled calendar to guide you on how to use it effectively.

Fig 4.4d

• Take a look at the arrows labelled a to d in Fig. 4.4e to study the calendar.
• Click on the given year to change it to your year of choice.
• Click on the given month to change it to your month of choice.
• Then, click on the date of the month.
• You can also click on the angle brackets on the calendar [ ‘<’ or ‘>’ ] to go backward or forward.

Fig 4.4e

• For instance, to see reports for January 2022, the start and end dates would be 2022-01-01 and 2022-01-31, respectively. See an example in Fig. 4.4f below.

Fig 4.4f

• 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. 4.4g below for an example.

Fig 4.4g

STEP 5: Click on the “VIEW” button to see the reports. It is an orange button at the upper area of the page, next to the END DATE box. By doing this, the planet will initiate a search, and reports that were scheduled for the period you entered in the date boxes will appear, as shown in Fig. 4.4h. Click on the view button to see the results of the example in Fig. 4.4i.

Fig 4.4h

Fig 4.4i

• 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.
  Number of accounts involved.
  Number of Excel files and XML files the software has exported report information into.
  Execution date and time.
  Start date and end date.
  Type of report.
  Completed column showing a comment on whether the processing of the report has been completed or not. See Fig. 4.4i above.
  
• TRAN
  The numbers under the ‘Tran’ column (in Fig. 4.4i) represent the number of transactions carried out by the PEPs that are being reported in the respective reports.
  Click on the “Number of “transactions” and a page displaying a list of transactions carried out by the PEPs in the particular report will be displayed. See Fig. 4.4j below for an example of a PEP repository transaction(s) page.

Fig 4.4j

PEP REPOSITORY TRANSACTION PAGE
The PEP Repository Transaction page has various features, and here are the following steps on how to use them:

• ENTRIES
  Click on the “Entries” box to adjust the number of transactions you want to see per page. See Fig. 4.4k below for an example of how to do this. The software will automatically apply your changes.

Fig 4.4k

• FILTER
  Click on the “Filter” box to select a bank branch for which you want to see PEP transactions. See Fig. 4.4l below for an example of how to do this.

Fig 4.4l

• VIEW
  After selecting the bank branch of your choice in the filter box as in Fig. 4.4l above, click on “VIEW” to see the transactions attached to the selected bank branch. See Fig. 4.4m for an example on how to do this.

Fig 4.4m

• SEARCH
  To search for a particular transaction using an account number, account name, reference number, transaction type, narration, amount, or transaction mode. Click the “SEARCH” box and type in the search term as in the example in Fig. 4.4n below.
  The software will search out the search term as soon as you type in a character in the search box.
  You do not have to click on the VIEW button.

Fig 4.4n

• PREVIOUS AND NEXT
  At the top-right and bottom-right corners, you see information about the number of pages. All the page numbers represent buttons for each page. By clicking on any page number, the software takes you to that particular page. Click on the “NEXT” button to take you to the next page.
  Click on the “PREVIOUS” button to navigate to the previous page.
  
• DISMISS
  To close this page, click on the “DISMISS” button at the bottom-right corner of the page.
  
  ACC
  The numbers under the “ACC” column (in Fig. 4.4i) represent the number of PEP accounts being reported in each report.
  Click on the “Number of accounts” option, and the software will display a page listing the PEP accounts and their respective details. See Fig. 4.4o below to see an example of the PEP repository account(s) page.

Fig 4.4o

PEP REPOSITORY ACCOUNT(S) PAGE
The PEP Repository Account(s) page has various features, and here are the following steps on how to use them:

• ENTRIES
  Click on the “ENTRIES” box to adjust the number of accounts you want to see per page.
  
• FILTER
  Click on the “FILTER” box to select a bank branch for which you want to see PEP accounts.
  
• VIEW
  After selecting the bank branch of your choice, click on “VIEW” to see the accounts attached to the selected bank branch. See Fig. 4.4p below for an example of how to do this.

Fig 4.4p

• SEARCH
  You can search for a particular account using the account number, account name, or BVN.
  Click the “SEARCH” box and type in the search term as in the example in Fig. 4.4q below.
  The software will automatically search for 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.

Fig 4.4q

• PREVIOUS AND NEXT
  At the top-right and bottom-right corners, you see information about the number of pages. All the page numbers represent buttons for each page. By clicking on any page number, the software takes you to that particular page. Click on the “NEXT” button to take you to the next page.
  Click on the “PREVIOUS” button to navigate to the previous page.
  
• DISMISS
  To close this page, click on the “DISMISS” button at the bottom-right corner of the page.
  
  EXCEL
  The numbers under the ‘Excel’ column (in Fig. 4.4i) also represent the number of Excel files that the software has written the report into.
  Click on the “Number of Excel files”; a page will display as shown in Fig. 4.4r below.

Fig 4.4r

PEP REPOSITORY EXCEL FILE(s) PAGE
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.
Here are the steps on how to make use of the PEP Repository Excel file(s) page features:

• ENTRIES
  Click on the “ENTRIES” box to adjust the number of Excel files you want to see per page. See Fig. 4.4s below for an example of how to do this. The software will automatically apply your changes whenever you make this change.

Fig 4.4s

• FILE NAME
  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 downloads changes immediately when you click on the file name.
  Compliance Planet is fast and easy!
  See Fig. 4.4t below for an example of how to download the PEP Excel file.

NOTE: Only person(s) assigned the right to ‘view PEP Report’ and ‘download PEP Report’ can carry out these operations.

Fig 4.4t

• FILE DOWNLOAD HISTORY
  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. 4.4u below. Close the console using the “DISMISS” button at the bottom-right corner of the console.

Fig 4.4u

• PREVIOUS AND NEXT
  At the top-right and bottom-right corners, you see information about the number of pages. All the page numbers represent buttons for each page. By clicking on any page number, the software takes you to that particular page. Click on the “NEXT” button to take you to the next page.
  Click on the “PREVIOUS” button to navigate to the previous page.
  
• DISMISS
  To close this page, click on the “DISMISS” button at the bottom-right corner of the page.
  
  XML
  The numbers under the ‘XML’ column (in Fig. 4.4i) also represent the number of XML files into which the software has written the respective report. Clicking on the number of XML files displays a page as in Fig. 4.4v below.

Fig 4.4v

PEP REPOSITORY XML FILE(S) PAGE
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. The features on the PEP Repository XML file(s) page function similarly to those on the PEP Repository Excel file(s) page.
Here are the steps on how to make use of the PEP Repository Excel file(s) page features:

• ENTRIES
  Click on the “ENTRIES” box to adjust the number of XML files you want to see per page. See Fig. 4.4w below for an example of how to do this. The software will automatically apply your changes whenever you do this.

Fig 4.4w

• FILE NAME
  Click on the “FILE NAME” to download the XML file to your computer.  The number of downloads changes immediately when you click on the file name. The file name is underlined, and the download is immediately also!
  See Fig. 4.4x below for an example of how to download a PEP XML file.

NOTE: Only person(s) assigned the right to ‘view PEP Report’ and ‘download PEP Report’ can carry out these operations.

Fig 4.4x

• FILE DOWNLOAD HISTORY
  To see who downloaded the file and the time of download, click on the ‘File Download History’ button.  A console will be displayed as shown in Fig. 4 .4 below. Close the console using the “DISMISS” button at the bottom-right corner of the console.

Fig 4.4y

• PREVIOUS AND NEXT
  At the top-right and bottom-right corners, you see information about the number of pages. All the page numbers represent buttons for each page. By clicking on any page number, the software takes you to that particular page. Click on the “NEXT” button to take you to the next page.
  Click on the “PREVIOUS” button to navigate to the previous page.
  
• DISMISS
  To close this page, click on the “DISMISS” button at the bottom-right corner of the page.
  
  
• Back to fig. 4.4i – PEP Repository list page: At the end of each report row, the software indicates whether the report processing is enabled or disabled under the ‘ACTIVE’ column.
• For reports that have been completed, their status will read ‘ENABLED’. See fig. 4.4i for an instance.
• For reports that have not been completed, and whose status reads ‘DIS-ENABLED’, 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. 4.4z below for an example.
  The button turns red when the report is enabled, and it can be used to DEACTIVATE the report. It is yellow when the report is disabled, and it can be used to ACTIVATE the report for processing.

NOTE: Only person(s) assigned the right to ‘view PEP Report’ and ‘Edit PEP Report’ can carry out these operations.

Fig 4.4z

• As in Fig. 4.4z above, the second report has not been completed. Click on “Activate” to enable processing of the report or “Deactivate” to disable the report.
• Click on “ACTIVATE” to 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. 4.4aa and Fig. 4.4ab  to see the result of activating the report for an example, and see Fig. 4.4ac and Fig. 4.4ad to see the result of deactivating the report for another example.

Activating a report

Fig 4.4aa                                                                Fig 4.4ab

Deactivating a report

Fig 4.4ac                                                                Fig 4.4ad

• At the top and 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. 4.4ae below.

Fig 4.4ae