This section provides a guide on how to modify controls available when sending an STR notification on the Compliance Planet software, with step-by-step instructions and pictures.
These controls include; Customer Account name, Customers’ account number, Transaction amount, transaction type, Date of transaction, Person conducting transaction, line of business, Reason for filing STR, General information, Extra details etc.
This section provides the opportunity to edit what the person(s) involved in the process of sending an STR notification will see. The modification available includes
Activating or deactivating a control
Setting the requirement of the control i.e. if it’s compulsory or not
Tool tip description i.e. the extra guide or note to be displayed when the mouse cursor is on a particular control.
Tool tip activation i.e. activating or deactivating the tool tip option.
Visibility i.e. setting those that can see any of these commands.
NOTE: Only person(s) profiled as deputy supreme admin can carry out these operations.
STEP 1: From the left-hand side menu, Click ‘Control panel’ as in fig. 22.1a.
Fig 22.1a
This will display a drop down as in Fig 22.1b below.
STEP 2: Click ‘STR SAR’ on the drop-down list. See an example in Fig 22.1b below.
Fig 22.1b
This will display STR SAR CONTROL PANEL OPERATION dashboard as in fig 22.1c below.
STEP 3: Click “N. HTML Settings” as in fig 22.1c below
(fig. 22.1c)
This displays a drop-down as in fig 22.1d below
STEP 4: Click “STR” on the drop-down list as in 22.1d below
Fig 22.1d
This displays a page showing a list of all STR notification controls and their status, requirement, tool tip description, tool tip activation status and visibility. See fig. 22.1e below for an example.
(fig 22.1e)
STEP 3: Click on the edit button on the action row. See this in fig. 22.1f below
(fig 22.1f)
Clicking on the edit button displays a ‘Notification HTML Control’ console See fig. 22.1g below for an example.
(fig 22.1g)
STEP 4: Click on control description text box to edit the description for that control. See an example in fig. 22.1h below
(Fig 22.1h)
STEP 5: Click on control tool tip text box to add or edit tool tip description (i.e the extra guide or note to be displayed when the mouse cursor is on a particular control).See an example in fig. 22.1i below
(Fig 22.1i)
STEP 6: Click on‘CONTROL ACTIVATION’ checkbox as in fig. 22.1j below to activate the control, note that unchecking this checkbox will deactivate the control and make it unavailable when sending an STR notification.
(Fig 22.1j)
STEP 7: Click on‘CONTROL IS REQUIRED’ checkbox as in fig. 22.1k below to set the control as compulsory, note that checking this option means that the person sending the STR notification will not be able to send a notification if that field is not filled.
(Fig 22.1k)
STEP 8: Click on ‘CONTROL TOOLTIP ACTIVATED’ checkbox as in fig. 22.1l below to activate the tooltip option for that particular control, note that unchecking this checkbox will deactivate the tool tip for that control and make it unavailable in the STR notification console.
(Fig 22.1l)
STEP 9: Click on ‘CONTROL VISIBILITY’ to select those that can see the field i.e. you can make the field visible to compliance team members only, non-compliance team members only, or all bank staffs. See an example in fig. 22.1m below
(Fig 22.1m)
STEP 10: Click on ‘SAVE’ button as in in fig. 22.1n below to save the changes.
(Fig 22.1n)
Clicking on the save button will display a console as in Fig 22.1o below. Click on ‘CONFIRM’ to save the changes or cancel to discontinue action.
(Fig 22.1o)
When the changes are saved, a notification will be displayed at the top of the page as in fig. 22.1p below.
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;
Editing notification reason,
Deleting reason
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
Fig 23.2e
Fig. 23 .2d shows that the notification reason is set ACTIVE, while Fig. 23.2e shows that the notification reason is set INACTIVE.
An active notification reason will form part of the available options when sending a new SAR notification (See section 6.2.1 for sending an SAR notification). In contrast, an inactive notification reason will no longer be part of the available options when sending a new STR notification.
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
This section provides a guide on how to modify controls available when sending an SAR notification on the Compliance Planet, with step-by-step instructions and pictures (see section 6.2.2 for sending an STR report).
These controls include; Branch Name and Sol Id, Account Number, Customer’s Former Name, Customer’s Former DOB, Other Details, Customer’s New Name, Reason for filing SAR, Customer’s New Dob etc.
This section provides the opportunity to edit what the person(s) involved in the process of sending an SAR notification will see. The modification available includes
Activating or deactivating a control
Setting the requirement of the control i.e. if it’s compulsory or not
Tool tip description i.e. the extra guide or note to be displayed when the mouse cursor is on a particular control.
Tool tip activation i.e. activating or deactivating the tool tip option.
Visibility i.e. setting those that can see any of these commands.
NOTE: Only person(s) profiled as deputy supreme admin can carry out these operations
STEP 1: From the left-hand side menu, Click ‘Control panel’ as in fig. 24.1a.
Fig 24.1a
This will display a drop down as in Fig 24.1b below.
STEP 2: Click ‘STR SAR’ on the drop-down list. See an example in Fig 24.1b below.
Fig 24.1b
This will display STR SAR CONTROL PANEL OPERATION dashboard as in fig 24.1c below.
STEP 3: Click “N. HTML Settings” as in fig 24.1c below
(fig. 24.1c)
This displays a drop-down as in fig 24.1d below
STEP 4: Click “SAR” on the drop-down list as in 24.1d below
Fig 22.1d
Clicking on ‘SAR’ will display a page showing a list of all SAR notification controls and their status, requirement, tooltip description, tooltip activation and visibility. See fig. 24.1e below for an example.
(fig 24.1e)
STEP 3: Click onthe ‘edit’ button on the action row as in fig. 24.1f below
(Fig 24.1f)
Clicking on the edit button will display a ‘Notification HTML Control’ console See fig. 24.1g below for an example.
(fig 24.1g)
STEP 4: Click on ‘control description’ text box to edit the description for that particular control. See an example in fig. 24.1h below
(Fig 24.1h)
STEP 5: Click on ‘control tool tip description’ text box to add or edit tool tip description for that particular control. See an example in fig. 24.1i below
(Fig 24.1i)
STEP 6: Click on ‘CONTROL ACTIVATED’ checkbox as in fig. 24.1j below to activate the control, note that unchecking this checkbox will deactivate the control and make it unavailable in the SAR notification console.
(Fig 24.1j)
STEP 7: Click ‘CONTROL IS REQUIRED’ checkbox as in fig. 24.1k below to set the control as compulsory, note that checking this option means that the person sending the SAR notification will not be able to send a notification if that field is not filled.
(Fig 24.1k)
STEP 8: Click on ‘CONTROL TOOLTIP ACTIVATED’ checkbox as in fig. 24.1l below to activate the tooltip option for that particular control, note that unchecking this checkbox will deactivate the tool tip feature for that control and make it unavailable in the SAR notification.
(Fig 24.1l)
STEP 9: Click on ‘CONTROL VISIBILITY’ to select those that can see the control i.e. you can make the field visible to compliance team members only, non-compliance team members only, or all bank staffs. See an example in fig. 24.1m below
(Fig 24.1m)
STEP 10: Click on ‘SAVE’ button as in in fig. 24.1n below to save the changes.
(Fig 24.1n)
Clicking on the save button will display a console as in Fig 24.1o below. Click on ‘CONFIRM’ to save the changes or cancel to discontinue action.
(Fig 24.1o)
When the changes are saved, a notification will be displayed at the top of the page as in fig. 24.1p below.
This section provides a guide on settings pertaining to STR and SAR notifications on the Compliance Planet, with step-by-step instructions and pictures.
Under this Control panel feature, the software provides options to;
Modify the route an STR or SAR notification will go through
Allow file attachments to be uploaded with the STR or SAR notification
Validate account number when Sending an STR or SAR notifications
NOTE: Only person(s) profiled as deputy supreme admin will be able to carry out these operations
To perform any of the operations on STR SAR NOTIFICATION SETTINGS;
STEP 1: From the left-hand side menu, Click ‘Control panel’ as in fig. 25.1a.
Fig 25.1a
This will display a drop down as in Fig 25.1b below.
STEP 2: Click ‘STR SAR’ on the drop-down list. See an example in Fig 25.1b below.
Fig 25.1b
This will display STR SAR CONTROL PANEL OPERATION dashboard as in fig 25.1c below.
STEP 3: Click “STR SAR Process Settings” as in fig 25.1c below
(fig. 25.1c)
Clicking on SAR NOTIFICATION SETTINGS will display a page showing a list of all STR SAR notification settings. See fig. 25.1d for an example.
(fig. 25.1d)
STEP 4: Select the any of the STR SAR notification settings checkbox to activate that particular setting. See an example in fig 25.1e below
(fig. 25.1e)
As seen in fig 25.1d and 25.1e above the STR SAR notification settings allows the user to configure the STR SAR notification process flow for both manually filed notifications and notifications automatically filled from transaction monitoring alerts.
Note that the automated filling is only STR notifications.
Selecting the STR SAR notification settings checkbox will activate that setting while deselecting the checkbox means you want to deactivate the setting.
Manual Notification Process Settings
Manual STR Filling – Bypass Revision Desk: This means that all STR notifications sent will by-pass or will not go through the revision desk. This option may be used when the financial institution does not have a revision desk in the compliance department.
Manual STR Filling –Bypass Supervision Desk: This means that all STR notifications sent will by-pass or will not go through the supervision desk. This option may be used when the financial institution does not have a supervision desk in the compliance department.
Manual SAR Filling – Bypass Revision Desk: This means that all SAR notifications sent will by-pass or will not go through the revision desk. This option may be used when the financial institution does not have a revision desk in the compliance department.
Manual SAR Filling – Bypass Supervision Desk: This means that all SAR notifications sent will by-pass or will not go through the supervision desk. This option may be used when the financial institution does not have a supervision desk in the compliance department.
Automated (Transaction Monitoring) Notification Process Settings
Automated (Tran Monitoring) STR filling –Bypass Revision Desk: This option is for transactions that are automatically pushed from transaction monitoring alerts. Selecting this option means the STR notification sent will not go through the revision desk.
Automated (Tran Monitoring) STR filling –Bypass Supervision Desk: This option is for transactions that are automatically pushed from transaction monitoring alerts. Selecting this option means the STR notification sent will not go through the supervision desk.
Other STR SAR Notification Pro Settings
STR file Upload: Selecting this enables the option to upload documents (attachments) to accompany the STR notification.
SAR file upload: Selecting this enables the option to upload documents (attachments) to accompany the SAR notification
STR Validate Notification account number: Selecting this option means that when sending an STR notification, the planet will validate the inputted AC number if it exists on the financial institutions’ database.
SAR Validate Notification account number: Selecting this option means that when sending an SAR notification, the planet will validate the inputted AC number if it exists on the financial institutions’ database.
STEP 5: Click on ‘SAVE CHANGES’ button to save the changes. See an example in fig 25.1f below.
(fig. 25.1f)
Clicking on the save changes button will display a confirmation console as in Fig 25.1g below. Click on ‘CONFIRM’ to save the changes or cancel to discontinue action.
(Fig 25.1g)
When the changes are saved, a notification will be displayed at the top of the page as in fig. 25.1h below.
This section provides a guide on how to perform operations pertaining to the report person data on the Compliance Planet, with step-by-step instructions and pictures.
WHO IS A REPORT PERSON?
The report person refers to an authorized representative of the reporting institution. The personal and official details of the person make up the ‘Report person data’. The Compliance planet attaches the report person data to all reports processed and generated and it is static for all reports.
NOTE: Only person(s) profiled as deputy supreme admin will be able to carry out these operations
How to View Report Person Data
To view Report Person data;
STEP 1: From the app dashboard, click “CONTROL PANEL” as in Fig 26.1a below.
Fig 26.1a
STEP 2: From the left-hand side menu, click “REGULATORY REPORT” as in Fig 26.1b below
Fig 26.1b
STEP 3: From the menu, click “CCO” and select “View” as in Fig 26.1c below.
Fig 26.1c
This displays a REPORT PERSON DATA VIEW as in Fig. 26.1d below.
Fig. 26.1d
How to Edit Report Person Data
To make changes to the report person data;
STEP 1: Click “edit” on the report person data drop-down as in Fig 26.2a below
Fig. 26.2a
This displays a page as in Fig. 26.2b below.
Fig. 26.2b
Fill in the new details or change the details on the console.
STEP 2: Click on ‘Save Changes’ as shown in Fig. 26.2c.
Fig. 26.2c
This displays a confirmation console as in Fig. 26.2d to confirm the request.
Fig. 26.2d
STEP 3: Click on ‘CONFIRM’ as in fig. 26.2e to proceed or ‘CANCEL’ to discontinue the operation. A notification will be displayed at the top of the page when the operation is complete.
This section provides a guide on how to perform operations as regards institution asset data on the Compliance Planet, with step-by-step instructions and pictures. Institution asset data includes the name of the institution, the institution code, address, year of establishment, and contact person details.
NOTE: Only the Supreme Administrator can carry out these operations
Institution Asset Data View
To view institution asset data;
STEP 1: From the app dashboard, click “CONTROL PANEL” as in Fig 27.1a below.
Fig 27.1a
STEP 2: From the left-hand side menu, click “REGULATORY REPORT” as in Fig 27.1b below
Fig 27.1b
STEP 3: From the menu, click “Institution” as in Fig 27.1c below
Fig 27.1c
This displays a drop-down as in fig 27.1d below
STEP 4: Click “Asset view” on the report institution data drop-down as in fig 27.1d below
Fig 27.1d
The Institution data will be displayed on the page as in Fig 27.1e below
Fig 27.1e
How to Edit Institution Asset Data
NOTE: Only the Supreme Administrator can carry out these operations
To make changes to the institution asset data,
STEP 1: Click “Asset Edit” on the institution drop-down as in Fig 27.2a below
Fig 27.2a
The Institution data will be displayed on the page as in fig 27.2b below
Fig 27.2b
Fill in new data or change the details on the console.
STEP 2: Click on ‘Save Changes’ as shown in Fig. 27.2c to save the changes or click on ‘Dismiss console’ to discard changes or new details entered on the console.
Fig 27.2c
This displays a confirmation console as in Fig. 27.2d to confirm your request.
Fig. 27.2d
STEP 3: Click on ‘CONFIRM’ to proceed or ‘CANCEL’ to discontinue. A notification as in Fig. 27.2e below will be displayed at the top of the page when the operation is complete.
This Control Panel feature provides a list of customer sectors and their sub sector tier tags. The customer sector is a section in the AML/CFT RBS report. Here, the operations are;
Editing a customer sector-sub sector tier tag
Deleting a customer sector-sub sector tier tag, and
Creating a customer sector-sub sector tier tag
Note: Only person(s) profiled as deputy supreme admin can carry out account scheme operations.
To perform any of the operations on Customer Sector- sub sector tier tag;
STEP 1: From the left hand side menu, Click ‘Control panel’ as in fig. 14.2a.
Fig 14.2a
This will display a drop down as in Fig 14.2b below.
STEP 2: Click ‘ACCOUNT’ on the drop down list. See an example in Fig 14.2b below.
Fig 14.2b
This will display the ACCOUNT CONTROL PANEL OPERATIONS dashboard as in Fig 14.2c below
Fig 14.2c
STEP 3: Click “Tier” from the top menu, on the account page. See an example in fig14.2d below
Fig 14.2d
This displays a dropdown as in fig 14.2e below
STEP 4: Click “Customer Sector” on the drop down list as in fig 14.2e below
Fig 14.2e
This displays a page showing a list of all customer sectors and sub sectors in the institution, with options to edit, delete and create new information. As stated earlier, customer sector is also referred to as the ‘Customer Tier’. On the table provided on the customer sector tier page, it is represented with the Customer sector description on the table.See fig. 14.2f for an example.
(fig. 14.2f)
As seen in fig. 14.2g, the bottom-right corner of the page, the software gives information about the number of pages of the list, with the page numbers written out. The page numbers represent buttons to go to each page. By clicking on any of the page number, the software takes you to that particular page. Click on ‘NEXT’ to go to the next page or ‘PREVIOUS’ to go to the page before the one you are viewing at that moment.
Adjust the number of results per page by clicking on the ‘ENTRIES’ box as in fig. 14.2g.
(Fig. 14.2g)
Search for customer sectors and sub sectors by inputting the sub sector code, sub sector description or customer sector description. Search results will appear immediately a character is typed in the search box.. See fig. 14.2h below for an example.
(fig. 14.2h)
Each entry has two (2) action buttons; ‘Edit’ button and ‘Delete’ button and they are explained below.
14.3 How to Edit A Customer Sector Tier Tag
To change details of a customer sub-sector tier tag;
STEP 1: Click the ‘Edit’ button as shown in fig.14.3a below.
(fig. 14.3a)
This displays an ‘Edit Customer Sub Sector-Tier tag’ console, as in fig. 14.3b.
(fig. 14.3b)
STEP 2: Select new options from the ‘Sub Sector’ box and ‘Customer tier’ box as shown in fig. 14.3c and fig. 14.3d respectively.
(fig. 14.3c)
(fig. 14.3d)
STEP 3: Click on ‘SAVE CHANGES’ as shown in fig. 14.3e below, to update the new changes on the software.
(fig. 14.3e)
This displays a confirmation console as in fig. 14.3f to confirm you want to change the details.
(fig. 14.3f)
Click on ‘CONFIRM’ to save the changes or cancel to discontinue action. When the changes are saved, a notification will be displayed at the top of the page as in fig. 14.3g below.
(fig. 14.3g)
How to Delete Customer Sector Tier Tag
To delete a customer sector-sub sector-tier tag, click on the ‘DELETE’ button as shown in fig. 14.4a below.
(fig. 14.4a)
This displays a confirmation console to confirm your request to delete the customer sector tier tag as in fig. 14.4b. Click on ‘CONFIRM’ to proceed or ‘CANCEL’ to discontinue.
(fig. 14.4b)
When the operation is complete, a notification will be displayed at the top of the page as in fig. 14.4c.
(fig. 14.4c)
How to Create New Customer Tier Tag
This refers to the adding of a new customer sector-sub sector tier tag. Here is how to do this.
STEP 1: Click on ‘NEW CUSTOMER SECTOR-SUB SECTOR-TIER TAG’ as in fig. 14.5a below.
(fig. 14.5a)
This displays a ‘NEW CUSTOMER SECTOR-SUB SECTOR-TIER’ console. See fig. 14.5b below for an example.
(fig. 14.5b)
STEP 2: Select ‘Sub Sector’ and ‘Customer Tier’ as shown in fig. 14.5c and fig. 14.5d respectively.
(fig. 14.5c)
(fig. 14.5d)
STEP 3: After selecting the details, click on ‘SAVE’ as shown in fig. 14.5e below.
(fig. 14.5e)
This displays a confirmation console to confirm you want to add the new customer sector-sub sector tier tag. Click on ‘CONFIRM’ to proceed or ‘CANCEL’ to discontinue.
(fig. 14.5f)
If you proceed, a notification as in fig. 14.5g will be displayed at the top of the page when the new customer sector-tier tag has been successfully created.
The operations pertaining to SUB-SECTOR SCHEME on the Compliance Planet are:
Editing a sub-sector scheme
Deleting a sub-sector scheme
Creating a new sub-sector scheme
Downloading all sub-sector schemes
Bulk delete of sub-sector schemes
Bulk upload of new sub-sector schemes
NOTE: Only person(s) profiled as Deputy Supreme Admin can carry out these operations.
The last three (3) operations are for bulk operations. To perform any of the sub-sector scheme operations;
STEP 1: From the left hand side menu, Click ‘Control panel’ as in fig. 15.2a.
Fig 15.2a
This will display a drop down as in Fig 15.2b below.
STEP 2: Click ‘ACCOUNT’ on the drop down list. See an example in Fig 15.2b below.
Fig 15.2b
This will display the ACCOUNT CONTROL PANEL OPERATIONS dashboard as in Fig 15.2c below
Fig 15.2c
STEP 3: Click “SCHEME” from the top menu, on the account page. See an example in fig15.2d below
Fig 15.2d
This displays a dropdown as in fig 15.2e below
STEP 4: Click “Sub Sector” on the drop down list as in fig 15.2e below
Fig 15.2e
This displays a page showing a list of all sub-sectors and their respective lines of business. See fig. 15.2f below for an example.
(fig. 15.2f)
Click on the ‘ENTRIES’ box to adjust the number of sub-sector schemes you see per page. See fig. 15.2g.
(fig. 15.2g)
Search for Sub-sector Schemes by inputting the sub-sector code, sub-sector description, line of business code or line of business description in the search box. Search results will appear immediately a character is typed in the search box.. See an example of a search in fig. 15.2h.
(fig. 15.2h)
At the bottom-right corner of the page, the software supplies information about the number of pages of the list, with the page numbers written out. The page numbers represent buttons to go to each page. By clicking on any page number, the planet takes you to that particular page. Click on the ‘NEXT’ button to go to the next page or the ‘PREVIOUS’ button to go to the page before the current page. See fig. 15.2i for an example.
(fig. 15.2i)
Each sub-sector scheme entry has two (2) action buttons; ‘Edit’ button and ‘Delete’ button. These buttons are placed at the end of each row. Also, at the top of the page are other buttons to carry out bulk operations. These operations are explained below.
How To Edit Sub-Sector Scheme
This refers to changing the details of a sub-sector scheme which includes; the sub-sector code, sub-sector description and the line of business. Here is how to edit a sub-sector scheme.
STEP 1: Click on its ‘Edit’ button as shown in fig. 15.3a below.
(fig. 15.3a)
This displays an ‘Edit Sub sector Scheme’ console as in fig. 15.3b below.
(fig. 15.3b)
STEP 2: Fill in the new sub-sector code or new sub-sector description or select the new line of business. See fig. 15.3c for an example.
(fig. 15.3c)
STEP 3: Click on ‘SAVE’ as in fig. 15.3d to update and save the sub-sector scheme details. To close the console, click on ‘Dismiss Console’.
(fig. 15.3d)
This displays a confirmation console to confirm you want to save the changes. Fig. 15.3e is an example of the planet inquiry console.
STEP 4: Click on ‘CONFIRM’ to proceed or ‘CANCEL’ to discontinue.
(fig. 15.3e)
By clicking on CONFIRM, a notification as in fig. 15.3f will be displayed at the top of the page when the operation is complete.
This refers to the delete of one sub-sector scheme. Here is how to delete a sub-sector scheme.
STEP 1: Click on the sub-sector’s ‘DELETE’ button as shown in fig. 15.4a below.
(fig. 15.4a)
A confirmation console will be displayed to confirm your request to delete the sub-sector scheme.
STEP 2: Click on ‘CONFIRM’ to proceed.as in fig. 15.4b or ‘CANCEL’ to discontinue.
(fig. 15.4b)
If you proceed to delete the sub-sector, a notification as in fig. 15.4c will be displayed at the top of the page when the delete operation is done.
(fig. 15.4c)
How to Create New Sub-Sector Scheme
This refers to the adding of a new sub-sector scheme on the compliance planet. Here is how to create a new sub-sector scheme.
STEP 1: Click on the “OPERATIONS” button on the top-left side of the page as in fig. 15.5a below.
(fig. 15.5a)
This displays a dropdown as in fig 15.5b below
Click “New Scheme” on the dropdown list as in fig 15.5b below.
Fig 15.5b
This displays a ‘NEW SUB SECTOR SCHEME’ console. Here on this console, you are to input the details of the new sub-sector scheme which includes the sub-sector code and description and the line of business. See fig. 15.5c for an example.
(fig. 15.5c)
STEP 2: Fill in the details of the new sub-sector scheme. See fig. 15.5d for an example.
(fig. 15.5d)
STEP 3: Click on ‘SAVE’ as shown in fig. 15.5e below.
(fig. 15.5e)
This displays a confirmation console to confirm you want to add a new sub-sector scheme. See fig. 15.5f.
(fig. 15.5f)
STEP 4: Click ‘CONFIRM’ to proceed with the creation of the new sub-sector scheme or ‘CANCEL’ to discontinue. If you proceed, a notification as in fig. 15.5g will be displayed at the top of the page when the new sub-sector scheme has been successfully created.
This refers to the download of an excel file filled with all the sub-sector schemes saved on the compliance planet. Here is how to do this.
STEP 1: Click on ‘DOWNLOAD SUB-SECTOR SCHEMES’ on the drop down list as shown in fig. 15.6a below.
(fig. 15.6a)
This displays a confirmation console to confirm the download of all the sub-sector schemes.
(fig. 15.6b)
STEP 2: Click on ‘CONFIRM’ to proceed with the download or ‘CANCEL’ to discontinue with the operation.
The signal console shows on going processes. An example of a signal console is fig 15.6b. When download is complete, a notification will be displayed at the top of the page that an excel file has been downloaded.
(fig. 15.6c)
How To Make Bulk Delete of Sub-Sector Schemes
This refers to deleting more than one sub-sector schemes at once. Here is how to carry out a bulk delete of sub-sector schemes.
STEP 1: Select sub-sector schemes to be deleted by clicking on their checkboxes as shown in fig. 15.7a below.
(fig. 15.7a)
To select/deselect all the schemes on a page, click on the checkbox on the table’s title bar. This checkbox is between ‘SN’ and ‘Sub Sector Code’. See fig. 15.7b below.
(fig. 15.7b)
STEP 2: Click on ‘DELETE SELECTED SCHEME’ from the operations drop down as shown in fig. 15.7c below.
(fig. 15.7c)
Clicking on ‘Delete Selected Schemes displays a confirmation console as seen in fig. 15.7d below.
STEP 3: Click on ‘CONFIRM’ to proceed or ‘CANCEL’ to discontinue delete operation. See fig. 15.7d.
(fig. 15.7d)
If you proceed, a notification as in fig. 15.7e below will be displayed at the top of the page when delete operation is complete.
(fig. 15.7e)
How To Make Bulk Upload of New Sub-Sector Schemes
To add more than one new account scheme on the software; you need to upload an excel file filled with the details of the new sub-sector schemes according to the software’s specification for uploading new sub-sector schemes. This process is described below.
STEP 1: Click on ‘UPLOAD SCHEME’ as in fig. 15.8a below.
(fig. 15.8a)
This displays a ‘Planet Sub-Sector Scheme Upload’ console as in fig. 15.8b
(fig. 15.8b)
STEP 2: Click ‘SELECT SCHEME EXCEL FILE’ as in fig. 15.8c to choose the excel file filled with the details of the new sub-sector schemes to be uploaded on the planet.
(fig. 15.8c)
If you do not have the file specification for uploading new sub-sector schemes, You can download it from the “SYSTEM DATA SPEC FILES” on the software home page as shown in fig. 15.8d below to download an excel file with the required specification.
I
(fig. 15.8d)
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 Scheme 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. 15.8e below for an example.
(fig. 15.8e)
To close the upload console, click on ‘DISMISS CONSOLE’ as in fig. 15.8f.
(fig. 15.8f)
STEP 3: Click on ‘SAVE SUB-SECTOR SCHEME’ as in fig. 15.8g below to save the new sub-sector schemes on the planet.
(fig. 15.8g)
This displays a confirmation console, Click on ‘CONFIRM’ to proceed or ‘CANCEL’ to return to the upload console. See fig. 15.8h for an example of a confirmation console.
(fig. 15.8h)
A notification as in fig. 15.8i below will be displayed at the top of the page as the planet is saving the new sub-sector schemes.
(fig. 15.8i)
The signal console shows on going processes. An example of a signal console is fig 6.5bb. When the upload is complete, an excel file titled, ‘Sub-sector Code Upload Report’ will be downloaded. You will be notified as shown in fig. 15.8j.
Under this control Panel feature, the compliance planet provides a list of financial institutions and their SWIFT codes. Operations include editing, deleting, downloading and adding new SWIFT codes, with options to carry out operations individually or in bulk.
NOTE: Only person(s) profiled as deputy supreme Admin and assigned right(s) to “view Swift Dom transactions” will be able to carry out this operation.
To perform any of the operations on SWIFT schemes;
STEP 1: From the left hand side menu, Click ‘Control panel’ as in fig. 11.2a.
Fig 11.2a
This will display a drop down as in Fig 11.2b below.
STEP 2: Click ‘ACCOUNT’ on the drop down list. See an example in Fig 11.2b below.
Fig 11.2b
This will display the ACCOUNT CONTROL PANEL OPERATIONS dashboard as in Fig 11.2c below
Fig 11.2c
STEP 3: Click “SCHEME” from the top menu, on the account page. See an example in fig11.2d below
Fig 11.2d
This displays a dropdown as in fig 11.2e below
STEP 4: Click “Swift” on the drop down list as in fig 11.2e below
Fig 11.2e
This displays a page showing a list of all financial institutions, their SWIFT codes and other details.See fig. 11.2f for an example.
(fig. 11.2f)
At the bottom-right corner of the page, the software gives information about the number of pages of the list, with the page numbers written out. The page numbers represent buttons to go to each page. By clicking on any page number, the software takes you to that particular page. Click on the ‘NEXT’ button to go to the next page or the ‘PREVIOUS’button to go to the page before the current page. See these features in fig. 11.2f above.
Click on the ‘ENTRIES’ box to adjust the number of financial institutions you see per page. See how to adjust the number of entries per page in fig. 11.2g.
(fig. 11.2g)
Search for SWIFT Schemes by inputting institution code, institution name, or SWIFT code in the search box as in fig. 11.2h below. Search results are immediately.
(fig. 11.2h)
Each institution has two action buttons; ‘Edit’ button and ‘Delete’ button. The different operations are explained below.
How to Edit a SWIFT scheme
NOTE: Only person(s) profiled as deputy supreme Admin and assigned right(s) to “view Swift Dom transactions” and “screen edit Swift Dom transactions’ will be able to carryout this operation.
To change details of an institution;
STEP 1: Click on its ‘Edit’ button as shown in the example in fig. 11.2i below.
(fig. 11.2i)
Clicking on ‘Edit’ will lead to the display of a Edit Swift console as in fig. 11.2j.
(fig. 11.2j)
STEP 2: Fill in the details you want to add or change.
STEP 3: Click on ‘SAVE’ to update the details on the software. Clicking on ‘Save’ will display a confirmation console as in fig. 11.2kto confirm you want to change the details.
(fig. 11.2k)
Click on ‘CONFIRM’ to save the changes
How to Delete a SWIFT scheme
To delete a SWIFT scheme, click on ‘DELETE’ as in fig. 11.2l below.
(fig. 11.2l)
This displays a confirmation console to confirm your request to delete as in fig. 11.2m
(fig. 11.2m)
Click on ‘CONFIRM’ to proceed. A notification as shown in fig. 11.2n will be displayed at the top of the page when the action is done.
(fig. 11.2n)
Bulk Operations
The action buttons available under the bulk operations section of the page are;
Download SWIFT schemes
Delete selected schemes
New SWIFT scheme
Upload scheme
NOTE: Only person(s) profiled as deputy supreme Admin and assigned right(s) to “view Swift Dom transactions” and “Bulk edit Swift Dom transactions’ will be able to carry out this operation.
To select a scheme for treatment, mark the scheme by clicking on its checkbox as shown in the example in fig. 11.2n. One or more schemes can be selected for bulk treatment.
(fig. 11.2o)
To select or deselect all the schemes on a page, click on the checkbox of the table title bar. This checkbox is between SN and Inst. Code. See fig. 11.2p below.
(fig. 11.2p)
A) How to Download SWIFT Schemes
NOTE: Only person(s) profiled as deputy supreme Admin and assigned right(s) to “view Swift Dom transactions” and “Bulk edit Swift Dom transactions’ will be able to carry out this operation.
Click Operations button at the top-right side of the page as in fig 11.2q below
Fig 11.2q
This will display a dropdown as in fig 11.2r below
To download all the SWIFT schemes on the software, click on ‘DOWNLOAD SCHEMES’ on the drop down list as in fig 11.2r below. You do not need to mark all the schemes to download all.
(fig. 11.2r)
Clicking on ‘DOWNLOAD SCHEMES’ will display a confirmation console as in fig. 11.2s. Click on ‘CONFIRM’ to proceed with the download or ‘CANCEL’ to stop action.
(fig. 11.2s)
The signal console will show ongoing processes as shown in fig. 11.2t, and when download is complete, a notification will appear at the top of the page.
(fig. 11.2t)
B) How to Delete SWIFT Scheme
NOTE: Only person(s) profiled as deputy supreme Admin and assigned right(s) to “view Swift Dom transactions” will be able to carry out this operation.
After selecting the SWIFT schemes to be deleted; click on ‘DELETE SELECTED SCHEMES’ from the operations drop down list as in fig. 11.2u.
(fig. 11.2u)
This will display a confirmation console to confirm your request as shown in fig. 11.2v below. Click “Confirm” to proceed with the delete or “Cancel” to close the console.
(fig. 11.2v)
C) How to Create a New SWIFT Scheme
NOTE: Only person(s) profiled as deputy supreme Admin and assigned right(s) to “view Swift Dom transactions” will be able to carry out this operation.
To add a new SWIFT scheme on the software, click on ‘NEW SCHEME’ on the operations drop down list as in fig. 11.2w
(fig. 11.2w)
Clicking on the ‘NEW SWIFT SCHEME’ button will display a ‘NEW SWIFT SCHEME’ console as in fig. 11.2x, on which you are to input details of the scheme.
(fig. 11.2x)
Fill in the details of the new scheme in their respective fields. After inputting the details, click on ‘SAVE’ as shown in fig. 11.2y for an example.
(fig. 11.2y)
Clicking on ‘SAVE’ will display a confirmation console to confirm your action. Click on ‘CONFIRM’ to proceed with the creation of a new SWIFT scheme or ‘CANCEL’ to discontinue.
(fig. 11.2z)
➔If you proceed with adding a new SWIFT scheme the new scheme would be added to the list of SWIFT schemes on the software.
D) Bulk Upload of New SWIFT Schemes.
To add more than one new SWIFT scheme on the software; you must have an excel file filled with the details of the new SWIFT schemes according to the software’s file specification for uploading new SWIFT schemes.
NOTE: Only person(s) profiled as deputy supreme Admin and assigned right(s) to “view Swift Dom transactions” and “Bulk edit Swift Dom transactions’ will be able to carry out this operation.
Here is how to make a bulk upload.
STEP 1: Click on ‘UPLOAD SCHEME’ as in fig. 11.2aa below.
(fig. 11.2aa)
This displays a ‘Planet Swift Scheme Upload’ console as in fig. 11.2ab.
To close the upload console, click on ‘DISMISS CONSOLE’. By doing this, you can still reopen the upload to continue from where you stopped when you click on ‘Upload scheme’.
(fig. 11.2ab)
STEP 2: Click on ‘SELECT SCHEME EXCEL FILE’ as in fig. 11.2ac to choose the excel file filled with the new details to be uploaded on the software.
(fig. 11.2ac)
If you do not have the file specification for uploading new details, you can download from the “SYSTEM DATA SPEC FILES” on the software homepage.
I
(fig. 11.2ad)
This downloads an excel file with pre-filled headings according to the specification for uploading swift schemes. Open the file, fill in the required details of the new SWIFT schemes and save the changes to the file. Renaming the file on your computer is optional. Now you have a file to upload. Click on ‘Select Scheme 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. 11.2ae for an example.
(fig. 11.2ae)
STEP 3: Click on the ‘SAVE SWIFT SCHEME’ button as in fig. 11.2ae above to save the new SWIFT schemes on the software.
This will display a confirmation console. Click on ‘CONFIRM’ to proceed or ‘CANCEL’ to return to the upload console. See fig. 11.2af.
(fig. 11.2af)
A notification as in fig. 11.2ag will be displayed at the top of the page as the software is saving the new SWIFT schemes.
SWIFT scheme upload report will be downloaded to your computer. This report will give information about the number of schemes (records) uploaded, processed, saved and number of duplicate and exempted schemes.
Under this control panel feature, the compliance planet provides a list of account schemes a financial institution has. The operations include editing, deleting, downloading and adding new account schemes, with options to carry out operations individually or in bulk.
Note: Only person(s) profiled as deputy supreme admin can carry out account scheme operations.
To perform any of the operations on Account schemes;
STEP 1: From the left hand side menu, Click ‘Control panel’ as in fig. 12.2a.
Fig 12.2a
This will display a drop down as in Fig 12.2b below.
STEP 2: Click ‘ACCOUNT’ on the drop down list. See an example in Fig 12.2b below.
Fig 12.2b
This will display the ACCOUNT CONTROL PANEL OPERATIONS dashboard as in Fig 12.2c below
Fig 12.2c
STEP 3: Click “SCHEME” from the top menu, on the account page. See an example in fig12.2d below
Fig 12.2d
This displays a dropdown as in fig 12.2e below
STEP 4: Click “Account” on the drop down list as in fig 12.2e below
Fig 12.2e
This will display a page showing a list of all the financial institution’s account schemes. An account schemes comprises of a scheme code, an account type, an ADRAPS account type, an ADRAPS customer type and type. See fig. 12.2f for an example.
Account type is an alphabetic representation of each account scheme in line with the provided schema description by NFIU.
ADRAPS account type: This is the specification of an account type in line with ADRAPS requirements. ADRAPS account typecan either be ‘Current’, ‘Savings’ or ‘Deposit’.
ADRAPS customer type: This refers to the various types of customer account types in accordance to CBN ADRAPS template/schema description file. The customer types are; Individual, Estate, Joint account, Corporate, Government, Association, N.G.O., Embassy, International agency, Government and ‘Others’.
Type: This represents the financial institution’s classification of the account sub-package.
(fig. 12.2f)
As seen in fig. 12.2f above, at the bottom-right corner of the page, the software gives information about the number of pages of the list, with the page numbers written out. The page numbers represent buttons to go to each page. By clicking on any page number, the software takes you to that particular page. Click on the ‘NEXT’ button to go to the next page or the ‘PREVIOUS’button to go to the page before the current page.
Click on the ‘ENTRIES’ box to adjust the number of account schemes you see per page. See how to adjust the number of entries per page in fig. 12.2g.
(Fig. 12.2g)
Search for Account Schemes by inputting the account scheme code, scheme description, account type, ADRAPS account type or ADRAPS customer type in the search box as in fig. 12.2h below. Search results will appear immediately a character is typed in the search box.
(fig. 12.2h)
Each Account scheme has two (2) action buttons; ‘Edit’ button and ‘Delete’ button. The different operations are explained below.
How to Edit an Account Scheme
To change details of an account scheme;
STEP 1 Click on its ‘Edit’ button as shown in the example in fig. 12.2i below.
(fig. 12.2i)
Clicking on ‘Edit’ will display a console titled, ‘Edit Account Scheme’, as in fig. 12.2j.
(fig. 12.2j)
STEP 2: Fill in the details you want to add or change.
STEP 3: Click on ‘SAVE CHANGES’ as shown in fig. 12.2j above, to update the account scheme details on software. Clicking on ‘Save Changes’ will display a confirmation console as in fig. 12.2k to confirm you want to change the details.
(fig. 12.2k)
Click on ‘CONFIRM’ as in fig. 12.2k above to save the changes or cancel to discontinue action.
How to Delete an Account Scheme
To delete an account scheme, click on ‘DELETE’ as in fig. 12.2l .
(fig. 12.2l)
This displays a confirmation console to confirm your request to delete that particular account scheme as in fig. 12.2m Click on ‘CONFIRM’ to proceed.
(fig. 12.2m)
Bulk Operations
The action buttons available under the bulk operations section of the Account Scheme page are;
Download account schemes
Delete selected schemes
New account scheme
Upload scheme
To select an account scheme for treatment, mark the account scheme by clicking on its checkbox as shown in the example in fig. 12.2n below. One or more account schemes can be selected for bulk treatment as seen in the example.
(fig. 12.2n)
To select or deselect all the account schemes on a page, click on the checkbox of the table title bar as in fig. 12.2o. This checkbox is between SN and Scheme Code.
(fig. 12.2o)
A) Downloading Account Schemes
To download all the financial institution’s account schemes on the software, Click “Operations” button on the top-right side of the page as in fig 12.2p below.
This displays a dropdown list as in fig 12.2q below
Click on ‘DOWNLOAD ACCOUNT SCHEMES’ as in fig. 12.2q. No need to mark all the account schemes.
(fig. 12.2q)
Clicking on ‘DOWNLOAD ACCOUNT SCHEMES’ will display a confirmation console to confirm you want to download all the account schemes. Click on ‘CONFIRM’ as in fig. 12.2r to proceed with the download or ‘CANCEL’ to stop action.
(fig. 12.2r)
If you proceed with the download, the signal console will show ongoing processes as in fig 12.2s below, and when download is complete, a notification will be displayed at the top of the page.
(fig. 12.2s)
B) Deleting Account schemes
After selecting the account schemes to be deleted; Click on ‘DELETE SELECTED SCHEMES’ as in fig. 12.2t below
(fig. 12.2t)
Clicking on this bulk delete button will display a confirmation console to confirm your request as shown in fig. 12.2u below.
(fig. 12.2u)
C) Creating A New Account Scheme
To add a new account scheme on the software, click on ‘CREATE NEW ACCOUNT SCHEME’ as in fig. 12.2v below.
(fig. 12.2v)
Clicking on ‘NEW ACCOUNT SCHEME’ will display a console titled, ‘NEW ACCOUNT SCHEME’. on which you are to input the details of the new scheme. See fig. 12.2w for an example.
(fig. 12.2w)
Fill in the details of the new account scheme in their respective fields. See fig. 12.2x for an example. After inputting the details, click on ‘SAVE’ as shown below.
(Fig. 12.2x)
Clicking on ‘SAVE’ will display a confirmation console to confirm you want to add a new account scheme as in fig. 12.2y. Click on ‘CONFIRM’ to proceed with the creation of a new Account scheme or ‘CANCEL’ to discontinue.
(fig. 12.2y)
If you proceed, a notification as in fig. 12.2z will be displayed at the top of the page when the account scheme has been successfully created. The new scheme would be added to the list of Account schemes on the planet right away.
(fig. 12.2z)
D) Bulk Upload of New Account Schemes.
To add more than one new account scheme on the software; you must have an excel file filled with the details of the new account schemes according to the compliance planet’s file specification for uploading new account schemes. Here is how to make a bulk upload.
STEP 1: Click on ‘UPLOAD SCHEME’ as in fig. 12.2aa below.
(fig. 12.2aa)
This will display a ‘Planet Account Scheme Upload’ console as in fig. 12.2ab.
(fig. 12.2ab)
STEP 2: Click on ‘SELECT SCHEME EXCEL FILE’ as in fig. 12.2ac to choose the excel file filled with the details of the new account schemes to be uploaded on the software.
(fig. 12.2ac)
If you do not have the file specification for uploading the new account schemes, you can download from the “SYSTEM DATA SPEC FILES” on the software home page as shown in fig. 12.2ad to download a file specification.
I
(fig. 12.2ad)
This downloads an empty excel file with pre-filled headings (according to the required specification) under which the details for the new account schemes will be entered. Open the file, fill in the required details of the new account schemes and save the changes to the file. Renaming the file on your computer is optional. Now that you have a file to upload, click on ‘Select Scheme Excel File’ to choose that file for upload.
After selecting a file from your computer, the name of the selected file will be added to the upload console. See fig. 12.2ae for an example.
(fig. 12.2ae)
To close the upload console, click on ‘DISMISS CONSOLE’.
STEP 3: Click on the ‘SAVE ACCOUNT SCHEME’ button as in fig. 12.2af to save the new account schemes on the planet.
(fig. 12.2af)
Clicking on this button will display a confirmation console. Click on ‘CONFIRM’ to proceed or ‘CANCEL’ to return to the upload console. See fig. 12.2ag for an example.
(fig. 12.2ag)
A notification as in fig. 12.2ah below will be displayed at the top of the page as the software is saving the new account schemes.
