sanctions checking · chapter 9: checking commercial business owners - this allows you to define a...

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09/11/2017

Sanctions Checking

Click on the chapter titles below to view them:

1: About This Guide

2: About Sanctions Checking

3: Setting Up Sanctions Checking

4: Screening On Point Of Entry

5: Summary Results Screen

6: Batch Checking

7: Reports

8: The Matching Process

9: Check of Commercial Business Owners

Open GI

About This Guide

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1: About This Guide

About This Guide

This guide contains the following chapters:

Chapter 1: About This guide.

Chapter 2: About Sanctions Checking - this details the HM Treasury sanctions list and how

Open GI performs sanctions checking. It also contains a link to the Sanctions Checking Module

recorded demonstration.

Chapter 3: Setting Up Sanctions Checking - this details the licences and units required for

Sanctions Checking and how to monitor the number of batch units used. It also details the Proxy

Gateway Settings, Broker Amendment and Prospect Control options.

Chapter 4: Screening On Point Of Entry - screening can be configured automatically or

activated manually from Core Back-Office and Prospect. Sanctions Checks can also be run via

frame calculations.

Chapter 5: The Sanction Check Summary Results Screen - when a match is found the

Sanction Check Summary Results Screen is displayed. This screen also details the reasons for any

failed sanctions checks. The Sanctions Checking History window can also be accessed from this

screen via the Sanctions Checks button. This shows a history of all the sanctions checks and

results that have taken place for the client or prospect.

Chapter 6: Batch Checking - this details how to perform batch checking immediately or using

the overnight schedule.

Chapter 7: Reports - this details the various Sanctions Checking reports for Core Back-Office

and Prospect. All the reporting options have an Export option via ReportNet.

Chapter 8: The Matching Process - this offers more detail on how and why certain matches

are found and how the Open GI system uses fuzzy logic to compare the information to that on

the HM Treasury Sanctions List.

Chapter 9: Checking Commercial Business Owners - this allows you to define a default

Prospect Master and Client Master for commercial clients to trigger contact capture for multiple

sanctions checks.

(Sanctions Checking Guide) Open GI Limited

2: About Sanctions Checking

About Sanctions Checking

Institutions are required by law to screen clients at point of sale against the HM Treasury

sanctions list as it is illegal for sanctioned organisations and individuals to be sold financial

services including Insurance.

Sanctions Checking

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The HM Treasury sanctions file includes data covering name and address of sanctioned

individuals and organisations as well as extra information that can be used to help explore

potential matches manually.

The URL to the government web site where you can get the list is shown below:

http://www.hm-treasury.gov.uk/fin_sanctions_index.htm

Open GI Sanctions Checking

Sanctions Checking has to be explicitly activated by Open GI and requires a licence. For more

information, please contact your Account Manager or the Sales Department on 01905 754455.

Open GI Sanctions checking is integrated into your Open GI system and offers both manual and

automated online sanctions checking for clients and prospects on creation, update and on

transfer from Prospect to Core Back-Office.

This is done both on point of entry and on historical data via batch checking. This has the

advantage of being easily searchable, negates the need for duplicate data entry and the

sanctions checking reports provide proof that sanctions checking has taken place.

Refer to the About This Guide page for a detailed chapter breakdown of the Sanctions Checking

guide.

Please refer to The Matching Process chapter for details on how the Sanctions Checking match

process works. This will help you understand why certain information has been matched.

Sanctions Checking Online Demonstration

The Sanctions Checking page of the main Open GI website contains a short recorded

demonstration of the Sanction Checking Module.

This can be accessed by clicking on the video below:


3: Setting Up Sanctions Checking

Setting Up Sanctions Checking

Sanctions Checking has to be explicitly activated by Open GI. For more information, please contact

your Account Manager or the Sales Department on 01905 754455.

To setup and use Sanction Checking you will need to:

1. Have the appropriate Sanctions Checking licence(s) and the required units. Calls to the

Sanctions Checking web service will consume units.

http://www.hm-treasury.gov.uk/fin_sanctions_index.htm

Sanctions Checking Licences

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Your batch units can be monitored using the Monitor Units option.

2. Ensure Sanctions Checking is switched on in the 'Proxy Gateway Settings' option. This

should already be switched on and setup by Open GI when you have obtained a licence.

3. Ensure Sanctions Checking is configured to your requirements in the Broker Amendment

and Prospect Control options. These will need to be configured for each branch.


Sanctions Checking Licences

There are two different licences for Sanctions Checking, which can be purchased separately or

together. It can be either for just checking individual clients or for running batch checks. These

are detailed below:

Standard licence only perform individual checks for 'live' online processing.

Full Licence including batch checking. This allows you to run a check on all prospects and

clients on the system and then to perform regular checks.

Please contact your Account Manager at Open GI.

If an appropriate licence key exists, sanctions checking can be switched on independently for

Core Back-Office, for Prospect and for Transfer to Core Back-Office (Broker Amendment and

Prospect Control) on each branch as required.

Standard Licence

If you have a standard licence only, you will not be able to access the following reports:

Sanctions Checking Due List

Run Batch Sanctions Check

The following message will be displayed:

Although you can access the following:

Sanctions Checking Action List

Sanctions Checking

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Sanctions Checking Enquiry

Full Licence With Batch Checking

You will be able to access all Sanctions Checking reports.


Proxy Gateway Settings (Sanctions)

You need the required Licences to use Sanctions Checking - please contact your Account Manager at

Open GI.

This should already be switched on and setup by Open GI when you have obtained a licence

To access the 'Proxy Gateway Settings' option, follow the procedure below:

1. From the System Control menu, select the 'System Maintenance' option (if using

Enhanced Security) otherwise select the 'Password Amendment' option.

2. Select the 'Proxy Gateway Settings' option. The following screen is displayed:

Proxy Gateway Settings (Sanctions)

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Refer to the Proxy Gateway Setting section in the System Management guide for further

details on these options.

3. Enter “Yes” in the Sanction Checking field to view/edit the settings and the following is

displayed:

Sanctions Checking

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When a licence for sanctions checking is activated, the settings are given default values by

Open GI. We recommend you use these default settings.

Timeout Limit in Seconds – this is the duration in seconds that the Java

component will wait for a response from the Sanctions Checking web service. This

can be amended if required, but the default is set to 10 seconds.

Retry Attempts – the number of retry attempts to be initiated after a timeout

has been exceeded. This can be amended but the number of retries is set to zero by

default.

4. Click the OK button (RETURN) to save the settings, otherwise click the Cancel button (ESC

ESC) to exit without saving.

Timeout Problems

If you have a poor internet connection and receive a lot of timeout errors, please contact Open

GI support who will assist you in configuring your Sanctions Check Settings, and/or increase your

system component timeout limit.


Broker Amendment and Prospect Control Options

The Broker Amendment and Prospect Control Options allow you to switch on and configure how

Sanctions Checking works on your system. It needs to be configured for each branch.

Core Back-Office Broker Amendment - Other 3 screen

To access the Other 3 screen following the procedure below:

1. From the Maintenance menu, select the 'Broker Configuration' option.

2. Select the 'Broker Amendment' option.

3. Press the button (F11) until you reach the Other 3 screen or use the Page Selection

button to select the Other 3 screen.

If you do not have a licence for sanction checking, the sanctions checking fields will not be

displayed on the Other 3 screen.

The Other 3 screen has the following options for Sanctions Checking:


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Enable Sanctions Checking for

Clients

Enter "Yes" to enable sanctions checking for clients,

otherwise enter "No". If enabled, creation of a new

client or amendments to name, date of birth or

address will start sanctions checking.

This also allows operator access to the manual

functionality accessed via the Sanctions Checks

button (ESC *). If it is not enabled, the following is

displayed when the Sanctions Checks button is

pressed:

Enable Commercial (Check

Client and Contacts)

Two new unit types have been added to support

Commercial checks, Commercial Contact and

Commercial Client. These need to be purchased before

Sanctions Checking

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using Commercial Sanctions Checking.

Set a Commercial Client Master in order to use the

Commercial Sanctions check.

Refer to the Checking Commercial Business Owners

page for further information.

Client re-check - prompt

required?

Enter "No" to prevent the prompt from displaying

for an automatic sanctions check when an existing

client’s name, address or date of birth is manually

updated, otherwise enter "Yes" to display the

prompt.

Use Extended Name Enter "Yes" to check the extended name otherwise

enter "No".

Batch Sanctions Check Sweep You can run the batch sanctions check overnight

process for just Core Back-Office, Prospect or All.

Select from:

All - will run the Overnight Process For Core

Back-Office and Prospects

Core Only - will run the sanctions overnight

process for just Core Back-Office which will not

include prospect cases.

Prospect Only - will run the sanctions overnight

process for just Prospects and so will not include

BROOMS cases

Enable Batch Sanctions

Checking for Clients

Enter "Yes" to enable Batch Sanctions checking for

clients for the branch, otherwise enter "No".

Days before repeat Sanctions

Checking of client

Enter the number of days before the repeat of a

batch check is undertaken for a client.

When the batch checking is run, the date used for

the batch sanctions check is the current date minus

the number of days entered in this field for clients.

For example, if the client was checked 31 days ago

and this is 30 days, the next batch will check the

client.

Any client that has been checked recently (whether

that check was 'live' or 'batch' will be excluded from

a batch check.


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Maximum clients per Sanctions

Checking batch

Enter the maximum number of clients to be checked

per batch check for clients.

Exclude clients with match

override from SC batch

Enter "Yes" to ignore clients matched who have an

override reason, otherwise enter "No" to include all.

Limit consecutive errors in

Sanctions Checking batch

Enter the number of consecutive errors to occur

before sanctions checking abandons repeated calls

to the sanctions checking service.

Client First Display to Show

Sanctions Check Match

Enter "Yes" to display the most recent check for the

client, if that check found a possible match and no

override text was entered. This means if the Client is

accessed via the client reference or by pressing

F5/F6 on the Client screen, the Sanction Check

Summary Results screen will be displayed if a

previous match was found and no override text has

been entered.

If Sanctions Checking has been enabled and is then

disabled, previous checks will be displayed but no new

ones can be undertaken.

Check against List Origin

The default of blank is UK only.

You have the option to perform the following

Sanctions Checks:

Select from:

Both - perform Sanctions checks using both the

USA and UK sanctions lists

UK - perform Sanctions checks using UK

sanctions list only

USA - perform Sanctions checks using USA

sanctions list only

UK Match Quality Threshold (%)

This field allows you to configure the tolerance

threshold for a UK match.

If no match is found that exceeds the search

threshold you have defined, no initial screen will be

Sanctions Checking

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displayed, although the screen results will still be

logged and can be accessed via the Sanctions

Checking History window.

USA Match Quality Threshold (%)


threshold for a USA match.






Prospect Control - Page 8

To access the Prospect Control Page 8 screen following the procedure below:

1. From the Prospect menu, select the 'Prospect Control' option.

2. Press F11 until you reach the Page 8 screen.

If you do not have a licence for sanction checking, the sanctions checking fields will display but

cannot be updated.

The Page 8 screen has the following options for Sanctions Checking:


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96. Enable Sanctions Checking

for Prospects

This option enables you to conduct live sanction

checks on creation of a new Prospect or on

amendments to the Name, Address or Date of Birth.

To request a sanction check without making

amendments click the Sanctions Check button (ESC

*). Enter ‘Yes’ to enable or ‘No to disable.

If it is not enabled, the following is displayed when

the Sanctions Checks button is pressed:

97. Enable Sanctions Checking

on Transfer to Core

This option allows you to run a ‘Live’ sanctions check

when using the ‘Make Live’ or ‘Transfer’ option from

Prospect to Core-Back Office. Enter "Yes" to enable

Sanctions Checking

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or "No" to disable.

98. Days before repeat

Sanctions Checking of prospect

If you have configured Sanctions Checking to take place

when a quote becomes a live policy, repeating the

transfer repeats the Sanctions Check. It is now possible

to set this option to restrict this repeat checking. Setting

this field will also affect any Batch Sanctions checking in

Prospect.

Enter the number of days before the repeat of a

batch check is undertaken for a prospect.

When the batch checking is run, the date used for

the batch sanctions check is the current date minus

the number of days entered in this field for

prospects.

For example, if the prospect was checked 31 days

ago and this is 30 days, the next batch will check the

prospect.

Any prospect that has been checked recently

(whether that check was 'live' or 'batch' will be

excluded from a batch check.

99. Maximum prospects per


This option defines how many clients a ‘Batch’ sanction check will carry out. Enter a number up to 999999. Leaving blank will not do any checks.

100.Exclude prospects with

match override from SC batch

This option allows you to exclude Prospects where an override reason has been defined. Enter "Yes" to exclude clients or "No" to include all clients.

101.Limit consecutive errors in


This options stops the ‘Batch’ sanctions check from

running, if multiple errors occur to prevent

numerous requests to the sanctions checking

service. Enter a number up to 99.

102.Prospect First Display to

Show Sanctions Check Match

This option displays the most recent sanction check

for the Prospect (Live or Batch) - Sanction Check

Summary Results screen. If a potential match was

found and no override reason was given the next

time this Prospects record is accessed, it will display

this information. Enter "Yes" to enable or "No" to

disable.

103.Level 3 deletion - confirm

prompt required?

This option will display a prompt to confirm that you

want to delete a frame at the Prospect Policy Risk

Level, if the user has the appropriate security


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character as defined in option 66. Level 3

Authorisation. Enter "Yes" to display prompt or

"No" to disable.

104.Sanctions Checking - Match

Quality Threshold (%)

If you do not have a licence for sanction checking,

this field is displayed and cannot be updated.


threshold for the sanctions check to confirm a

match. Enter a number between 0 – 100 dependent

on requirement.


The following options are applicable to Sanctions Checking:

106. Enable Batch Sanctions

Checking for prospects

This option runs a ‘Batch’ check of your existing

Prospects until all Prospects have been checked at

least once. Once all Prospects have been checked it

will utilise a single ‘Batch’ unit. Enter "Yes" to enable

or ‘No’ to disable.

117. Commercial Sanctions Sanctions checking can now handle commercial

Sanctions Checking

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Checking (Prospect and

Contacts)

checking of the Prospect and relevant contacts.

This feature requires activation (new unit types).

Whenever a check is triggered, the Prospect and all

contacts enabled for sanctions check will be

included.

Audit records will be created for every check

(Prospect and contacts).

When a new client record is created using the

prospect master format specified (option 117 in

Prospect Control), the contact details will be entered

prior to the first commercial sanctions check.

Individual contacts can be added to (or removed

from) the commercial sanctions check by amending

the contact’s Enable Sanctions Check field.

Commercial Sanctions checks will be triggered on

creation and amendment of contact address details

or date-of-birth or by setting the Enable Sanctions

Check field to “Yes” on a contact record, in addition

to the normal prospect triggers.

The sanction checking history log (Sanctions

Checks button on the Prospect Screen) will show

each contact check as a separate line. The list will

include the prospect/contact name and any error

message will be added as a second line.

Sanctions Checking Reports (Action List, Due List,

Enquiry) all include checks of contact details.



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The following options are applicable to Sanctions Checking:

122.Sanctions Checking - Check

against List Origin

The default of blank is UK only.

You have the option to perform the following

Sanctions Checks:

Select from:

Both - perform Sanctions checks using both the

USA and UK sanctions lists

UK - perform Sanctions checks using UK

sanctions list only

USA - perform Sanctions checks using USA

sanctions list only

123.Sanctions Checking - USA

Match Quality Threshold (%)

USA Match Quality Threshold (%)


threshold for a USA match.




Sanctions Checking

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Monitoring Units

Calls to the Sanctions Checking web service and batch processing will consume units (returning a

message if no units remain).

Please contact your Account Manager at Open GI if more units are required.

Live Mode

A live unit is consumed every time the web service is called in live mode when screening on

point on entry (not in batch mode).

Batch Mode

A batch unit is used per complete lap across all Client/Prospect records on the system.

A complete batch run is a complete run across the whole database of records. This could be

made up from multiple “single batch runs” run on successive days.

If a client / prospect record has been checked in the current batch run, then it will not be

checked again until every other client/prospect (that is checkable, depending on the

configuration parameters set in Broker Amendment and Prospect Control) has been checked

against the sanctions list. Once the database has been completely processed, the current

complete batch counter will be incremented and the next complete batch run will start.

Refer to the Batch Checking chapter for further information.

The Monitor Units Option

The 'Monitor Units' option is available to show the Sanctions Checking units that have been used

for Batch checking.

If there is no Batch Sanctions Checking licence, selecting this option will show the following

message:

System Notices

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To view Batch information, follow the procedure below:

1. From the Maintenance menu, select the 'Monitor Units' option.

2. Select the 'Sanctions Checking Batches' option.

3. Press the Exit button (ESC ESC) to close.

System notices also detail how many records have been processed as well as any errors.


System Notices

System notices detail how many records have been processed as well as any errors.

They are accessed as follows:

1. Select the 'System Notices' option from the System Control menu. The following is

displayed:

Sanctions Checking

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2. Select one of the options to access the system notices. The example below shows a

Sanction Batch system notice:

Screening On Point Of Entry

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If you get the "Sanctions Batch - Too many consecutive errors" System Notice or any other error, run

the Sanctions Checking Due List for details of the errors.


4: Screening On Point Of Entry

Screening On Point Of Entry

Please refer to The Matching Process section for details on how the Sanctions Checking match

process works.

Sanctions checking will take place in the following instances:

Core Back-Office

When performing a manual sanctions check - displays a list of previous checks. A new

sanction check can also then be performed by pressing the New Sanctions Check button

(requires Sanctions Checking to be enabled on the Broker Amendment Other 3 screen).

Sanctions Checking

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When creating a new client - a new check is undertaken (requires Sanctions Checking to be

enabled on the Broker Amendment Other 3 screen).

When updating a client - a new check is undertaken if name, forename, address, postcode or

date of birth are changed (requires Sanctions Checking to be enabled on the Broker Amendment

Other 3 screen).

** When accessing a client from the Client Details screen or entering an existing client

reference, the system displays the Sanction Check Summary Results screen if the latest Sanction

Check match was not overridden.

As an extension to frame calculations, which make it possible to create bespoke screening for

custom data capture.

** For this following option, the system will need to be configured to check the latest Audit record for

the client and automatically call the Sanction Check Summary Results screen if there are matches but

no override text using the Broker Amendment 'Client First Display to Show Sanctions Check Match'

option.

Prospect

When performing a manual sanctions check - displays a list of previous checks. A new

sanction check can also then be performed by pressing the New Sanctions Check button

(requires Sanctions Checking to be enabled on the Prospect Control Page 8 screen).

When creating a new prospect - a new check is undertaken (requires Sanctions Checking to

be enabled on the Prospect Control Page 8 screen).

When updating a prospect - a new check is undertaken if name, forename, address, postcode

or date of birth are changed (requires Sanctions Checking to be enabled on the Prospect Control

Page 8 screen).

** When accessing a prospect from the Prospect Details screen or entering an existing

prospect reference, the system displays the Sanction Check Summary Results screen if the latest

Sanction Check match was not overridden.

Performing a Prospect Transfer to Core Back-Office performs a new check (requires, 'Enable

Sanctions Checking on Transfer to Core' to be set to "Yes")

As an extension to frame calculations, which make it possible to create bespoke screening for

custom data capture.

** For this option, the system will need to be configured to check the latest Audit record for the

prospect and automatically call the Sanction Check Summary Results screen if there are matches but

no override text using the Prospect Control 'Prospect First Display to Show Sanctions Check Match'

option.


Creating A New Client

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Core Back-Office

Creating A New Client

If Sanction checking is switched on in the Broker Amendment Other 3 screen, a sanctions check

will automatically be performed when the client is saved by clicking the OK button on the Client

level screen shown below:

In our example, a match is found that exceeds the threshold defined by Open GI, and so the

Sanction Check Summary Results screen is displayed, showing selected details from the best

match:

Sanctions Checking

23

If no match is found that exceeds the search threshold defined by Open GI, no screen will be

displayed, although the screen results will still be logged in the Sanctions Checking History

window.


process works.


Core Back-Office Client Details Update

A new sanctions check will be undertaken when the relevant client fields are updated - name,

forename, address, postcode and date of birth.

Provided a ‘live’ sanctions checking licence exists and sanctions checking is switched on for that

branch in Broker Amendment.


Core Back-Office Client Details Display

When first displaying the Client Level details, the system can be configured to check the latest

Audit record for the Client and automatically call the Sanction Check Summary Results screen if

there are matches but no override text (Broker Amendment 'Client First Display to Show

Sanctions Check Match' option).

Core Back-Office Client Details Display

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This means if the Client is accessed via the client reference or by pressing F5/F6 on the client

screen, the Sanction Check Summary Results screen will be displayed if a previous match is

found with no override text.

Client Accessed Via The Client Reference

In the example below, HAMA03 has been entered as the client reference.

This will bring up a previous match when the Find button (RETURN) is pressed, as shown below

in the Sanction Check Summary Results screen:


process works.

Accessed From The Client Screen

Paging through clients using F5/F6 will also display the Sanction Check Summary Results screen

with the most recent match that has no override text.


process works.

Sanctions Checking

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Manual Sanctions Check (Core Back-Office)

A new manual sanction check can be performed on request, if enabled in Broker Amendment. A

Sanctions Checks button (ESC *) is available from the Client level display:

If a sanction check has previously taken place, the system will display a Client Sanctions

Checking History window that lists the Sanctions checks undertaken for the client in a scrollable

list when the Sanctions Checks button is pressed.

You can perform a new check from the Sanctions Checking History window by pressing the New

Sanctions Check button (ESC 1). This will call the Core Sanctions Check service (a live sanctions

check unit will be used).


Advanced Prospect Management

Creating A New Prospect

If Sanction checking is switched on in the Prospect Control Page 8 screen, a sanctions check will

automatically be performed when the prospect is saved by clicking the OK button on the

Prospect level screen shown below:

Creating A New Prospect

26

In our example, a match is found that exceeds the threshold defined by Open GI, and so the

Sanction Check Summary Results screen is displayed, showing selected details from the best

match:


displayed, although the screen results will be logged in the Sanctions Checking History window.


process works.

Sanctions Checking

27


Prospect Details Update

A new sanctions check will be undertaken when the relevant prospect fields are updated - name,

forename, address, postcode and date of birth.

Provided a ‘live’ sanctions checking licence exists and Sanctions Checking is switched on for that

branch in Prospect Control.


Prospect Details Display

When first displaying the Prospect level details, the system can be configured to check the latest

Audit record for the Prospect and automatically call the Sanction Check Summary Results screen

if there are matches but no override text (Prospect Control '102.Prospect First Display to Show

Sanctions Check Match' option).

This means that if the Prospect is accessed via the Prospect reference or by pressing F5/F6 on

the Prospect screen, the Sanction Check Summary Results screen will be displayed if a previous

match is found.

Prospect Accessed Via The Prospect Reference

In the example below, LADE002 has been entered as the prospect reference:

Prospect Details Display

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This will bring up a previous match when the OK button (RETURN) is pressed, as shown below in

the Sanction Check Summary Results screen.


process works.

Accessed From The Prospect Screen

Sanctions Checking

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Paging through prospects using F5/F6 will also display the Sanction Check Summary Results

screen with the most recent match that has no override text.


process works.


Manual Sanctions Check (Prospect)

A new manual sanction check can be performed on request, if enabled in Prospect Control. A

Sanctions Checks button (ESC *) is available from the Prospect level display:

If a sanction check has previously taken place, the system will display the Prospect Sanctions

Checking History window that lists the Sanctions checks undertaken for this prospect in a

scrollable list when the Sanctions Checks button is pressed.

You can perform a new check from the Sanctions Checking History window by pressing the New

Sanctions Check button (ESC 1). This will call the Core Sanctions Check service.


Prospect Transfer to Core Back-Office

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Prospect Transfer to Core Back-Office

An appropriate ‘live’ or 'batch' sanctions checking licence must exist and ‘Sanctions Checking on

Transfer to BROOMS’ must be switched on for that branch in Prospect Control Page 8.

The Core Sanctions Check will be called for the Prospect when the operator requests a quote

and it is manually transferred from Prospect to Core Back-Office using the Make Live button

(ESC 5) or the Transfer button (ESC G).

If a prospect has previous sanction checking matches the following is displayed:

When you press the Exit button, the following is displayed:

Click Yes to continue and save the prospect to Core Back-Office, otherwise click the No button.

Open Workflow Manager Transfers

For Open Workflow Manager transfers, the Core Sanctions Check will be called in batch mode -

this is ‘quiet’ but (as for all Batch Sanction Checking) you will need to have a manual process to

handle cases where Sanctions Checking matches occurred.

Open Workflow Manager transfers where Sanctions Checking matches occur will appear on the

Prospect Sanctions Checking Action List report.

Sanctions Checking

31


Sanctions Checking from Frame Calculations

Sanctions Checking can also be called from a Frame Calculation. This would be useful if you are

creating client through frame calculations and so you can also incorporate a Sanctions Check.

SAN-AUDIT-CHECK processing disregards any previous sanction checking of the client/prospect,

so that a new check will take place even if an override reason was given on an earlier check.

This will be available for all users who have a 'live' sanctions check licence. Adding to calculations

when there is no licence will generate an error of Sanctions Checking is not available on

validation of the frame calculation.

The command will trigger the Sanctions Checking, and store the returned result on the Sanctions

Audit File. All processing will be in quiet mode and no screen displays will occur.

Usage:

Syntax:

<Res> SAN-AUDIT-CHECK <Client/Prospect Reference>

Notes:

<Res> is a numeric field

<Client / Prospect Reference> is the required Client or Prospect reference.

Checking of the Client / Prospect Reference format will be done to identify whether the <Client /

Prospect Reference> is a Prospect or Core Back-Office Client.

<Client / Prospect Reference> must be a valid reference with record already existing.

<Res> will be zero if the Client has passed the sanctions check otherwise it will be populated

with a value.

Values of <res> returned by call

Result Reason

0 - Client has been passed by sanctions checking

1 - Client has been flagged by sanctions checking

2 - Sanctions checking has failed to be called

3 - Invalid Client / Prospect Reference format supplied

4 - Client / Prospect does not exist.

Sanction Check Summary Results Screen

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5: Summary Results Screen

Sanction Check Summary Results Screen

This screen is used to display the results of a sanctions check match. It will be displayed for both

manual and automated online sanctions checking for clients and prospects on creation, update

and on transfer from Prospect to Core Back-Office.


displayed, although the screen results will still be logged in the Sanction Client Checking History

screen.

A Match Exists

If a match exists, the following is displayed:


process works.

If the Sanctions Check cannot connect or an error is detected, an error message is displayed. Refer to

the Failed Sanction Checks page.

As a match exists, selected details from the ‘best’ match are shown. This screen also includes any

extra information from the HM Treasury list to help you to validate the match. It also shows the

data that was on the client or prospect record (name, address, Date Of Birth) at the time the

check was made, plus some information from the best match, plus an override reason if the

operator entered one. Unless an Override Reason is given, the audit record will appear on the

Sanctions Checking Action List.

Sanctions Checking

33

This is also accessible from the client record as well, to alert a user to any previous matching

activity. In the case of the screening system not being available, the calling application will time

out after a few seconds and mark the audit trail accordingly.

Update mode accessed via the Override button (F2) allows you to enter an override reason. It is

only available if the result indicates that the check was performed and a match found. All fields

are read only except the Override Reason lines.

Type-through is enabled for these lines. When type-though occurs, if the last word does not fit at the

end of the first field, it is moved to the next field.

The following buttons are available:

Exit Exit the window (F3 or ESC ESC).

Override Button Refer to the Stop A Genuine Customer From Being

Displayed Automatically page.

View Button Click the View button (F8), and the Sanction

Checking Match List window shows the detailed

breakdown of a previous check. Scrolling down the list

shows details for up to five of the top matches:

Stop A Genuine Customer From Being Displayed Automatically

34

If five results are returned, the system will indicate the

fact that more records may be available. The full

details for more than five results will probably not be

very useful - they are likely to be near duplicates on

the sanctions list. For example, the number of

variations on the name “Bin Ladin” is very high.

The percentage matched is based on positive

information. Therefore, the more information you

enter, the more accurate match you will receive.

Print Click the Print button (F7) to print. The print includes

all the available information about the Sanctions

Check (information shown on the Sanction Check

Summary Results screen and the Sanction Checking

Match List window).


Stop A Genuine Customer From Being Displayed Automatically

If a match exists, the following Sanction Check Summary Results screen is displayed:

Click the Override button (F2) if the client or prospect is thought to be genuine at that time. An

override reason can be entered in the three lines of text shown below that will now become

active:

Sanctions Checking

35

This will stop the Sanction Check Summary Results screen from being displayed automatically,

unless a manual Sanctions Check is undertaken via the Sanctions Check button.

If no match is found that exceeds the search threshold defined by yourself, the override text

"Match quality is below threshold value" is entered in the Override Reason text field.

This ensures that the initial Sanction Check Summary Results screen is not displayed, although

the screen results will still be logged in the Sanctions Checking History window.


No Matches Found (Sanction Check Summary Results Screen)

When an item is manually selected from the Client Sanctions Checking History window or

Prospect Sanctions Checking History window, a Sanction Check Summary Results screen is

displayed.

If a match wasn't found, the following is displayed if selected:


Match Quality Is Below Threshold Value

If no match is found that exceeds the search threshold defined by yourself or Open GI, no initial

screen will be displayed, although the screen results will still be logged in the Sanctions Checking

History window.

Failed Sanctions Checks

36

In this instance, the match quality threshold (%) is set to 90%. In the example below, the match

quality (75%) is below this threshold value:

The override text "Match quality is below threshold value" is entered in the Override Reason

text field.


Failed Sanctions Checks

If there is a failure in connecting to the Sanction Check service, or any other error, an error

message is displayed, some of which are detailed below:

Timeout Error

If a timeout occurs, the connection to the Sanction Checking web service has taken longer than

the number of seconds defined in the 'Timeout Limit in Seconds' option. This can be amended if

required, but the default is set to 10 seconds.

The following is then displayed:

Sanctions Checking

37

No Name Entered

This sanctions check could not be completed because no client or prospect name has been

entered:

No More Units

This message will occur if you run out of 'live' units - contact your Open GI Account Manager.

Repeated Errors

If repeated errors are detected, you will be informed of this on screen and via a System Notice.

Errors or failures are logged on the Sanctions Checking Due List report.

Sanctions Checking History Window

38


Sanctions Checking History Window

This window shows a history of all the sanctions checks and results that have taken place for the

client or prospect. It is accessed by clicking the Sanctions Checks button on the Client or

Prospect screens.

The screen below shows an example of the Client Sanctions Checking History window:

The most recent sanctions check is displayed at the top, along with the date, time, operator

code, number of matches found and any override text.

Matches found that do not exceed the match quality threshold you have defined will also be

logged in the window.

Select an item from the list to call the Sanctions Checking Summary Results screen for that item.

Sanctions Checking

39

Performing A New Sanctions Check

You can perform a new check by pressing the New Sanctions Check button (ESC 1). This will call

the Core Sanctions Check service.

If Sanctions Checking has been enabled and is then disabled, previous checks will be displayed but no

new ones can be undertaken. Therefore, in this instance the New Sanctions Check button will not be

displayed.


6: Batch Checking

Batch Checking

Two different licences will be required for Sanctions Checking. One will be used for batch processing,

the other for live online processing. Please contact your Account Manager at Open GI.

As well as being able to screen data on entry to the system, the system will also check existing

stored data and screen it in a similar way against the HM Treasury list. This ensures that any

updates to the HM Treasury list are checked against your existing clients and prospects that may

previously have passed a Sanctions Check. This process generates an audit trail of results and

provides reports to help identify and investigate potential matches. You can then record the

decision made in the case of positive matches by using the Override button to enter an override

reason.

Batch Screening can be run:

Immediately using the 'Run Batch Sanctions Check' options.

Scheduled as an overnight run, (using the Other 3 screen or special commands) in order not

to overly stress the hosting infrastructure.


process works.



The 'Run Batch Sanctions Check' option is accessed as follows:

Core Back-Office

1. From the Correspondence / Diary / Insurer Accounts menu, select the 'Client/Policy Audits'

option.


40

2. Select the 'Run Batch Sanctions Check' option.

Prospects

1. From the Prospects menu, select the 'Prospect/Policy Audits' option.

2. Select the 'Run Batch Sanctions Check' option.

The 'Run Batch Sanctions Check' option

This option is used to perform Sanctions Checks in batch mode (provided sanctions checking is

switched on for that branch in Broker Amendment or Prospect Control). The Batch Sanctions

Checking screen is then displayed:

The date used for the batch sanctions check is the current date minus the number of days entered in

the 'Days before repeat Sanctions Checking of client' or 'Days before repeat Sanctions Checking of

prospect' options in Broker Amendment and Prospect Control.

For example, if today's date is 01/10/2010 and "2" is entered for the number of days before the

repeat Sanctions Checking of clients, the date on the Batch Sanctions Checking screen will be

29/09/2010 as shown below:

Sanctions Checking

41

Batch Units

One unit is used per complete batch run. This unit performs a Sanctions Check on every client

and every prospect on every branch with a given broker network id. This will usually be

scheduled to run as part of the Overnight Processing.

Batch units can be viewed using the Monitor Units option.

Core Back-Office Batch Sanctions Check

This will perform Sanctions Checks in batch mode for clients.

This will make repeated calls to the Core Sanctions Check routine for clients up to a maximum

specified in the Broker Amendment 'Maximum Clients per Sanctions Check' option, prioritising

as follows:

Clients whose most recent Sanctions Check needs repeating (because the Service call was

unsuccessful or returned an Error where the message indicates 'Check Not Performed').

Clients who have not been checked recently, or whose last check was more than the

specified number of days ago (defined in the Broker Amendment 'Days before repeat Sanctions

Checking of Client' option) and who have not been checked as part of the current batch (most

recent batch audit record for the client has a lower batch number than the current batch

number). Checking can be bypassed for clients whose most recent audit record has override text

by using the Broker Amendment 'Exclude clients with match override from SC batch' option. If

the end of the client file is reached before the maximum number of client records have been

processed, the current batch number is incremented and a new batch information record for the

branch/product added A new batch information record for the complete system is added if there

is not already a record with that batch number.

Clients whose last check was more than the specified number of days ago (defined in the

Broker Amendment 'Days before repeat Sanctions Checking of Client' option) and who have

already been checked as part of the current batch. Checking can be bypassed for clients whose

most recent audit record has override text by using the Broker Amendment 'Exclude clients with

match override from SC batch' option.

Overnight Batch Sanctions Check

42

It will abandon the batch if the limit set in the Broker Amendment 'Limit consecutive errors in

Sanctions Checking batch' option for Core Sanctions Check failures on consecutive calls is

exceeded. The operator can interrupt the batch processing by pressing F4. If a batch is

abandoned, the result of the Batch Sanctions Check will be set to FALSE.

Prospects Batch Sanctions Check

This will perform Sanctions Checks in batch mode for prospects.

This will make repeated calls to the Core Sanctions Check routine for Prospects up to a

maximum specified in the Prospect Control 'Maximum prospects per Sanctions Checking batch'

option, prioritising as follows:

Prospects whose most recent Sanctions Check needs repeating (because the Service call was

unsuccessful or returned an Error where the message indicates 'Check Not Performed').

Prospects who have not been checked recently, or whose last check was more than the

specified number of days ago (defined in the Prospect Control 'Days before repeat Sanctions

Checking of prospect' option) and who have not been checked as part of the current batch (most

recent batch audit record for the prospect has a lower batch number than the current batch

number). Checking can be bypassed for prospects whose most recent audit record has override

text by using the Prospect Control 'Exclude prospects with match override from SC batch' option.

If the end of the prospect file is reached before the maximum number of prospect records have

been processed, the current batch number is incremented and a new batch information record

for the branch/product added A new batch information record for the complete system is added

if there is not already a record with that batch number.

Prospects whose last check was more than the specified number of days ago (defined in the

Prospect Control 'Days before repeat Sanctions Checking of prospect' option) and who have

already been checked as part of the current batch. Checking can be bypassed for prospects

whose most recent audit record has override text by using the Prospect Control 'Exclude

prospects with match override from SC batch' option.

The batch will be abandoned automatically if the limit set in the Prospect Control 'Limit

consecutive errors in Sanctions Checking batch' option for Core Sanctions Check failures on

consecutive calls is exceeded. The operator can interrupt the batch processing by pressing F4. If

a batch is abandoned, the result of the Batch Sanctions Check will be set to FALSE.


Overnight Batch Sanctions Check

The Overnight Batch Sanctions Check

A site Batch Sanctions Check for Core Back-Office and Prospect will usually be scheduled to run

as part of the Overnight Processing. This will perform the Core Back-Office and Prospects Batch

Sanctions Check for each branch in turn (provided a batch sanctions checking licence exists and

sanctions checking is switched on for that branch in Broker Amendment and Prospect Control).

Sanctions Checking

43

If the Batch Sanctions Check for a branch is abandoned (the result is FALSE) the Overnight Site

Sanctions Check will also be abandoned.

It is also possible to just run the Sanctions overnight process for just Core Back-Office or

Prospect only, or both (All). This is determined by special commands as part over the overnight

processing.

If the RMA BRSCBCA special command is used (All) then the Batch Sanctions Check Sweep field

on the Other 3 screen can used to apply to "Core Back-Office", "Prospect" or "All", as required.

Running The Overnight Batch Sanctions Check Using Special Commands For Core

Back-Office and Prospect (All)

To run the overnight batch checking using Special Commands follow the procedure below:

1. From the System Control menu, select the 'Overnight Schedule' option.

2. Press the Update button (F2). The following menu is displayed:

3. Select the 'Special Processing' option. The following screen is displayed:

4. In the After field select 'Connect" and then in the When field select "Always".

5. In the Command to be processed field, type :

Prospect Reports

44

RMA BRSCBCA

6. Click the Save&Exit button (RETURN).

If the RMA BRSCBCA command has been entered, you can then use the Batch Sanctions Check

Sweep field on the Other 3 screen to apply to "Core Back-Office", "Prospect" or "All", as required.

Running The Overnight Batch Sanctions Check Using Special Commands For Core

Back-Office Only

You can run the sanctions overnight process using Special Commands for just Core Back-Office

which will not include prospect cases.

To do this, in the overnight scripts, replace the existing command "RMA BRSCBCA" with the

following:

RMA BRSCN

If the RMA BRSCN command is used, it overrides anything set in the Other 3 screen Batch Sanctions

Check Sweep field.

Running The Overnight Batch Sanctions Check Using Special Commands For

Prospects Only

The Sanctions overnight process using Special Commands can now be run for just Prospect and

so will not include BROOMS cases.

To do this, in the overnight script replace the existing command “RMA BRSCBCA” with the

following:

RMA DPSCN

If the RMA DPSCN command is used, it overrides anything set in the Other 3 screen Batch Sanctions

Check Sweep field.


7: Reports

Prospect Reports

All the reporting options have an Export option via ReportNet. It is possible to interrupt a long-running

print by pressing F4.

To access these reports for Prospect, from the Prospect menu, select the “Prospect/Policy

Audits” option.

This gives a sub-menu offering the following options:

Sanctions Checking

45

Prospect/Policy History Log - (this was previously the main menu option. It is now included

under the main menu 'Prospect/Policy Audits' option to incorporate the additional sanction

check reports)

Sanctions Checking Action List - this report shows prospects/clients whose most recent

Sanctions Check returned a match but no override text has been entered.

Sanctions Checking Due List - (requires a Batch processing licence) - this report shows

prospects/clients whose most recent Sanctions Check was more than the specified number of

days ago

Run Batch Sanctions Check - (requires a Batch processing licence) - this option performs

Sanctions Checks in batch mode

Sanction Checking Enquiry - this report shows prospects/clients whose most recent Sanctions

Check was in a specified period.

If these options are selected when Sanctions Checking has been switched off for that branch in

Prospect Control, a message will be shown “Sanctions Checking Options Not Available”.

It will also be possible to schedule Batch Sanctions Checks to run as part of Overnight

Processing.


Core Back-Office Reports

All the reporting options have an Export option via ReportNet. It is possible to interrupt a long-running

print by pressing F4.

To access these reports for Core Back-Office, select the ‘Client/Policy Audits‘ option from the

Correspondence / Diary / Insurer Accounts menu.

A sub-menu is displayed, offering the following options:


46

Client/Policy History Log - (this was previously the main menu option. It is now included

under the main menu 'Client/Policy Audits' option to incorporate the additional sanction check

reports)

Sanctions Checking Action List - this report shows prospects/clients whose most recent

Sanctions Check returned a match but no override text has been entered.

Sanctions Checking Due List - (requires a Batch processing licence) this report shows

prospects/clients whose most recent Sanctions Check was more than the specified number of

days ago

Run Batch Sanctions Check - (requires a Batch processing licence) this option performs

Sanctions Checks in batch mode

Sanction Checking Enquiry - this report shows prospects/clients whose most recent Sanctions

Check was in a specified period

Open Client Check Report

Open Client Check Enquiry

If these options are selected when Sanctions Checking has been switched off for that branch in Broker

Amendment, a message will be shown “Sanctions Checking Options Not Available”.

It will also be possible to schedule Batch Sanctions Checks to run as part of Overnight

Processing.



This report shows prospects/clients whose most recent Sanctions Check returned a match but no

override text has been entered.

Depending on whether this report option has been accessed from Prospect or Core Back-Office,

this report will detail either clients or all prospects where a match has been found and further

action is required. The Sanctions Checking Action List screen is displayed:

Sanctions Checking

47

Export Format? Select "No" from the drop-down list to print the

report, or enter "Yes" to export the report in a

delimited text format via ReportNet for use in Excel.

To export the file to ReportNet, use

PC:<filename>

Press the OK button (RETURN) to continue.

An Example Of The Sanctions Checking Action List Report

This report list the reference, name, date and time of sanctions check, the operator code (or

"Batch") and the percentage best match.

An Example Of The Sanctions Checking Action List - Export Format

The delimiter used is what is set in the Broker Amendment Other 1 screen ('Set Separator

Character for Export File' option).



Requires a Batch processing licence.

This report shows prospects/clients whose most recent Sanctions Check was more than the specified

number of days ago using the 'Days before repeat Sanctions Checking of client' and 'Days before

repeat Sanctions Checking of prospect' options in the Broker Amendment and Prospect Control


48

options. Clients/Prospects where the Service call was unsuccessful or returned an Error where the

message indicates 'Check Not Performed' will also be included.

Depending on whether this report option has been accessed from Prospect or Core Back-Office,

this report allows you to see prospects/clients due for a repeat check in the next batch run.

To access the Sanctions Checking Due List for Core Back-Office, select the ‘Client/Policy

Audits‘ option from the Correspondence / Diary / Insurer Accounts menu.

To access the Sanctions Checking Due List for Prospects, select the “Prospect/Policy Audits”

option from the Prospect menu.

Prospects/Clients whose most recent audit record has override text will be listed in a separate

section of the report (re-checking can be bypassed for such clients via the 'Exclude prospects

with match override from SC batch' or 'Exclude client with match override from SC batch'

options in the Broker Amendment and Prospect Control options.


report, or enter "Yes" to export the report in



PC:<filename>


An Example Of The Sanctions Checking Due List Report

This report is split into the following three sections:

Section 1 - details the reason why the Sanctions check was not undertaken for these specific

clients/prospects.

Section 2 - details the clients/prospects whose last check was at least the number of days

ago set in the Broker Amendment or Prospect Control options.

Section 3 - details clients/prospects whose last check was at least the number of days ago

set in the Broker Amendment or Prospect Control options and who have override text.

Sanctions Checking

49

An Example Of The Sanctions Checking Due List - Export Format




Sanction Checking Enquiry

The Sanction Checking Enquiry report shows prospects/clients whose most recent Sanctions

Check was in a specified period.

Sanction Checking Enquiry

50

Sanctions Checking Results For Clients

To access the Sanction Checking Enquiry report for clients:

1. From the Core Back-Office Correspondence / Diary / Insurer Accounts menu, select the

‘Client/Policy Audits‘ option.

2. Select the 'Sanction Checking Enquiry' option. The Sanctions Checking Enquiry screen is

then displayed as detailed in the section below.

Sanctions Checking Results For Prospects

To access the Sanction Checking Enquiry report for prospects:

1. From the Prospect menu, select the 'Prospect/Policy Audits' option.

2. Select the 'Sanction Checking Enquiry' option. The Sanctions Checking Enquiry screen is

then displayed as detailed in the section below.

The Sanctions Checking Enquiry Screen

The Sanctions Checking Enquiry screen is then displayed:

Clients last checked in period

from

Enter a from and to date in the format DD/MM/YYYY

or select a date by clicking on the drop-down list and

selecting one from the calendar.


report, or enter "Yes" to export the report in



PC:<filename>

Sanctions Checking

51


An Example of The Sanction Checking Enquiry Report

This report details the client/prospects that have been checked. It shows the number of

matches for a client/prospect and shows any override text that has been entered.

An Example Of The Sanction Checking Enquiry - Export Format




8: The Matching Process

The Matching Process

52

The Matching Process

This section details how the Sanctions Checking match process works, so you can understand

why certain matches are being found.

The Sanctions Checking matching process will attempt to compare the data entered in the Open

GI system to the HM Treasury sanctions file. Due to the data quality issues on both the input

data and the sanctions file, a perfect match is unlikely in most cases.

If a match is found and the match is above the threshold set by Open GI, you will be notified. Full

information from the sanctions list will then be made available to you to investigate the match

further.

Much of this investigation will be manual and will involve the sanctions process that your

company has decided upon and will be off the system.

The result of the investigation and subsequent decision will be entered into the system in the

Override Reason and logged with the screening results.

Any screening activity, matched or otherwise will be logged for later analysis through an audit

report.

The Fuzzy logic used will cover partial matches of parts of a name, the “edit distance” to cover

typos and other types of data corruption. Fuzzy logic technology automatically matches records

using letters rather than full names – preventing slight name manipulation by consumers. This

includes name reversal and character manipulation.

All of this rationalises and weights the matches and feeds back a percentage match. The

percentage matched is based on positive information. Therefore, the more information you

enter, the more accurate the match will be.


Fuzzy Search Algorithms

The Fuzzy Search Algorithms used by Open GI consider the supplied input data in four parts -

name, date of birth, address and postcode. Each of these parts will be compared with each row

on the sanctions list, and assigned a “score” indicating the quality of the match. Finally, the

scores for each of the four parts will be combined.

It is mandatory to supply a name for a search to be performed, otherwise an error message will

be returned. The other parts of the data (date of birth, address, postcode) are optional. All

searches will be case insensitive.

If one or more of the optional ‘facts’ is not supplied in the system, then only the supplied

information will be taken into account when totalling up the combined score. For example, if the

name is a 80% match, but no other data is supplied, then that hit should be assigned a score of

80%.

Sanctions Checking

53

The reverse is also true, so even if name, address, date of birth and postcode are supplied, if an

individual’s record on the sanctions list does not contain the information, it will not be counted

against the score. For example, “Ghorb Nooh” is an individual on the list with no other useful

information present. Anyone with that name will be flagged as a perfect hit, regardless of their

address.


Name Matching

Every name entered into the system will be pre-processed to split it up into a number of

separate words (as per the data processing that happens on the sanctions list).

Each name-word supplied will be compared with each name-word held on the system for each

record on the sanctions list.

The comparison process allows for similar names to get a partial match - eg. SAN is a 75% match

for SEAN.


PostCodes

Some of the postcodes on the sanctions list are complete (for example, NW2 7BR). Others are

shorter (for example, IG11). Others use a different format, typically a zip-code.

The input postcode in the system and the list postcodes will be compared character by character

until one of the strings has been completely compared. Any non-matching characters will result

in a 0% match for the postcode part. If every supplied character of one of the strings matches,

then the postcode will be a 100% hit.

Only a 0% or 100% match is possible)

For example, NW11 is a 100% match for NW11 3EE.


Addresses

54

Addresses

Addresses will be compared one line at a time (not one word at a time, as the names are). The

system will move through each record in the sanctions list looking for a match. Within each

record on the sanctions list, each address line supplied will be compared with every address line

on the sanctions-list record. The best-match score for each address line on the system input and

the list will be recorded.

There may be many address lines supplied and few on the sanctions-list record, or vice-versa. If one

address contains the single line “London” and the other contains a full, multi-line (London) address,

this is a perfect match.

The average best-match score for each of the supplied address lines in the input will be taken.

Similarly, the average best-match score for each of the address lines on the sanctions list will be

taken. The final address-match score is the higher of those two values.


Date of Birth

The Date of Birth in the input data will always be a valid date. The Date of Birth on the sanctions

list may include zeros for the day part or the month part.

A 100% match will be returned when all (non-zero) parts of the date match.


9: Checking Commercial Business Owners

Checking Commercial Business Owners

Introduction

This allows commercial checks of business owners. It allows you to define a default Prospect

Master and Client Master for commercial clients to trigger contact capture for multiple sanctions

checks.

Sanctions checking can now complete checking of the client/prospect and all relevant contacts

within a single check.

An audit record is created separately for each client/prospect and contact and the Sanctions

Checking Reports (Action List, Due List, Enquiry) all include both client/prospect and contact

checks.

Sanctions Checking

55

Commercial Sanctions Checking Units

Two new unit types have been added to support Commercial checks, Commercial Contact and

Commercial Client. These will need to be purchased for Commercial Sanctions Checking to take place.

If you have Commercial Sanctions Checking enabled and have purchased the required units:

When a client/prospect with no contacts is checked an “SC Live” unit is taken (this is the same

as existing)

When a client/prospect with contacts is checked an “SC Commercial” unit is taken plus an

“SC Contact” unit per contact (SC Contact units are “in arrears” so only count rather than

charged)

Enabling Commercial Sanctions Checking

To enable Commercial Sanctions Checking:

For Core Back-Office, set the Enable Commercial (Check Client and Contacts) field to "Yes" on

the Broker Amendment Other 3 screen

For Prospect, set the field 117 Commercial Sanctions Checking (Prospect and Contacts) to

"Yes".

Using Commercial Sanctions Checking

To complete a Commercial Sanctions check:

1. Set a Commercial Client/Prospect Master to use the Commercial Sanctions check in

Broker Amendment (Other 3) or Prospect Control (117).

2. Create a new Client/Prospect using the client/prospect master that has been set above in

step 1.

3. The Contact Details pop-up will now appear in the workflow prior to the first

commercial sanctions check:


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4. Individual contacts can be added to (or removed from) the commercial sanctions check

by amending the contact’s Enable Sanctions Check field. This must be set to "Yes" for a

check to take place. Click the OK button (RETURN).

5. Click the Exit button.

6. The Contact Details Summary pop-up is displayed

Sanctions Checking

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7. The Commercial Sanctions check will be triggered when the Contact Details Summary

pop-up is exited:


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8. A Sanctions check will also be triggered on creation and amendment of contact address

details, date-of-birth or by setting the Enable Sanction Check field to "Yes" when

previously set to "No". The following is then displayed:

9. Click Yes to perform a new sanctions check, otherwise click No.

Sanctions Checking History Log

The sanctions checking history log (Sanctions Checks button (ESC *) on the Client Screen) will

show each contact check as a separate line. The list will include the prospect/contact name and

any error message will also be displayed as a second line below the client name:

Sanctions Checking

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For both existing Sanctions checks and the new Commercial checking Audit Records are

transferred from Prospect to Core when the live policy is created so the complete history is

visible from Client/Policy Details.


sanctions checking · chapter 9: checking commercial business owners - this allows you to define a...

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