This article describes the Compliance Checks module and how to filter them in Unity® Practice Management.
The Compliance Checks module displays all Checks performed in the system. The checks include:
- Instant AML Checks
- Biometric ID and AML Checks
- Safe Harbour AML Checks – Vendor
- Safe Harbour AML Checks – Purchaser
- Sources of Funds
On the Compliance Checks screen, you will see the following details:
- Date the Check was performed
- Client Contact
- Type of Check
- Status of Check
- Case Display Code
When you click on the Actions (ellipsis menu/3 dots), you can perform the following actions:
Go to Client
When you click Go to Client, you will be navigated to the AML& ID screen, where you can start a new Check.
Download
This action allows you to download the Check results as a PDF document
View History
When you click View History, a window appears showing all Checks performed for the client. From this window, you can download the Check results by clicking the download icon. You can also start a New Check from here
Resend Invite
This action allows you to resend an Invite to the client. To do this, select the communication method and click Create Invite
View Submitted Data
Click View Submitted Data to view the originally submitted data when the Check was initiated
How to Filter Compliance Checks
When you open the Compliance Checks screen, you will see all checks performed for clients within the system. You can filter the checks that are relevant to you.
Filter by Client
- Click on the arrow
-
Search for the Client, and click on the client once you find them. If any Checks were performed against that client, they will be displayed.
Filter by Status
- Click on the arrow
-
Select the Status you want to filter by
Filter by Type
- Click on the arrow
-
Select the Compliance Check Type you want to filter by
Filter by User
- Click on the arrow
-
Search for the User and click on their profile once found. If the User has initiated any Checks in the system, these will be displayed
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