Performing CDD on clients not involved with a company or trust
How to perform CDD and use the AML compliance workflow for individuals and entity types other than Companies or Trusts.
To perform CDD on an individual you first need to set up an individual profile in your firm profiles Clients>Individuals tab.
If there is already a profile for the person in your Clients>Contacts list (due to a company or trust association) then you can upgrade their profile to an Individual and they will become available in the AML compliance workflow and Clients>Individuals tab.
To upgrade a Contact profile to an Individual simply locate them in the Clients>Contacts list, select the tick box and then the Cogs menu>Make client. After setting up the individuals basic profile you can begin loading identity documents and performing CDD.
For pricing information please see our article Subscription Plans and Pricing.
Create new Individual:
Upgrade a Contact to an Individual:
Gather identity evidence & perform CDD
All identity information for the individual can be uploaded during the AML Compliance workflow, so after setting up the basic profile just navigate to the firm's Work tab>AML Compliance, locate the individual in the list and begin CDD. The identity documents & determination made in the workflow will also be saved in the individuals profile for later use.
Alternatively, you can load the identity documents by selecting the client's profile in the Clients>Individuals tab and then use the Cogs menu>Edit profile. Navigate to the Identity information tab and upload the evidence you have gathered. This then will be made available to use in the AML Compliance workflow.
You can add identity information in the firm's Clients>Contacts list, but you'll need to apply a filter for Individuals to appear here.
In the Clients>Contacts tab expand the Advanced filter in the left column and select either Client or Contact or Client only. Then all the entities loaded in the Individuals, Companies and Trusts tabs will appear in the list. Locate the individual and use the Cogs menu to select Edit profile and upload identity evidence. This then will be made available to use in the AML Compliance workflow.
Partnerships and other entities
Please contact us at firstname.lastname@example.org for instructions on how to perform CDD on entity types not yet available in Connectworks.