Batch Scans for Corporates¶
Permissions¶
| Compliance Officer | Advanced User | Standard User | Data Entry Operator | Billing Officer | Auditor |
|---|---|---|---|---|---|
| edit | edit | edit | edit | clear | clear |
You can screen for Sanction, Law Enforcement, Regulatory Enforcement and Adverse Media checks for companies in volume via Corporate Scan > Batch Scan.
Before Running a Scan¶
To perform a batch scan of companies, you will need to check or select the following, and have your CSV or XML batch file prepared:
- Organisation
- Scan settings
- Batch file in CSV or XML format (UTF-8 encoded recommended)
CSV or XML batch file templates
To help you get started, you can download CSV and XML templates and sample batch files here.
CSV vs structured spreadsheets
CSV (Comma-Separated Values) and structure spreadsheet files (e.g. XLSX from Microsoft Excel) are both used to store tabular data, but serve different purposes. CSV files are simple, plain-text files with data separated by commas, making them universally compatible across different systems and applications. In contrast, XLSX files are more complex, supporting advanced features like formatting, formulas, and multiple worksheets. When importing data into our system, using the standard CSV format ensures clean, straightforward data transfer, preventing potential import errors caused by complex spreadsheet elements.
Organisation¶
If you are part of a multi-level organisation structure, select the organisation which you would like to run the check for from the drop-down list for Organisation.
If you are part of a single level organisation, you do not need to do anything for this step.
Scan Settings¶
There are multiple settings provided to manage the scope and coverage of Sanction screening as per your organisation's risk level compliance requirements.
person Compliance Officers can predetermine and preset these settings or set them to be user defined to enable the settings to be changed during scanning. These settings are defined in the Organisation Settings.
Scan Setting Details and Description¶
| Option | Description |
|---|---|
| Name Match Type | Used to determine how closely a watchlist profile must match a company's name before being considered a match. The options are Exact Scan results return matches where the Company Name matches exactly. Close Scan results show matches where the watchlist record name is matched based on phonetic matching (sounds like) and fuzzy searching (minor variations in spelling). |
| Match Rate | If Close Name Match Type is selected, this can be used to control the results by setting a match rate threshold.A higher threshold will return results with minor variations whereas a lower threshold will return larger variations in the sound of the name. Example 1: The name
Example 2: The name
|
| Whitelist Policy | If Due Diligence has previously been carried out, profiles marked as No Match are whitelisted, and can be ignored and excluded from being returned. This can help eliminate match results previously determined to not be a true match.This option requires a The options are:
|
| FATF Jurisdiction Risk | Perform additional search to include technical compliance and effectiveness ratings, based on FATF recommendations, for countries linked to matched profiles. The options are:
|
| Watchlists | Scope of watchlist categories applied for the new scan. The available options are based on the Organisation settings. The Compliance Officer can edit the list in Organisation Settings as well lock the editing of the list. |
Scan Service¶
You have the option to perform AML risk assessments of your customers through a simple, structured process. When starting a new batch scan, you can select the service during the batch file upload screen. This will activate the Risk Assessment tab in the Batch Scan Results screen on completion of the batch processing.
This option is available if your organisation has subscribed to the AML Risk assessment service. When activated, all authorised users of the service with screening permission have access to this feature.
Accessing Risk Assessment check for batch scans
You must select the Risk Assessment scan service at the start of the batch file processing in order to use this feature. Otherwise, this tab will not be visible in the Scan Results or Batch Scan Results screens. 
Preparing Your Batch File¶
Please refer to the section Batch Files for details of the batch file formatting.
Running a Batch Scan¶
To start screening for multiple individuals using a batch file, the following are necessary information:
- Organisation ID
- Company Last Name
- Client ID (check conditions below)
Optional:
- Registration Number
Client ID
Formerly "Entity Number". A unique reference identifier or profile name for the company is required if you want to add the record for ongoing monitoring or perform due diligence.
You may use a Company Reference or Account ID or any unique identifier for the company.
In cases where the company may be allocated an account number in the future, such as new clients for example, an arbitrary number should not be allocated. The company account number that will be allocated to the company when they become a 'new client' should be used as the Client ID for scanning purposes. In this way, due diligence decisions will be allocated to the real account number and subsequently the whitelist will also be appropriately applied to that Client ID.
Batch files are processed asynchronously. Once the system has completed the upload, it will process the file in the background, enabling you to navigate to other areas of the site, or start uploading another batch file.
There is a protection mechanism in place which will detect if the same batch file name has been processed in the organisation within the last 12 months to warn of duplicate batch processing, whereby you can continue to proceed or cancel the duplicate batch scan.
Please refer to the section Batch Files for details of the batch file formatting.
Quick How-To Guides¶
Upload and scan batch file¶
Upload a CSV, XML or ZIP of the batch file and preview the contents of the file before running the scan. The formatting of the batch file will be validated during this process.
Duplicate entries and Client ID detection in batch files¶
Preprocessing of batch files include detection of duplicate entries and Client IDs within the same batch file. If the batch validation setting is turned off, duplicate entries will be ignored and excluded from processing. If the validation setting is turned on, the system will not proceed until the duplicates are removed or corrected.
Errors with batch file¶
Upload a batch file (CSV, XML or ZIP of CSV or XML file) and preview the contents of the file before running the scan. If there are formatting issues with the batch file, these specific cells will be highlighted for correction in your CSV or XML file, or the source which generated the files. From this screen, you may choose Close to stop the batch scan process until the file is corrected, or Scan Anyway to ignore the problematic entries and proceed with the scan.
Batch file validation
Please note that the batch file validation is limited to formatting checks only, and does not check for validity of contents.
If you are unable to proceed to scan the erroneous batch file, your organisation settings may be stopping you from doing so. Please check the Batch Setting as described in Administration > Manage Organisation
View results of batch scan¶
On completion of the batch scan you may opt to run another batch scan if you have multiple files or view results of the batch scan. Results of batch scans are available in Individual Scan > Batch Scan Results
Common Questions¶
Why can't I change the scan settings?
The Compliance Officer for your organisation may have preset the scan settings based on the organisation's risk and compliance obligations. For any changes to these settings, your Compliance Officer can review these settings at Administration > Organisations > {Organisation Name} > Settings.