Due Diligence¶

Permissions¶

Recording Due Diligence and Risk Level Assessments¶

You can record due diligence decisions, add notes and risk level assessments against matched profiles for both individual and corporate entities scanned for your organisation. This process is integrated into the screening process and is accessible via Individual Scan > Scan Results and Corporate Scan > Scan Results.

If you have included a unique reference Client ID during screening, you will see a button for the Decision (Risk) and Comment beneath the profile image.

By default, all results are flagged as Not Reviewed until a decision is applied. The options available are as follows:

Status	Icon	Description
Not Reviewed	looks_one	Default status until a decision is applied. The number in the box indicates the number of matches for the individual or company entity which are not reviewed.
Match	looks_one	The number in the box indicates the number of matches for the entity which are recorded as match.
Unsure	looks_one	The number in the box indicates the number of matches for the entity which are recorded as unsure.
No Match	looks_one	The number in the box indicates the number of matches for the entity which are recorded as no match.
High	fiber_manual_record	Indicates at least 1 recorded high risk level profile. Risk level applies to Matched and Not Sure decisions only.
Medium	fiber_manual_record	Indicates at least 1 recorded medium risk level profile. Risk level applies to Matched and Not Sure decisions only.
Low	fiber_manual_record	Indicates at least 1 recorded low risk level profile. Risk level applies to Matched and Not Sure decisions only.

Understanding the Due Diligence Summary¶

Example of an individual scan which resulted in 25 matching profiles and all matching profiles have not yet been reviewed:

Before due diligence:

After due diligence:

On completion of due diligence, this was found that 23 profiles are not true matches, 1 profile cannot be certain of a match and 1 matched profile. The assessed risk level for this individual is considered low risk:

Add Due Diligence Decisions to Matched Profiles¶

Due diligence decisions, risk level assessments and comments can be applied to a single profile or multiple profiles at once.

You can also replace with a new decision against the profile by adding a new match decision. A history of the decisions will be retained for auditing purposes.

If your organisation has predefined risk levels set, the associated risk levels are displayed as a guideline with a recommended risk score. You may elect the risk level based on your own risk assessment.

The Compliance Officer can define the risk levels for the categories and subcategories within the Organisation administration screens. Refer to Risk Settings for details.