Skip to main content
Version: 🚧 Next

Rescreening with SAS AML

What does Rescreening with SAS AML do?​

When SAS AML is used as the screening engine for parties, a rescreening process can be set up to process dossiers automatically if one of the associated parties is alerted in SAS AML.

How to set up Rescreening with SAS AML​

To set up rescreening with SAS AML, follow these steps:

  1. Configure the SAS AML Due Diligence Provider: This provider is capable of retrieving a screening result from SAS AML.
  2. Communicate to SAS AML which parties to monitor: This can be done by sending a dossier to SAS AML via an export to the FTP server.
  3. Configure the SAS AML Rescreening Provider: This provider will check on a periodic bases if parties are alerted in SAS AML and trigger an automation process for dossiers associated with those parties.
  4. Configure the automation process for rescreening: Define the actions necessary for a dossier when one of its associated parties is alerted in SAS AML. This involves status transitions, performing due diligence checks and RBA calculation.

Configuration of the Due Diligence Provider​

To configure the SAS AML Due Diligence Provider, follow the steps outlined in the SAS AML Due Diligence Provider documentation.

Communication to SAS AML​

To communicate to SAS AML which parties we want to monitor and receive alerts from, we can export dossiers to SAS AML via an FTP server.

To configure this export, follow the steps outlined in the Upload a dossier to a file server.

⚙️ JSON-based example
{
  "className": "eu.myharmoney.app.bll.executors.dossierstatustransition.UploadDossierToFileServer",
  "settings": {
    "providerIdentifier": "<FTP_SAS_AML_PROVIDER_IDENTIFIER>",
    "exportIncludes": [
      "PARTY_INFO",
      "PARTY_RELATED_PARTIES",
      "UBO",
      "INSURED_PERSON",
      "OWNER",
      "RESPONSIBLE",
      "BENEFICIARY",
      "DOSSIER_RELATED_PARTIES"
    ],
    "gatewayVersion": "V4"
  },
  "type": "EVENT",
  "value": "DOSSIER_APPROVED",
  "synchronous": false,
  "enabled": true
}

Configuration of the Rescreening Provider​

To configure the SAS AML Rescreening Provider, follow the steps outlined in the SAS AML Rescreening Provider documentation.

Configuration of the Automation Process​

To configure the automation process for rescreening, see following example of actions that can be used in the automation process.

Chain all actions by configuring them to the event triggered by the SAS AML Rescreening Provider (property AUTOMATION_IDENTIFIER):

{
   "type": "EVENT",
   "value": "<SAME_AS_AUTOMATION_IDENTIFIER_IN_PROVIDER>",
   "synchronous": false,
   "enabled": true
}

Automation action examples​

  1. Perform a status transition to move the dossier to a status that requires further processing (e.g., SUBMITTED). We recommend to skip actions and validations to avoid blocking the transition.
⚙️ JSON-based configuration
{
   "className": "eu.myharmoney.app.bll.executors.events.PerformStatusTransition", 
   "enabled": true,
   "settings": {
      "targetStatus": "SUBMITTED",
      "skipActions": true,
      "skipValidations": true
   },
   "synchronous": false,
   "type": "EVENT",
   "value": "<SAME_AS_AUTOMATION_IDENTIFIER_IN_PROVIDER_SETTINGS>"
}
  1. (in case of four-eyes principle) Clear the dossier reviews if necessary. (action ClearDossierReviews)
  2. Perform Due Diligence checks
    • 3.1. Perform an EDD check on the dossier (action FrontOfficeInternalDossierEddCheck)
    • 3.2. Perform CDD checks for associated parties (action FrontOfficeAssociatedPartiesCddCheck)
  3. Perform RBA calculation (action FrontOfficeRbaCalculation). We recommend to skip validations to avoid blocking the RBA calculation.
⚙️ JSON-based configuration
{
   "className": "eu.myharmoney.app.bll.executors.dossierstatustransition.FrontOfficeRbaCalculation", 
   "enabled": true,
   "settings": {
      "skipValidations": true
   },
   "synchronous": false,
   "type": "EVENT",
   "value": "<SAME_AS_AUTOMATION_IDENTIFIER_IN_PROVIDER_SETTINGS>"
}
  1. ...

Workflow process​

Dossier Initialisation​

For rescreening to work, you must ensure that when a dossier is created it has parties that have an external reference.

When a dossier and associated parties are created via the Gateway API, those parties have an external reference.

When a dossier is created via the application UI, those parties do not have an external reference by default. Therefore, you must ensure that those parties get an external reference afterwards (either manually by the advisor or through an automated process)!

Initial dossier screening workflow​

After the creation of the dossier, the dossier will follow a workflow which includes the initial screening of the associated parties until the dossier gets to a final status (e.g. APPROVED).

Rescreening workflow​

All activated parties in SAS AML will be flagged when they get alerted in SAS AML. In Harmoney, a scheduled provider can be configured that will check periodically for alerted parties and trigger an automation process for dossiers associated with those parties.