Identity Check

The Identity Check process enables you to comply with current anti-money laundering regulations by checking and recording the proof of identity of a client or be reminded if the checks are not complete. The current status of the client's identity is displayed in the top right-hand corner of the Client Details screen.

The identity check also has an optional CallML integration. This enables you to enter details of a client's passport and driving licence and have these, along with the address details, confirmed or otherwise against the CallML database. A full report on the check is returned and saved against the client which can be viewed from the Identity Check dialog box.

Client ID checks can also have an expiration date set (Utilities » System Parameters). When a client's identity is confirmed it is date stamped and will be flagged when the expiry term is exceeded. A new report will list any expired clients.

There are two permission options which can restrict a users ability to perform a full identity check:

• Users need to have the new user feature Perform Client Identity Check, in the AML folder, selected to set the client identity. Users who do not have this user feature selected will only be able to add evidence of the client's identity and set if the client is a Politically Exposed Person.
• The PEP Authoriser list and password is managed in Fee Earner Details (Core PMS » Fee Earners » Fee Earner Details tab in the Anti Money Laundering section). If the authoriser selected is password protected, a password dialog box displays for the authoriser to confirm by entering their password.

To perform an Identity Check:

If you have the AML Turned On system parameter set to Yes, when you create a client at the end of the Create Client wizard, the Identity Check routine will automatically start.

Alternatively, you can run the routine manually from the Client Details screen:

1.  Actions » Identity Check. The Identity Check screen displays.

Note You can also double-click on the AML icon.

2. Click Add Evidence . The Add Evidence dialog box displays.
3. Use the Evidence Type drop-down to select the evidence provided by the client.
4. Enter the evidence reference, e.g. driving licence number.
5. Click Attach to upload a copy of the evidence.
6. The Import Document dialog box displays, use the lookup tool to browse to the file and complete the remaining fields as appropriate. Click OK.
7. Click Save to return to the Identity Check screen.
8. The evidence is added to the Identity Check screen. There are tools which allow you to edit the evidence.
9. In the Politically Exposed Person section, check the Is PEP box if the client is a Politically Exposed Person
10. If the IS PEP check box is selected an authoriser drop-down box displays. Select from the list.

Note If the authoriser selected is password protected, a password dialog box displays for the authoriser to confirm by entering their password.

11. For users that do not have the Perform Client Identity Check user feature selected, click Save & Close to save and exit the Identity Check screen.
12. If you have the Perform Client Identity Check user feature selected, you can proceed to confirm the client's identity.
13. In the Identify section, set the date of identification in the On field (defaults to today's date) and click Identify.

Back at in the Client Details screen, the AML icon changes to display a tick showing that the client has been identified.

Where matters have multiple clients, there is a tooltip for each client which highlights which clients have been identified and which have not been. If one of the clients is unidentified the AML icon will display as .

To reidentify a client:

1. Actions » Identity Check. The Identity Check screen displays.

Note The CallML and Add Evidence buttons do not display at the top of the Evidence section and the name of the person that identified the client and the identified date displays in the Identify section of the dialog box.

2. Click Reidentify.

Important When you reidentify a client which has been set as a Politically Exposed Person, the PEP setting will be cleared and will need to be reset if appropriate.

3. A warning message displays advising that the client will be marked as unidentified. Click Yes to continue. The CallML button and Add Evidence icon displays and the identifier name is removed.

You will now be able to make any required changes to the dialog box.

Expired client identities:

If your system has had an expiry period for the identity check set (System Parameters » AML Identity Check Expiry Years) when this has elapsed for a client the AML icon changes to expired .

You can also run a report, Client ID Checks Out of Date in the Anti Money Laundering folder, which will produce a list of all clients whose ID checks have expired.