Setup Compliance Requirement Types

  • A Compliance Requirement can either be set as a Document or a Checklist
  • This segment will be divided into two sections: setting up a requirement as a Document or as a Checklist
  • If a requirement is set as a “Document” a Document Types need to be set up first
  • Compliance Requirements can also be set per Relationship Type
  • For more information on Compliance Requirements refer to Compliance Requirements

Document type

Navigate to the Document types section on the Main Menu under (1)System and then select (2)Document types. (System -> Document types)

Compliance Requirement Document Types

You then have the option to (1)Add, (2)Edit or (3)Delete a Document types

Compliance Requirement Document Types

Add a new Document type by selecting the (1)Add button

Compliance Requirement Document Types

The following fields are available:

Type : Input the type of Document, i.e. ID Proof, Application Form

Default Label : Text as displayed on the system, i.e. Drop-down list

Class : Select the Class to be assigned with, i.e. Entity, Account

Has expiry date : Does this document have a expiry date

 

REASON Section

At the button of the screen there is a section where default reasons can be created to be used in the system. By selecting the Add button in the REASON section the user will be prompted to enter a reason and on completion selecting the Ok button, the reason will then appear in the list.

Populate the fields and select the Save button

 

Requirement type

Requirement types now allow for multiple Sub Classes within a Class providing more flexibility with Compliance Requirements

Navigate to the Requirement Types section on the Main Menu under (1)System and then select (2)Requirement types. (System -> Requirement Types)

Compliance Requirement Document Types

You have the option to (1)Add, (2)Edit or (3)Delete a Requirement types (refer to NOTE below)

NOTE: If the Requirement types is deleted it will be removed from the Requirement card

Compliance Requirement Document Types

(1)Add a new Requirement type by selecting the (1)Add button

 

Document Option

Compliance Requirement Document Types

Compliance Requirement Document Types

Checklist Option

Compliance Requirement Document Types

The following fields are available:

Group : Input the Group name , i.e. Banking, Compliance

Requirement : Input a name for the requirement, i.e. Expired ID

Required for Compliance : Select if it is a requirement for compliance

Requirement Type : Select Checklist or Document *Note

Requirement Class : Select the Class to be assigned with

Document Type : *Note

Note*: If Document is selected a Document Type with a drop-down will appear to select the appropriate Document type as created in the previous section.

 

REASON Section

At the button of the screen there is a section where default reasons can be created to be used in the system. By selecting the Add button in the REASON section the user will be prompted to enter a reason and on completion selecting the Ok button, the reason will then appear in the list.

Populate the fields and select the Save button

 

Last Updated on 6 years ago by Tinus Burger