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Regulatory details in Enrich stage and GKYC sub-case

Updated on September 28, 2022

In the ‘Regulatory details’ step within the Enrich stage, the user (who, depending on the financial institution’s Target Operating Model, can be for example the back-office department responsible for performing due diligence on the customer, or the Relationship Manager or a Mid-office employee) must answer the question on whether the security product booked in USA is sold or recommended by a US-registered broker-dealer or its associated person. Such question is displayed when a Security product is booked in USA – see section ‘Triggers’.

The financial institution can configure this field in the ‘Regulatory details’ step according to their procedures.

In its out-of-the-box behaviour, the input entered within the ‘Regulatory details’ step does not pre-populate the relevant FINRA item in the Global AML questionnaire of the customer (i.e., GKYC sub-case) within the Due Diligence stage, but that can be easily configured.

The answer “Yes” to the following FINRA item in the GKYC sub-case of the customer will determine whether the FINRA questionnaire will be displayed.

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