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Configuring due diligence refresh and drivers restart

Updated on June 11, 2021

The due diligence cases for both the contracting and the related party may need to be reevaluated or even withdrawn based on the change in various factors such as Risk, KYC Significance, AML DD Profile, addition or deletion of a related party, and so on. Also, certain changes in the related parties, like contact details, may require the updated data to be propagated to the KYC questionnaires that require a listing of the related party details.

The system manages both scenarios by classifying the changes as material or non-material and performing the corresponding actions.

For a material change, the contracting party global KYC case is restarted from the related party stage so that the related party cases can be orchestrated. The contracting party global KYC case can wait for the related party cases to absorb the results of due diligence on the related parties.

For non-material change the systems loops through all the KYC types on the contracting party global KYC case and executes the refresh data transforms that are configured on them. For more information, see the Know Your Customer Engine on Pega Client Lifecycle Management and KYC product page.

Related parties are assessed for nature of change based on properties listed in the ChangeDeterminationFieldsMaterial or ChangeDeterminationFieldsNonMaterial rule that applies to the PegaFS-Data-Party class. Any change to the values of the fields listed in the corresponding rules results in a Material or a Non-material change for the related party.

Similarly, the contracting party is assessed for the nature of change based on the rules PegaCLMFS-Work.ChangeDeterminationFieldsMaterial and PegaCLMFS-Work.ChangeDeterminationFieldsNonMaterial. The system sets the contracting party by default to have a material change if any of its related parties have a Material change or a KYC Significant party is added or deleted, and non-material change when any of the related parties have a Non-material change.

Your implementation may require watching less or more fields for the material or non-material changes based on customer needs. To update the configuration, perform the following steps.

  1. In the navigation pane of Dev Studio, click Records.
  2. Expand the Data Model category, and then click Data Transform.
  3. In the Data Transform tab, search for and select the data transform that meets your business needs:
    • To change the material change configuration, select the ChangeDeterminationFieldsMaterial data transform, that applies to the class that you want to change.
    • To change the non-material change configuration, select the ChangeDeterminationFieldsNonMaterial data transform, that applies to the class that you want to change.
  4. If you have a corresponding implementation class, make a copy of the required rule into your class.
  5. Add or update properties by following the syntax available in the original data transform.
  • Previous topic Modifying KYC significant and deemed controlling logic
  • Next topic Managing related parties programmatically

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