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Due diligence orchestration mode overview

Updated on January 13, 2022

Pega Client Lifecycle Management and KYC includes three case orchestration modes that define the topology of the due diligence cases. You can choose one of the following three modes based on your organizations business needs.

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The most comprehensive mode under which dedicated due diligence cases are created for each category and their subcategories when they apply. The case structure under this mode is shown on the following diagram:

Standard mode

The application creates one case per due diligence subcategory. For example, in the diagram above, the system creates one case to manage the AML of the contracting party (GKYC-1), one case for each of the related parties to manage their AML due diligence (for example, GKYC-2), and one case per local AML due diligence to be conducted (for example, LKYC-1). In addition, it created two cases to manage product regulatory due diligence (REG-1, REG-2), two cases for tax due diligence (TAX-1, TAX-2), and two cases as placeholders for legal and credit due diligence (CRE-1, LEG-2). Each of these cases can be routed independently to different departments according to your business needs.

The mode is best suited for those firms which have specialized departments for each due diligence category. It is, however, not required to have separate departments to make use of this mode. The mode can also be used to keep the questionnaires segregated and yet assigned to the same department or different people within the same department.

Under this mode, the cases are created for each due diligence category rather than creating them for each subcategory. The case structure in this model is shown on the following diagram:

Intermediate mode

Under this mode, the application groups under the same case all questionnaires related to the same category and party. For example, all the AML due diligence for the contracting party is managed under the same case (GKYC-1). The questionnaires for product regulatory due diligence are all conducted under another case (REG-1), and so are tax-related ones (TAX-1).

The mode provides an intermediate level of case structure granularity that institutions best leverage with departments that can perform due diligence for each category. Like in the standard mode, having a separate department is not a constraint, and that this mode can be used for mere segregation.

The mode is a highly simplified case orchestration mode that creates a single case for all the due diligence categories and subcategories. The case structure in this model is shown on the following diagram:

Simplified mode

Under this configuration, the system groups all AML, Product Regulatory, and Tax-related due diligence under the same case (GKYC-1). This case can be routed to a single department where the due diligence is conducted.

This mode can be utilized by institutions that need to handle all the due diligence by a single department, person or do not have the luxury of separate departments.

Configuring the orchestration mode

You can configure the orchestration mode in the three following ways: at the application level, at the business segment level, or at the case level.

Application level
The same orchestration mode applies to all cases created in the system. The configuration is controlled by the Dynamic System Setting clmfs/DDCaseOrchestrationMode, which can take Standard, Intermediate, and Simplified values. The value is read and available to the application through the data page D_AppExtension (see the AppExtension_DDOrchestrationSettings data transform), which can be customized to set the value dynamically.
Business segment level
The orchestration mode is set based on the business segment of the onboarding case. The Dynamic System Setting clmfs/<business-segment>/DDCaseOrchestrationMode, drives this behavior and accepts business segments CIB, Retail or Unified. If not configured, the system uses the application-level configuration.
Case level
The application and business segment level configuration can be overridden at each case by using the extension point UpdateDDOrchestrationMode_Ext.

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