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Reviewing Regulatory due diligence case structure

Updated on February 16, 2021

Different jurisdictions, product types, and regulations require the Regulatory due diligence subcases, which are initiated in parallel with the Global KYC stage when the Due diligence stage starts. The cases that run in parallel to the Global KYC stage might be resolved before the Global KYC stage is completed.

  1. In the navigation pane of Dev Studio, click Records.

  2. Expand the Data Model category, and then click Data Transform.

  3. In the editor window, search for and select one of the following data transform rules and update the rule:

    Data transformDescription

    Used to propagate the data that is required during the creation of local regulatory cases.

    The case type includes PegaCLMFS-Work-KYC as one of the child cases of the parent Corporate and Investment Banking (CIB) case.


    Used to prepare the data based on which local and regulatory cases are created.

    The data transform accepts the LKYCType parameter.

    Based on the AML/Regulatory value, the system invokes the logic to create AML Local DD or Regulatory Local DD cases.


    Used to create regulatory cases for organizations and individual customers.


    Used to create regulatory cases for funds.

    The data transform invokes the CreateLocalCasesListForFunds_Unique and CreateLocalCasesListForFunds_Inherited data transforms, which contain logic to create funds based on the clmfs/SpinoffRegulatoryDDCasesForFunds dynamic system setting.

    Note: If your organization manages Funds, the creation of regulatory cases is specialized for funds. Fund regulatory cases that are created based on the clmfs/SpinoffRegulatoryDDCasesForFunds value. For more information, see "Configuring due diligence cases in chapter" Funds specialization.
  • Previous topic Optional: Adding a new entity type to the AML CDD profile assessment
  • Next topic Creating a KYC due diligence case

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