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Managing Investigations

This content applies solely to Connected KYC, which must be purchased separately from the Appian base platform. This content was written for Appian 23.3 and may not reflect the interfaces or functionality of other Appian versions.

Introduction

After you have created a new investigation in Connected KYC, you will need to view and maintain that information. This page provides a description of information available in the tabs of an investigation record.

See Also

Summary tab

The Summary tab lists the important information about an investigation.

This page list the following investigation information:

  1. Investigation Actions - buttons to update details or cancel the KYC Investigation.
  2. Status - the Overall status and the Decision statuses for a KYC.
  3. Tasks - Open and complete tasks, and click on open tasks to complete them.
  4. Discussions - Comments or discussions relevant to the KYC investigation.
  5. Relevant Findings - Any findings that are relevant to the investigation.
  6. Investigation Details- High level information about the investigation including:
    • Source
    • Start Date
    • Expected Completion Date
    • Owner
    • Calculated Risk Score
  7. Required Documents - The list of required documents and corresponding statuses.
  8. Customer Details - High level information about the customer, including:
    • Name
    • Customer origination date
    • Customer type
    • Current risk score
      • Note: this is the risk score prior to the current investigation.
    • Domicile
    • Active alerts
    • Previous investigations
    • KYC valid through date

summary_view_of_kyc_with_markers.png

Dependency view

You can also view tasks from the DEPENDENCY VIEW on the summary tab by clicking on the [ADD ICON] icon.

task_dependency.png

The tasks are displayed in a chart format so that the investigator can see a specific open task and all of its dependent tasks in a cascading list.

dependency_view_of_tasks.png

Questionnaire tab

The Questionnaire tab shows a record of all of the answers recorded for a customer's KYC questionnaire.

On this page you can:

  1. View the questionnaire's status.
  2. Depending on the state of the questionnaire, you can continue the questionnaire, edit answers, or start the questionnaire.
    • If the questionnaire has not been started, START QUESTIONNAIRE displays.
    • If the questionnaire has been completed, EDIT ANSWERS displays.
    • If the questionnaire has been started but not completed, CONTINUE QUESTIONNAIRE displays.

  3. View recorded answers for the questionnaire.

    start_kyc_questionnaire.png

History tab

The History tab shows the actions that have been taken on the tasks for an investigation. This information acts as an audit trail for tasks.

On this page you can:

  1. Search the history by user.
  2. View the user who changed the investigation details.
  3. View details about the modification made.

  4. View the date and time the modification was made.

    history_tab_investigation.png

Comments tab

The comments tab allows end users to comment on Active or Submitted investigations. Users can use this to add notes that they would want others working on the investigation to see, such as client outreaches.

On this page you can:

  1. View comments.
  2. Edit or delete your own comments.
  3. Add new comments.

All users who have access to the investigation will be able to see the comments.

comments_tab.png

Documents tab

The Documents tab lists all of the documents related to an investigation. You can also see the status of your attached documents.

You can learn more about the different features of the document tab on the Managing Documents page.

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Findings tab

The Findings tab lists any findings that have been added throughout the investigation. Findings will be listed along with key information. To view additional details about the finding, click into the name.

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