Review Client KYC

R-Desktop : Adding and Maintaining Client Information (CIF) : Adding a New KYC : Review Client KYC

Review Client KYC

The Review Client KYC dialog provides the ability to record the last reviewed date for the client KYC, and any account KYC records for any accounts where the client is an active owner/annuitant. It will also provide a history of the client KYC reviews.

The dialog is accessed when the Review KYC button is clicked on the Overview tab of the Client KYC dialog, as described in the previous section.

The following table lists each item on the dialog in alphabetical order.

Item	Type	Description
Advisor	display/button	Displays the code and name of the applicable advisor. Defaulted to the introducing advisor of the client. Find button is enabled when the KYC status is Pending or Active. When clicked, opens the Advisor Search dialog where the Dealer field will be enabled and defaulted to the current dealer of the client and the Status field will be disabled and defaulted to Active. Only active advisors for the specified dealer that are available to the operator based on their work group(s) will be returned in the search results. Once an advisor is selected, the advisor code and name are populated in the read-only text field. In addition, the accounts table will automatically be filtered/updated to only include any Pending and Open accounts, where the client is an active related party with a role of owner or annuitant and the dealer of the selected Advisor matches the dealer of the account.
□	check boxes	Option for automatically checking/unchecking the individual check boxes for any accounts included in the account details table. Enabled if the KYC status is Pending or Active and there are accounts included in the accounts table. Selecting the check box beside the Dealer title selects all the check boxes in the table. Selecting a check box beside the dealer code selects that individual record.
Close	button	Standard R•Desktop Close button functionality where the edits are not validated. The dialog closes and the operator is returned to the Client KYC Overview screen where the Last reviewed and Advisor fields will not be updated for any KYC records with the information from this screen.
Entered By	display	Name of the operator. Defaulted to the operator who is viewing the KYC details and will be saved when the record is updated.
Get History	button	Gets the most recent review history for the client KYC. When clicked, the history log entries will be returned based on the operator's paging configuration. Button is not available if the KYC status is Inactive or Cancelled.
Last Reviewed	date	Date of the last KYC review. Enabled when the KYC status is Pending or Active and defaulted to the current system date. The date can be modified to a date earlier than the current system date.
Save	button	If the validations are successfully passed, then the KYC dialogs are closed, the Last reviewed and Advisor fields are updated with the information from this dialog for the client KYC record and any account KYC records linked to the selected accounts. The operator will be returned to the Client KYC Summary screen and the applicable last reviewed entries will be added to the history logs. The status of the KYCs will not be changed (i.e. new Pending KYC records or KYC compliance events or account compliance events will not be created when only the last reviewed information is updated). Button will always be enabled regardless of the status of the KYC to allow the operator to view the history from any KYC record.