Creating a STR

The system enables you to create a STR of the following types.

CIP: Select CIP type to create a STR on new customer whose names are matching with the SDN names.
RBE: Select Rule Based Engine (RBE) type to create a STR for a particular customer who has violated rules/scenarios.
Regular TXN: Select Regular TXN type to create a STR for a particular customer after analysing the transaction.
SDN: Select SDN type to create STR on transactions matching with SDN list.

Creating a STR of the Type CIP

Perform the following steps to create a STR of the type CIP.

To create a STR of the type CIP

Access the STR module.
On the STR Management Navigator screen, click the Create New STR link.
The Create STR screen appears.
Select the CIP option from the Type drop-down list.
Click the Proceed button.
The View Matches screen appears.
Click the No. of Matches link of the appropriate customer to view SDN details.
The View Scan Result screen appears.
Select the check box against the customers to be added to the STR/false positive list or to be rejected.
Do any one of the following:

To add selected transactions to the STR

Click the Add To STR button.
The STR Details screen appears.
If the KYC details are not updated for the customer, a message appears asking whether you want to update KYC details now, and then click the OK button if you want to update the details immediately.
The KYC - Corporate Details or the KYC - Personal Details screen appears.

Click the Add to False Positive button to add selected customer to the false positive list.
Click the Reject button to reject blacklist validations.
Click the Back to STR button to return to the Create STR screen.
The Create STR screen appears.

If you click the Add To STR button on the SDN Details screen, specify the following field details on the STR Details screen.

Field

Description

STR Name

The system generates the STR name which you can modify, if required. This is a mandatory field.

Priority

Select the priority of the STR from the drop-down list.

Classification

Select the classification of the STR from the drop-down list. For example, Proceeds of Crime, Debit Card Fraud, and so on

Type

The system displays the type of the STR.

Send To

Depending upon the hierarchy structure, names of the group(s)/individual(s) appear in this list.

Select the group(s) and/or individual(s) to whom you want to send this STR for approval. This is a mandatory field.

Note:

If you have selected any group and you want to view the individuals under the selected group, click the View Group Users button. A window displaying all the users from the selected group appears. After viewing the required details click the Close button to close the window.

Reason for suspicion (Remarks)

Type the reason for suspicion. This is a mandatory field.

Attached File(s)

You can add, remove, or view attached files.

To add file

Click the Attached File(s) button.
The Attach File For STR dialog box appears.
Click the Browse button.
The Choose file dialog box appears.
Select the file to be attached.
Click the Open button.
Click the Add button to attach the selected file.
The selected file appears in the Attached Files list box.
Click the Done button to return to the STR Details screen.
Name of the attached file appears in the Attached File(s) list box.

To remove attached file

On the Attach File For STR dialog box, from the Attached Files list box, select the file to be removed.
Click the Remove button.
The selected file gets removed from the Attached Files list box.
Click the Done button to return to the STR Details screen.

To view attached file

On the Attach File For STR dialog box, from the Attached Files list box, select the file to be viewed.
Click the View button.
The File Download dialog box appears.
Click the Open button to open the file.
The selected file opens in the appropriate application.
Click the Done button to return to the STR Details screen.

Do any one of the following:

To submit a STR

Click the Submit STR button.
A message appears
Click the Ok button.
The Summary of STRs screen appears. The system adds the submitted STR in the My Created STRs category.

Click the Save button to save the STR.
The Summary of STRs screen appears. The system adds the submitted STR in the Saved STR category.
Click the Cancel button to cancel the STR.
The Summary of STRs screen appears. The system does not account the cancelled STR in any category.

Creating a STR of the Type RBE

Perform the following steps to create a STR of the type RBE.

To create a STR of the type RBE

Access the STR module.
On the STR Management Navigator screen, click the Create New STR link.
The Create STR screen appears.
Specify the following field details.

Field	Description
Type	Select the RBE option from the drop-down list.
Rule Name	Select the appropriate rule from the drop-down list. Only the violated rules are populated in this drop-down list.
Log Date (greater than)	Select the log date from the drop-down list, from when you want to view transactions, which have violated the selected rule. By default, the date from when no action has been taken on the violated transactions appears.

Click the Proceed button.
The Violated Rules screen appears.

Note:

You can view customer details by clicking the Customer name link of the appropriate customer. The KYC Details window appears. View the details as required and close the window.

Perform the following steps to create a STR on customer wise violations:

Click the Customer Wise Violations option.
The customer wise violations appear.
Click the appropriate No of Transactions link.
The Customer Violated Rules screen appears.
Click the appropriate No Of Transactions link.
The Add Transactions screen appears.
Select the Select check box against the transactions to be added to the STR or to be commented.
Do any one of the following:

To add selected transactions to the STR

Click the Add To STR button.
The STR Details screen appears.
If the KYC details are not updated for the customer, a message appears asking whether you want to update KYC details now, and then click the OK button if you want to update the details immediately.
The KYC - Corporate Details or the KYC - Personal Details screen appears.

To add your comments

Click the Add Comments button.
A comment window appears.
Type your Comment.
Click the Add Comment button.
The comment appears in the Comments column of the Add Transactions screen. (Now, you can add transactions to STR by clicking the Add To STR button.)

Note:

You cannot modify or delete a comment after it has been saved.

Click the Back To Violated Rule List button to return to the Violated Rules screen.

Perform the following steps to create a STR on rule wise violations:

Click the Rule Wise Violations option.
The rule wise violations appear.
Click the appropriate Violation Count link.
The View - Transactions screen appears.
Click the appropriate No Of Transactions link.
The Add - Transactions screen appears.
Select the Select check box against the transactions to be added to the STR or to be commented.
Do any one of the following:

To add selected transactions to the STR

Click the Create STR button.
The STR Details screen appears.
If the KYC details are not updated for the customer, a message appears asking whether you want to update KYC details now, and then click the OK button if you want to update the details immediately.
The KYC - Corporate Details or the KYC - Personal Details screen appears.

To add your comments

Click the Add Comments button.
A comment window appears.
Type your Comment.
Click the Add Comment button.
The comment appears in the Comments column of the Add Transactions screen. (Now, you can add transactions to STR by clicking the Add To STR button.) Click the Back To Violated Rule List button to return to the Violated Rules screen.

If you click the Add To STR or Create STR button on the Add - Transactions screen, specify the following field details on the STR Details screen.

Field

Description

STR Name

The system generates the STR name which you can modify, if required. This is a mandatory field.

Priority

Select the priority of the STR from the drop-down list.

Classification

Select the classification of the STR from the drop-down list. For example, Proceeds of Crime, Debit Card Fraud, and so on

Type

The system displays the type of the STR.

Send To

Depending upon the hierarchy structure, names of the group(s)/individual(s) appear in this list.

Select the group(s) and/or individual(s) to whom you want to send this STR for approval. This is a mandatory field.

Note:

Reason for suspicion (Remarks)

Type the reason for suspicion. This is a mandatory field.

Attached File(s)

You can add, remove, or view attached files.

To add file

Click the Attached File(s) button.
The Attach File For STR dialog box appears.
Click the Browse button.
The Choose file dialog box appears.
Select the file to be attached.
Click the Open button.
Click the Add button to attach the selected file.
The selected file appears in the Attached Files list box.
Click the Done button to return to the STR Details screen.
Name of the attached file appears in the Attached File(s) list box.

To remove attached file

On the Attach File For STR dialog box, from the Attached Files list box, select the file to be removed.
Click the Remove button.
The selected file gets removed from the Attached Files list box.
Click the Done button to return to the STR Details screen.

To view attached file

On the Attach File For STR dialog box, from the Attached Files list box, select the file to be viewed.
Click the View button.
The File Download dialog box appears.
Click the Open button to open the file.
The selected file opens in the appropriate application.
Click the Done button to return to the STR Details screen.

Identity Of Client

Select this check box if you want to categorise STR based on the identification of client.

Background Of Client

Select this check box if you want to categorise STR based on the background of client.

Multiple Accounts

Select this check box if you want to categorise STR based on the multiple accounts.

Activity in Account

Select this check box if you want to categorise STR based on the activity in account.

Nature Of Transaction

Select this check box if you want to categorise STR based on the nature of transaction.

Value Of Transaction

Select this check box if you want to categorise STR based on the value of transaction.

Other Suspicion Reason

Type the reason for suspicion.

Do any one of the following:

To submit a STR

Click the Submit STR button.
A message appears
Click the Ok button.
The Summary of STRs screen appears. The system adds the submitted STR in the My Created STRs category.

Click the Save button to save the STR.
The Summary of STRs screen appears. The system adds the submitted STR in the Saved STR category.
Click the Cancel button to cancel the STR.
The Summary of STRs screen appears. The system does not account the cancelled STR in any category.

Creating a STR of the Type Regular TXN

Perform the following steps to create a STR of the type Regular TXN.

To create a STR of the type Regular TXN

Access the STR module.
On the STR Management Navigator screen, click the Create New STR link.
The Create STR screen appears.
Specify the following field details.

Field	Description
Type	Select the Regular TXN option from the drop-down list.
Customer No	If you want to search a customer on the basis of customer number, click this option and type the customer number.
Account No	If you want to search a customer on the basis of account number, click this option and type the account number.
Customer name	If you want to search a customer on the basis of customer name, click this option and type the customer name.

Click the Proceed button.
The View - Customers screen appears.

Note:

You can view customer details by clicking the Customer name link of the appropriate customer. The KYC Details window appears. View the details as required and close the window.

Click the No. Of Acct link of the customer to be added to a STR.
The View - Transactions screen appears.
If you want to search transactions:

On the navigation pane, specify the following field details to view earlier transactions.

Field	Description
Choose Account Code	Select the account number of which you want to view transaction details.
Start Date	Select the date from the drop-down list, from when you want to view transaction details of the selected account number.
End Date	Select the date from the drop-down list, till when you want to view the transaction details of the selected account number.
Amount	Type the amount.
RBE Marked	Select this check box to verify whether this transaction number already exists in RBE violation or not.

Click the Search button.
The search results appear.

Select the Select check boxes against the transactions to be added to the STR.
Do any one of the following:

To add selected transactions to the STR

Click the Create STR button.
The STR Details screen appears.
If the KYC details are not updated for the customer, a message appears asking whether you want to update KYC details now, and then click the OK button if you want to update the details immediately.
The KYC - Corporate Details or the KYC - Personal Details screen appears.

Click the Back To STR button to return to the Create STR screen.
The Create STR screen appears.

If you click the Create STR button on the View - Transactions screen, specify the following field details on the STR Details screen.

Field

Description

STR Name

The system generates the STR name which you can modify, if required. This is a mandatory field.

Priority

Select the priority of the STR from the drop-down list.

Classification

Select the classification of the STR from the drop-down list. For example, Proceeds of Crime, Debit Card Fraud, and so on

Type

The system displays the type of the STR.

Send To

Depending upon the hierarchy structure, names of the group(s)/individual(s) appear in this list.

Select the group(s) and/or individual(s) to whom you want to send this STR for approval. This is a mandatory field.

Note:

Reason for suspicion (Remarks)

Type the reason for suspicion. This is a mandatory field.

Attached File(s)

You can add, remove, or view attached files.

To add file

Click the Attached File(s) button.
The Attach File For STR dialog box appears.
Click the Browse button.
The Choose file dialog box appears.
Select the file to be attached.
Click the Open button.
Click the Add button to attach the selected file.
The selected file appears in the Attached Files list box.
Click the Done button to return to the STR Details screen.
Name of the attached file appears in the Attached File(s) list box.

To remove attached file

On the Attach File For STR dialog box, from the Attached Files list box, select the file to be removed.
Click the Remove button.
The selected file gets removed from the Attached Files list box.
Click the Done button to return to the STR Details screen.

To view attached file

On the Attach File For STR dialog box, from the Attached Files list box, select the file to be viewed.
Click the View button.
The File Download dialog box appears.
Click the Open button to open the file.
The selected file opens in the appropriate application.
Click the Done button to return to the STR Details screen.

Identity Of Client

Select this check box if you want to categorise STR based on the identification of client.

Background Of Client

Select this check box if you want to categorise STR based on the background of client.

Multiple Accounts

Select this check box if you want to categorise STR based on the multiple accounts.

Activity in Account

Select this check box if you want to categorise STR based on the activity in account.

Nature Of Transaction

Select this check box if you want to categorise STR based on the nature of transaction.

Value Of Transaction

Select this check box if you want to categorise STR based on the value of transaction.

Other Suspicion Reason

Type the reason for suspicion.

Do any one of the following:

To submit a STR

Click the Submit STR button.
A message appears
Click the Ok button.
The Summary of STRs screen appears. The system adds the submitted STR in the My Created STRs category.

Click the Save button to save the STR.
The Summary of STRs screen appears. The system adds the submitted STR in the Saved STR category.
Click the Cancel button to cancel the STR.
The Summary of STRs screen appears. The system does not account the cancelled STR in any category.

Creating a STR of the Type SDN

Perform the following steps to create a STR of the type SDN.

To create a STR of the type SDN

Access the STR module.
On the STR Management Navigator screen, click the Create New STR link.
The Create STR screen appears.
Select the SDN option from the Type drop-down list.
Click the Proceed button.
The View Matches screen appears.
Click the No. of Matches link of the appropriate customer to view SDN details.
The SDN Details screen appears.
Select the check box against the customers to be added to the STR or to be rejected.
Do any one of the following:

To add selected transactions to the STR.

Click the Add To STR button.
The STR Details screen appears.
If the KYC details are not updated for the customer, a message appears asking whether you want to update KYC details now, and then click the OK button if you want to update the details immediately.
The KYC - Corporate Details or the KYC - Personal Details screen appears.

Click the Reject button to reject blacklist validations.
Click the Back to STR button to return to the Create STR screen.
The Create STR screen appears.

If you click the Add To STR button on the SDN Details screen, specify the following field details on the STR Details screen.

Field

Description

STR Name

The system generates the STR name which you can modify, if required. This is a mandatory field.

Priority

Select the priority of the STR from the drop-down list.

Classification

Select the classification of the STR from the drop-down list. For example, Proceeds of Crime, Debit Card Fraud, and so on

Type

The system displays the type of the STR.

Send To

Depending upon the hierarchy structure, names of the group(s)/individual(s) appear in this list.

Select the group(s) and/or individual(s) to whom you want to send this STR for approval. This is a mandatory field.

Note:

Reason for suspicion (Remarks)

Type the reason for suspicion. This is a mandatory field.

Attached File(s)

You can add, remove, or view attached files.

To add file

Click the Attached File(s) button.
The Attach File For STR dialog box appears.
Click the Browse button.
The Choose file dialog box appears.
Select the file to be attached.
Click the Open button.
Click the Add button to attach the selected file.
The selected file appears in the Attached Files list box.
Click the Done button to return to the STR Details screen.
Name of the attached file appears in the Attached File(s) list box.

To remove attached file

On the Attach File For STR dialog box, from the Attached Files list box, select the file to be removed.
Click the Remove button.
The selected file gets removed from the Attached Files list box.
Click the Done button to return to the STR Details screen.

To view attached file

On the Attach File For STR dialog box, from the Attached Files list box, select the file to be viewed.
Click the View button.
The File Download dialog box appears.
Click the Open button to open the file.
The selected file opens in the appropriate application.
Click the Done button to return to the STR Details screen.

Do any one of the following:

To submit a STR

Click the Submit STR button.
A message appears
Click the Ok button.
The Summary of STRs screen appears. The system adds the submitted STR in the My Created STRs category.

Click the Save button to save the STR.
The Summary of STRs screen appears. The system adds the submitted STR in the Saved STR category.
Click the Cancel button to cancel the STR.
The Summary of STRs screen appears. The system does not account the cancelled STR in any category.