This report allows you to enter a client's contact details on their behalf, to run identity verification, ID document verification, visual verification, PEPs & Sanctions, CCJs & Decrees, insolvency, debt collection and financial screening across hundreds of sources.
This article includes step-by-step instructions on how to run an in-person Standard CDD check, Watchlist Screening check (PEPs and Sanctions only), Financial Screening and Basic CDD check with no ID validation.
How to run an In-person CDD check
Before beginning an in-person CDD check please make sure you have the following:
Name
Surname
DoB
Address
ID document (if doing a Standard CDD check)
To start a new in-person CDD check, navigate to Engage then open the three-dot menu, followed by Run in-person CDD.
Select the type of report you wish to create.
For more details on which report to select see this article.
If selecting Standard CDD you will need the client's original, or a photo of their original, government-issued photo ID, their full name, date of birth and address of residency.
Enter any associated matter reference, if applicable (this will be logged internally against the report).
From the dropdown, select who will review the completed report - this can be yourself or another user from your Legl account. This person will receive an email notification when the report is ready to be reviewed.
Optionally, enter any internal comments for the assigned reviewer as required.
Enter your client's contact details. If they are already a contact with your firm, you can use their existing contact information to automatically complete their details (for more information on using contacts, click here.)
When you're ready, click Continue to move to the next step.
Next you can upload any supporting documents to support your KYC process. These could include any other proof of identity that is not a valid government-issued ID document, address documents, such as utility bills or bank statements. These will be included as part of the final PDF report for review.
When submitting a photo of the clients ID you can either submit a photo from your computer of take a photo on your smartphone using a secure link.
Note: the secure link will not save the image to your smartphone.
Once you have uploaded their ID you can click Submit to complete the in-person CDD check.
Your in-person CDD check will then be processed, and marked as Ready for review alongside your other Engage requests.
You can review the generated report, and download a copy for reference. Once successfully reviewed, the assigned reviewer can check Mark reviewed and add any additional comments for reference.
How to run an AML PEPs and Sanctions check using Watchlist Screening
Whether you are meeting a client in-person, or wish to conduct AML screening on a client or counter-party remotely, you can use In-Person CDD to run a Watchlist Screening report (PEPs and Sanctions only report). The client or individual will not be notified of the check being run.
Navigate to Engage > Individuals.
Select Run in-person CDD.
From the report types available, select Watchlist Screening.
Enter any associated matter reference, if applicable (this will be logged internally against the report).
From the dropdown, select who will review the completed report - this can be yourself or another user from your Legl account. This person will receive an email notification when the report is ready to be reviewed.
Optionally, enter any internal comments for the assigned reviewer as required.
Optionally, enter the individuals email address (for your reference, no email will be sent to the client with this report type).
Enter the client's first and last name - these are required fields in order to conduct screening. Optionally, enter any middle names.
Optionally, for internal reference enter a client reference.
Select Continue.
Optionally, enter the client's date of birth and/or address. Although these fields are optional, we recommend filling them in when you can - the more information you can provide on the individual the more narrow the search, in turn providing you with better quality matches.
Select Continue to complete the screening. The report will run, with results typically returned within a few minutes or less.
Reducing false positive matches
Our system requests various data points to enable the best possible matching and flagging of potential sanctions. Where provided, we use full names (including middle names), aliases, date of birth and geographic location to segment and prioritise results and deliver a low false-positive rate.
When running a Watchlist Screening report (PEPs and Sanctions only check) the only mandatory field is the individual's First Name and Last Name. However, where available we recommend including the individual's Date of Birth and Address which will help to narrow the search and reduce any potential false positive matches being returned.
Video walkthrough: How to use In-Person CDD
For more information on how to run in-person CDD checks, watch the video below for a full product tour.
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Still have questions?
If you have any further questions about using the In-Person CDD function to run KYC and AML checks, please contact our Support team who will be happy to assist.