Overview
Procedures decide what happens inside your firm once an Engage request is ready for review and its checks have finished. This guide lists the procedures you can set up, grouped by area, what each one looks at and what it can trigger.
What a procedure can do
When a procedure runs, it can take one of the following actions. The actions available depend on the type of procedure.
Assign the request to a reviewer: the request goes to the reviewer you choose. Used by Review routing.
Mark as escalate: the finding is shown in red with an Escalate label and the reason, prompting the reviewer to escalate it.
Add reviewer guidance: your instructions are shown on the finding.
Notify by email: the people you choose get an email listing what came up. Used by Notifications.
ℹ️ Further guidance
Review routing
Available actions: assign the request to a reviewer. Scenarios can come from any area below, except the source of funds shortfall.
Rule | What it looks at | What it can trigger |
Firm-wide rule | Requests from every department, when any scenario you choose comes up. | Assign the request to one reviewer you choose. |
Department rule | Requests from one department you choose, when any scenario you choose comes up. | Assign the request to a different reviewer. A department rule takes priority over the firm-wide rule for that department's requests. |
Screening
Available actions: mark as escalate, or add reviewer guidance.
Procedure | What it looks at | What it can trigger |
A search finds a potential screening match | A potential match in the categories you choose: PEP, Sanctions, Adverse media, Warning list, Fitness and probity. | Mark as escalate (default), or Add reviewer guidance. |
Source of funds
Available actions: mark as escalate, or add reviewer guidance.
Procedure | What it looks at | What it can trigger |
The declared source of funds falls short of the transaction value | Whether the source of funds falls short of the transaction value by more than the amount you set in Shortfall above. | Mark as escalate (default), or Add reviewer guidance. |
The source of funds includes cryptocurrency | Whether the client's source of funds includes cryptocurrency. | Mark as escalate (default), or Add reviewer guidance. |
A third party contributes to the source of funds | Whether someone other than the client contributes to the source of funds. | Add reviewer guidance (default), or Mark as escalate. |
The source of funds includes foreign currency | Whether the client's source of funds includes foreign currency. | Mark as escalate (default), or Add reviewer guidance. |
The client declares source of funds held overseas | Whether the client declares funds held outside the UK. | Mark as escalate (default), or Add reviewer guidance. |
Identity verification
Available actions: mark as escalate, or add reviewer guidance.
Procedure | What it looks at | What it can trigger |
The fraud check doesn't come back clear | The result of the identity fraud check. | Mark as escalate (default), or Add reviewer guidance. |
Document check didn't come back clear | The result of the identity document check. | Mark as escalate (default), or Add reviewer guidance. |
Biometric check didn't come back clear | The result of the biometric check. | Mark as escalate (default), or Add reviewer guidance. |
Financial screening
Available actions: mark as escalate, or add reviewer guidance.
Procedure | What it looks at | What it can trigger |
A financial search doesn't come back clear | The result of the financial search. | Add reviewer guidance (default), or Mark as escalate. |
The client's address doesn't match their credit file | Whether the address the client gave matches their credit file. | Mark as escalate (default), or Add reviewer guidance. |
The client's credit file shows a County Court Judgment | Whether the client's credit file shows a County Court Judgment. | Mark as escalate (default), or Add reviewer guidance. |
The client's credit file shows an insolvency | Whether the client's credit file shows an insolvency. | Mark as escalate (default), or Add reviewer guidance. |
The client's credit file shows debt collection searches | Whether the client's credit file shows debt collection searches. | Mark as escalate (default), or Add reviewer guidance. |
Notifications
Available actions: notify by email.
Notification | What it looks at | What it can trigger |
Any scenario you choose comes up | Requests from every department, when any scenario you choose comes up. Scenarios can come from any area above, except the source of funds shortfall. | Email the addresses you enter. Each person gets one email per notification, listing everything that came up. |
Coming soon
Risk assessments: runs when a risk assessment is completed.
Ongoing monitoring: runs when monitoring finds something new about a contact.
Pay: runs when a payment is requested or received.
Important information
Standard procedures are suggested by Legl. You choose which to turn on and can edit them.
An Engage request has one reviewer at a time, so a department rule takes priority over the firm-wide rule.
Procedures do not block a review. Anyone who can review the request can still complete it.
Changes apply to requests that reach review from then on.
If you need more help
If you have a question about the procedures you can set up, contact our Support team.