TABLE OF CONTENTS


Summary

The First AML platform uses a set of case statuses to reflect where a case sits in its lifecycle. Each status indicates who can work on the case, what actions are allowed, and what the next step should be.


The available case statuses are:

  • Draft

  • In Progress

  • Ready for Review

  • Completed

  • On Hold

  • Dormant

  • Abandoned



Draft

Draft cases can only be created by users with the Author role.


A case in Draft is not yet ready to be worked on. This status is typically used when an Author needs to set up a case and have it reviewed before work begins.


Once the case is ready to proceed, the user can select Submit case in the top-right corner to move the case to In Progress.


Key points:

  • Only Authors can create Draft cases

  • Draft cases can only be viewed by Author and Compliance Admin roles

  • No client-facing actions occur while a case is in Draft


In Progress

For all user roles other than Author, newly created cases are automatically set to In Progress.


This status indicates that work is actively underway. This may include sending forms to clients, reviewing screening results, collecting documents, or completing other due diligence tasks.


A case will remain In Progress until all required steps are completed and it is ready to be reviewed.


Ready for Review

A case moves to Ready for Review once all customer due diligence steps have been completed and the case is submitted for approval.


At this stage:

  • All client forms have been completed

  • All required verifications and screenings have been run

  • A Ready for Review notification has been sent to the relevant reviewer(s)



When a case is in Ready for Review, the case content becomes locked. No changes can be made to individuals or entities.


If changes are required, select Rework in the top-right corner to return the case to In Progress. While in Ready for Review, only the Notes tab can be updated.



Completed

A case is marked as Completed once it has been reviewed and approved by the appropriate user.


This status confirms that customer due diligence has been completed and meets your organisation’s requirements to proceed with the relationship or transaction.


Completed cases are locked and cannot be edited. To make changes, select Rework to move the case back to In Progress.


On Hold 


The On Hold status can be used to indicate that a case is temporarily paused.


This is useful where work is not currently progressing, but the case is expected to be resumed in the near future.



Dormant 



A case marked as Dormant is closed but may be reopened at a later date.


This status is typically used for cases that have been inactive for an extended period, where no immediate action is expected but the case should be retained.



Abandoned

A case in Abandoned status has been closed and is no longer required.


This status is generally used when a client does not wish to proceed or the case has been discontinued permanently.