TABLE OF CONTENTS


Summary


Each client's CDD refresh due date is worked out from their last verified date and the review period for their risk level. Sometimes you'll need to change it: to line a refresh up with an upcoming matter, to skip a review that isn't needed, or to record a re-verification you did in a normal case.

Every change is recorded in the profile's activity log. None of these actions changes the last verified date, except Update last verified date.


Set a due date


Only Compliance Admins can set a due date.


From a profile

  1. Open the profile.
  2. In the CDD refresh section, click the pencil icon next to Due date.
  3. Enter the New due date. It must be today or later.
  4. Optionally, add a Reason.
  5. Click Save.


From the Alerts page

  1. Go to Alerts › CDD refresh.
  2. Open the row menu and choose Set due date, or select several alerts and click Set due dates.
  3. Enter the New due date and an optional Reason, then click Save.

The reminder moves with the new due date, so you're still alerted ahead of it. If an alert was already open and no refresh case has been started, the alert closes. A new alert is raised before the new due date.

The date shows an Overridden tag until the client is re-verified or you clear the override.


Clear an override


Only Compliance Admins can clear an override.

  1. Open the profile.
  2. In the CDD refresh section, click Clear override.

The due date goes back to the last verified date plus the review period.


Skip a review


Skip this review replaces Dismiss for CDD refresh alerts. Use it when a client doesn't need a refresh this cycle. Anyone who could dismiss an alert can skip one.

  1. Go to Alerts › CDD refresh.
  2. Open the row menu and choose Skip this review, or select several alerts and click Skip reviews.
  3. Check the New due date for each profile.
  4. Optionally, add a Reason.
  5. Click Skip this review.

The due date moves forward by one review period from the current due date, not from today. The alert closes, and the new date shows an Overridden tag. Skipping doesn't count as a re-verification, so the last verified date doesn't change.

Note: If a client was already well overdue, they may still be overdue after one skip. Check the new due date before you confirm.

You can't skip a review once a CDD refresh case has been started for that client.


Record a re-verification done in a normal case


If you fully re-verified a client in a normal case, you can count it as their refresh.

Available to Compliance Admins and Compliance Office Approvers.

  1. Open the case and go to the Manifest tab.
  2. Open the menu next to the individual or entity and choose Update last verified date.
  3. Check the before and after Last verified date and Due date.
  4. Click Update dates.

The client must have passed in this case, and the new date must be later than their current last verified date. Any overridden due date is cleared, and any open alert closes.

This option isn't shown in CDD refresh cases, because passing the client there already updates the date.


When you can't change a due date


You can't change the due date when:

  • The profile is inactive. Set it back to Active first. See Navigating the profiles page.
  • The client hasn't been verified yet.
  • CDD refresh is turned off for the profile's risk level.


More on CDD refresh alerts