Exception (Good Guy)

Filter engine scans the customer data or financial transaction against the sanction list, produces alert or no alert results. Some alerts are true alerts, while others are false alerts. There are some entries in the sanction list, produces large volume of false alerts. Exceptions, also called Good Guys are used to eliminate those false alerts. Each Sanction List entry can have 0 to many Exceptions. If the customer data match the sanction list name, at the same time, the customer data also 100% match the exception name, the filter engine will ignore the alert and produce no alert result.

For example, "John" is the name of a SDN list. So "John smith", "ED John" will get alerts on this entry. If we add "John smith", "Ed John" as exceptions to this list, the filter will ignore the alerts on John and produce no alert result. Please note that customer data must be 100% match the exception name, in order to ignore the alert on this entry.

Like Alt Name, Exceptions must link to a SDN list entry

This function is used to manage those Exceptions, or Good Guys. Click the "Exception" in the left navigation menu under List management, a new "Exception" Tab folder will created in the right panel. There are 3 sub-Tab folders, Search Exceptions, Search result Exceptions and Create New Exceptions

Screenshot

a) Search Exception

Search Criteria

entNum Link to SDN unique record identifier.
GGNum Unique record identifier.
Name Name of Exceptions.
GG Type Type of Exceptions.
CreatedByDate TEntry created date and time.
CreatedByUser User who create this entry.
ModifiedByDate Last modified date and time.
ModifiedByUser Last modified user.
AND and OR Select AND radio box if you want those criteria add together.
Select OR radio box if you want to get the result of either criteria meet

Functional buttons

  1. Find:
    click Find button to search.
  2. Clear:
    click Clear button to clear all the criteria.
  3. Complex Search:
    switch to Complex search mode.

b) Search Result Exception

Screenshot

The top part is the table, shows the list of the exceptions (good guys) that meet the search criteria. The bottom part is the details of the selected entry.

c) Update/Delete Alt. Name

Double Click : the selected record in the table to modify this entry. A new Tab folder "Update/Delete Exception" will be added, as show below

Screenshot

Functional buttons

  1. Update:
    Make changes on the Exceptions; save and switch back to "Search result Exception" Tab. Some of the fields in this form are read only, like entNum, GGNum, created/modified user and date
  2. Reset:
    reset the data to its initial value, discard all the changes.
  3. Cancel:
    Cancel this change and switch back to "Search result Exception" Tab.
  4. Delete:
    Delete this entry; then switch back to "Search result Exception" Tab.

d) Create New Exception:

Select the "Create New Exception" Tab to create a new entry.

Screenshot
Field Name Descriptions.
entNum Link to SDN unique record identifier.
GGNum Unique record identifier; This is a read only field.
Name Name of Exceptions; This is a mandatory field.
GG Type Type of Exceptions. This is reserved field, not used now.
CreatedByDate Date and Time when this entry is created. It is a read only field.
CreatedByUser User who create this entry. It is a read only field.
ModifiedByDate Last modified date and time; It is a read only field.
ModifiedByUser Last modified user; It is a read only field.

Functional buttons

  1. Create:
    Click the Create button to create a new Exceptions and switch to "Search result Exceptions" Tab. Name is a mandatory field, if it is empty, an error will show
  2. Clear:
    Click the Clear button to clear all the fields to empty.
  3. Cancel:
    Click the Cancel button to cancel operation and switch to "Search result Exception" Tab.