Exception(Good Guy)

The Screening Engine scans the customer data or payment transaction against the sanction list and produces alert or no alert results. Some alerts are true alerts while others are false alerts.

There are some entries in the sanction list which 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 name matches the sanction list name at the same time that the customer name also matches the exception name, the filter engine will ignore the alert and produce a no alert result.

For example, “John” is the name of a sanction list entry. So “John Smith” and “ED John” will get alerts on this entry. If we add “John Smith” and “Ed John” as exceptions to this list, the filter will ignore the alerts on “John Smith” and “ED John” and produce no alert result. Please note that the customer name must completely match the exception name in order to ignore the alert on this entry.

Like Alt. Name, Exceptions must link to a sanction list entry.This function is used to manage those Exceptions, or Good Guys. Click the Exception in the left navigation menu under List management and a new Exception Tab folder will be created in the right panel.

There are 3 sub-Tab folders: Search Exception(Good Guy), Search Result Exception(Good Guy) and Create New Exceptions(Good Guys).

Note

Exceptions must link to a Sanction List list entry.

Exception(Good Guy) search screen

Search Exception(Good Guy)

Search Criteria

Field Name Description
entNum Link to sanction list entry unique record identifier.
GGNum Exception unique record identifier.
Name Name of Exceptions.
GG Type Type of Exceptions.
CreatedByDate Date and Time when this entry is created
CreatedByUser User who create this entry.
ModifiedByDate Last modified date and time.
ModifiedByUser Last modified user.
AND Select AND radio box if you want those criteria add together.
OR Select OR radio box if you want to get the result if either criteria meet

Functional buttons

  • Find: – click Find button to search.
  • Clear:– click Clear button to clear all the criteria.

Search Result Exception(Good Guy)

Exception(Good Guy) search result screen

The top part is the table which shows the list of the Exceptions(Good Guys) that meet the search criteria. The bottom part is the details of the selected entry.

Update/Delete Exceptions(Good Guys)

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

Exceptions(Good Guys) update/delete screen

Functional buttons

  • Update: – make changes on the Exceptions(Good Guys) and then save and switch back to “Search result Exception(GG)” Tab. Some of the fields in this form are read only, like GGnum, created/modified user and date.
  • Reset:– reset the data to its initial value and discard all the changes.
  • Cancel:– Cancel this change and switch back to “Search result Exception(GG)” Tab.
  • Delete:– Delete this entry and then switch back to “Search result Exception(GG)” Tab.

Create New Exceptions(Good Guys)

Select the “Create New Exception(GG)” Tab to create a new entry.

Exception(Good Guy) create new screen
Field Name Description
entNum Link to sanction list entry unique record identifier.
GGNum Exception unique record identifier; This is a read only field.
Name Name of Exceptions; This is a mandatory field.
GG Type Type of Exceptions.
CreatedByDate Date and Time when the 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

  • Create: – Click the Create button to create a new Exception and switch to “Search result Exception(GG)” Tab. Name is a mandatory field; if it is empty, an error will be shown.
  • Clear:– Click the Clear button to clear all the fields
  • Cancel:– Click the Cancel button to cancel the operation and switch back to the “Search result Exception(GG)” Tab.