All of your clients that have not completed CDD in Firmcheck will appear in the Undergoing CDD tab. After completing the AML Workflow, the entity will be moved to the ‘Completed CDD’ tab.

You can apply filters to the workflow in the left-hand column to view the clients' list by:

Within the ‘Undergoing CDD’ page of the AML Compliance tab, search for, then click on the name of the entity you would like to perform a CDD check on. A slide-out form will appear which provides the information you need to capture.

1. If the entity is a Company that was imported from the Companies House, most fields in this subsection will already be populated. If you have created the entity manually, the information displayed is dependent upon the information entered.

2. You also have the option to enter additional notes and attach any supporting documents.

3. Once you have checked all the information is correct and made any amendments, select the tick box at the bottom of the page "This section has been completed", and click Update.

1. A list of the parties associated with the prospect will appear here.

2. Next, to the names of the parties you would like to include in the entity's CDD, select the AML-relevant relationship. Relationships that can be selected are:

Where the prospect is an individual, the individual is automatically selected as a CDD Candidate (flagged as ‘Client’) and cannot be removed.

NB. If candidates are missing from the list of CDD candidates, you will have to navigate back to the entity's edit profile to add in the required parties.

3. As you add candidates they will form a list that displays their roles within the entity and the reason for performing CDD.

4. When you are satisfied that the correct people appear in this list, select the tick box at the bottom of the page "This section has been completed", and click Update.

Note: As you progress through the steps you will notice that ticks begin to accumulate next to each section. This will only occur when it has been marked as complete. If you want to come back to complete a section later simply update in the bottom right without selecting "This section has been completed". The section will remain un-ticked until updated.

1. A list of the CDD candidates will appear with the following to be completed:

Select ‘Update’ next to each of the above-mentioned sections to add information (or “collect and verify” for the identity verification section).

2. If the evidence from a prior determination displayed is correct you can select "Use this".

3. If a person's identity information needs updating or does not have an ID determination appearing, select "Collect & Verify" to make a new determination. You can also update the "Politically exposed person (PEP) and Personal source of wealth".

4. Once all parties are updated and ticked, this section is completed automatically.

Once the ‘Perform CDD’ section has been completed, you can now move on to the ‘Source of funds’ section of the workflow.

You can enter information and attach documents for the Source of funds and Source of wealth. Such as tax returns or sale & purchase agreements.

Click update once this section has been completed.

When your firm is created in Firmcheck, you have the option of selecting the appropriate risk question set that your firm follows for AML/Onboarding compliance. These questions appear in the ‘Risk Assessment’ section

1. Select all activities which apply to this entity, or add your notes in the "other" field.

2. Under the checklist, there is a risk exposure dropdown. Having determined the areas of risk, assign an overall risk rating for this client.

Click update once this section has been completed.

1. Recommended, scheduling a due date for the completion of CDD.

2. Select the Level of CDD to perform. Based on the outcome of your risk assessment you can select from:

You can enter notes supporting your decision to adopt the given level of CDD.

Once you have filled out all the details on this page, click Update.

The 'Review' section allows you to review all the activities recorded for the entity.

The AML determination will give you an overview of the information entered into the workflow. The following areas are listed and the commentary is noted.

Any sections not completed will appear with a warning advising it is not yet recorded/determined.

All of the parties associated with the workflow and their documents are listed in CDD candidates and identities. Each party is separate and the ID evidence shows all the documents used to make the determination.

Any sections not completed will appear with a warning advising it is not yet recorded/determined.

All documents are listed, you can download one document or all documents.

Perform the next review in

Click update once this section has been completed.

Once you have completed the CDD workflow, the Compliance Office can log into Firmcheck. In the 'Review status' filter, select Second review, this will populate all those entities ready for Second review and confirmation.