Built around the record an auditor will ask for
Monitoring, screening, cases and lodgements share one evidence store. Nothing is reconstructed after the fact.
Rules you can explain in a meeting
Every rule carries its threshold, its author and its change history.
| Rule | Trigger | Severity | 30-day hits | State |
|---|---|---|---|---|
| STRUCT-04 | Deposits under threshold | High | 312 | Active |
| SANC-01 | Sanctions recipient match | High | 2 | Active |
| PEP-03 | PEP name match ≥ 85% | Medium | 48 | Active |
| VEL-11 | Velocity above baseline | Low | 1,204 | Tuning |
Screening — one shared record
Sanctions, PEP and adverse media screening of the customer, its beneficial owners, every sender and recipient, and settlement partners, kept as one history. Your staff record each check from your own screening system, with its evidence; a connected screening provider is not yet available. Nothing counts as screened until a check is recorded.
| Check | Scope | How | Status |
|---|---|---|---|
| Sanctions | Customer, beneficial owners | Recorded by your staff | Manual |
| PEP | Customer, beneficial owners | Recorded by your staff | Manual |
| Adverse media | Customer | Recorded by your staff | Manual |
| Senders and recipients | Before first use | Recorded by your staff | Manual |
Cases — one shared record
Alerts become cases with a persistent evidence table, a counterparty network view and an outcome selector that is always reachable and never pre-selected.
| Case | Alerts | Owner | Status |
|---|---|---|---|
| CASE-1042 | 3 | A. Rossi | Open |
| CASE-1039 | 1 | J. Lee | Escalated |
| CASE-1031 | 5 | A. Rossi | Lodged |
| CASE-1028 | 2 | M. Chen | Closed |
Reporting — one shared record
TTR and IFTI drafted from the transaction record, with the statutory clock visible. An SMR is submitted in the AUSTRAC system and its reference recorded on the case.
| Report | Type | Statutory due | Status |
|---|---|---|---|
| RPT-TTR-402 | TTR | 2026-08-20 · 10 bus. days | Lodged |
| RPT-IFTI-071 | IFTI | 2026-08-20 · 10 bus. days | Review |
| RPT-TTR-401 | TTR | 2026-08-11 · 10 bus. days | Lodged |
Scores are ordinal, weighted per typology, and shown with the factors that produced them.