Overview
Customer Due Diligence (CDD) checks form the KYC checklist within each risk assessment. Every assessment includes ten standard check types per contact, and each check can be marked as completed with supporting evidence uploaded. The KYC Checklist tab on the risk assessment detail page is where you manage these checks.
The Ten Check Types
Each contact on the assessment has the following checks:
- Photo ID — passport, driving licence, or national identity card
- Proof of Address — utility bill, bank statement, or council tax letter
- PEP Screening — politically exposed person screening result
- Sanctions Screening — HM Treasury or international sanctions list check
- Source of Funds — documentation of where the client's funds originate
- Source of Wealth — documentation of how the client's wealth was accumulated
- Companies House — Companies House verification of the entity
- Beneficial Ownership — confirmation of ultimate beneficial owners
- PSC Identity — persons with significant control identity verification
- Nature of Business — evidence describing the client's business activities
Viewing CDD Checks
Open a risk assessment and select the KYC Checklist tab. Checks are grouped by contact, with each contact shown in its own card. A progress bar at the top of each card shows how many checks have been completed (e.g. 3/10 checks completed).
Completing a Check
- 1
Tick the checkbox next to the check name (e.g. Photo ID). The check status changes from Pending to Completed, and the system records who completed it and when.
- 2
To undo, untick the checkbox. The check returns to Pending.
Once the assessment is marked as completed, checkboxes are locked and you cannot change check statuses.
Uploading Evidence
- 1
Select the Upload button next to any check.
- 2
Choose a file from your computer. The maximum file size is 25 MB. The file name appears as a badge next to the check once uploaded.
To remove evidence, select the delete icon (bin) next to the file name badge.
Requesting Documents from Clients
If you need clients to provide evidence for pending checks, you can send document requests directly from this tab.
- 1
Select the Request Documents button at the top of the tab. The button label includes a count of pending checks (e.g. Request Documents (7)).
- 2
The system creates a bulk document request for the client, with one request item per pending check. Each item is named after the check type (e.g. "Photo ID", "Proof of Address") and linked to the CDD check.
The Request Documents button is disabled when the assessment is completed or when there are no pending checks remaining.
What's Next?
- Risk Assessments — score risk factors and complete the overall assessment
- Client Questionnaires — send AML questionnaires to contacts for review
- Keyboard Shortcuts — learn all available keyboard shortcuts