Step 1: Open the Clients list 

• In the left menu, click Clients, then Individual. 

•  At the top of the Clients page, you can view the total number of clients, along with the counts for Verified, Unverified, Rejected, and Expired clients. 

• Use the search bar, date filters, or Filter Clients to find your client. 

• Each row shows the client's name, contact details, Verification Status, and Risk Rating and Actions. 

Step 2: Open the client's profile 

• 1. Click the eye icon on the client's row. 

• 2. The profile opens with the client's name, status and created date. 

• 3. Click Back to Clients to return to the list. 

Step 3: Review KYC status and the Approve / Reject buttons 

• The KYC Verification & Periodic Review section shows the Review Status, created date, Verified date and Next Review Date. 

• At the top right, use Approve to onboard the client or reject if the client does not meet your requirements. 

• Clicking Approve opens the Approve KYC checklist: Identity Verification, Document Verification, PEP Screening, Sanctions Screening, Adverse Media and Onboarding Risk Assessment. Confirm that all are ticked, then click Approve KYC. 

⚠️ Important: EDD is required only for High or Critical risk clients. Complete EDD (Steps 4 to 12) before approving. For Low or Medium risk, you can approve straight away. 

Step 4: Check the Risk Assessment 

Scroll down to Risk Assessment. You will see: 

• Risk Overview: the overall rating gauge (for example, HIGH). 
• Risk cards: PEP, Sanctions, Country Risk, Adverse Media, Fitness & Probity, Review and Onboarding Risk Assessment. 

If the overall rating is Low or Medium, skip approval. 

Step 5: Read the Decision Context 

When the risk is High or Critical, the Decision Context box appears: 

• EDD Required (red tag): EDD must be completed. 
• Pending: EDD has not been done yet. 
• The message explains the contributing factors and reminds you that senior management sign-off is needed. It also suggests considering a Suspicious Matter Report (SMR) with AUSTRAC if suspicious activity cannot be ruled out. 

Click Perform EDD Check to begin. 

Step 6: Start the EDD process 

• The Enhanced Due Diligence window opens. 
• Under Document Collection you will see:  
• Source of Funds (SOF): where the money for this transaction or relationship comes from. 
• Source of Wealth (SOW): how the client built their overall wealth. 
• Completed Checks shows what has already been done automatically: PEP Checks, Sanctions / Adverse Media Screening and High-Risk Jurisdiction Exposure. 
• Click Initiate EDD. 

Note: Either SOF or SOW is required, but you can request both. 

Step 7: Send the document request 

The window now shows Enhanced Due Diligence (Cycle 1). 

Tick the documents you need. 

Click Send Request. 
 

Choose at least one option:  

• Email: sends the request to the client's email. 
• Manual Share: gives you a link to send yourself. 

• Click Send Request to confirm. 

Important: A new request revokes any previous links. The link stays valid until all selected documents are uploaded. 

Step 8: Share the upload link (Manual Share) 

• The Document Request Created message shows the Upload Link and its expiry date and time. 

• Click Copy Link or Share and send it to your client before it expires. 

Step 9: What your client sees 

• The client opens the link to the Additional Information Request page. 

• They upload files under Source of Funds and Source of Wealth (PDF, JPG or PNG, max 5MB each). 

• They can click Add another file for more documents. 

• They click Submit Documents and  

• See a Documents Uploaded Successfully message. 

Step 10: Read the results in Screening History 

Once the verification is run, the result appears under Screening History, newest first. 

• Check the risk badge on the latest screening:  
• LOW (green): no major concerns. 
• HIGH (orange): needs your attention. 

• Scan the risk cards (PEP, Sanctions, Country Risk, Adverse Media, Fitness & Probity, Review). Click the ⓘ icon on any card for detail. 

• Read the Decision box. It tells you what to do next:  
• Low: Standard due diligence is enough. Review again on your regular schedule. 
• High: Enhanced Due Diligence (EDD) is required. Click Perform EDD Check, get senior management sign-off, and consider filing a Suspicious Matter Report with AUSTRAC if suspicious activity can't be ruled out. 

Step 11: Track progress in EDD History 

Scroll to EDD History to see every event with date, action, details, document type and who performed it: 

• EDD Initiated 
• Document Request Sent 
• Document Uploaded (with a View Document button) 

The Decision box now shows Pending Review, meaning the documents are waiting for you. 

Step 12: Review Client Details and KYC Details 

Below EDD History you will see Client Details (left) and KYC Details (right). Check that they match the documents the client submitted. 

• Client Details: First Name, Last Name, Email, Phone and Client Type (for example, Individual). 
• KYC Details: Full Name, First Name, Last Name, Email, Phone, Address, Date of Birth, Gender, Occupation, Language, Country of Birth, Nationality, Tax Residence Country, Document Country and IP Country. 

Use Hide on any section to keep personal information out of view. 

Tip: Make sure the name, date of birth and address match the ID and EDD documents. 

Step 13: Edit details if needed 

• Click Edit on Client Details or KYC Details. 

• The fields become editable. KYC Details is grouped into Identity (First, Middle, Last, Full, Alias and Legal Name, Parent / Guardian Name) and Personal Details (Gender, Date of Birth, Nationality, Place / State / Country of Birth, and more). 

• Make your changes, then click Save. Click Cancel to discard them. 

Note: Client Type is greyed out and cannot be changed. 

Step 14: Check Associated Clients and Property - Case Management 

Scroll down to two more sections: 

• Associated Clients: shows linked entities (for example, a business), their Ownership percentage and Role / Control (such as shareholder or UBO). Click the open icon under Actions to view that entity. 
• Property - Case Management: lists related cases with Case ID, Sector Details and Status. 

Step 15: Track progress with the Verification Checklist 

After your client submits their verification, you can follow every compliance check in one place on the client’s profile. 

The Verification Checklist panel sits next to the Property - Case Management panel. 

What you’ll see 

• Completed counter: a badge at the top of the checklist shows how many checks are completed out of the total, so you see overall progress briefly. 
• Hide button: collapses the panel when you want a cleaner view. Click here to bring it back. 

Colour coding:  
🟢 Green with a tick means the check is complete. 
🟠 Amber means the check is still pending. 

Step 16: Review the uploaded documents 

• Scroll to Documents. They are locked for protection. 

• Click View Documents to unlock them. This action is recorded for audit purposes. 

• Check each file. EDD files appear as EDD SOW and EDD SOF, each with a Review Status. 

Step 17: Add a note 

• Scroll to Notes and type in Write a note... (for example, "SOW and SOF is Submitted"). 

• Click Add Note. It is saved with your name and a timestamp. 

Step 18: Check the Audit Logs 

Scroll to Audit Logs at the bottom of the profile. It records who did what and when, with: 

• Timestamp 
• Action 
• Description 
• Performed By 

Click the eye icon on a row for more detail. Use Show More / Show Less to expand or collapse the list. 

Note: Every time someone views the client's KYC details, it is logged here.