Model Bank

FCM (Financial Crime Mitigation)

Pre-Sales Demo User Guide
(Post R23 AMR)

Information in this document is subject to change

without notice.
No part of this document may be reproduced or
transmitted in any form or by any means, for any
purpose, without the express written permission of
TEMENOS HEADQUARTERS SA.
© 2022 Temenos Headquarters SA -
all rights reserved.
FCM Demo User Guide

Table of Contents
Document History ............................................................................................................................... 4
Introduction ........................................................................................................................................ 5
General Guidelines ............................................................................................................................. 5
Navigation/Screen Resolution.............................................................................................................. 5
Document Overview ........................................................................................................................... 5
Pre-Requisites.................................................................................................................................... 5
1.FCM Start- up ..............................................................................................................................5
2. Transact Start- up ........................................................................................................................8
3.Home Screen of FCMUSER in Transact ........................................................................................8
Transact Menu ................................................................................................................................... 8
1.Customer Creation .......................................................................................................................8
2.Payment Transactions ..................................................................................................................8
3.Security Transactions ...................................................................................................................9
4.Enquiries .....................................................................................................................................9
Workflow Demo Scenario .................................................................................................................... 9
Scenario 1: Customer Creation - No HIT in FCM ...............................................................................9
Scenario 2: Customer Creation - False HIT in FCM ......................................................................... 10
Scenario 3: Customer Creation - True HIT in FCM........................................................................... 12
Scenario 4: Payments - No HIT in FCM .......................................................................................... 15
Scenario 5: Payments - False HIT in FCM ...................................................................................... 16
Scenario 6: Payments - True HIT in FCM ........................................................................................ 18
DW.EXPORT files ............................................................................................................................ 23
DES-FCM Integration........................................................................................................................ 23
Json files.......................................................................................................................................... 38
Turnover Retention Tax and VAT on Payments to Digital Providers ..................................................... 38
PARTY.RELATIONSHIP ................................................................................................................... 42
Account Groups................................................................................................................................ 45
Not match operator ........................................................................................................................... 48
Scan word Functionality .................................................................................................................... 51
Regulatory Reporting ........................................................................................................................ 54
Electronic SAR/CTR reports for FinCEN............................................................................................. 56
Profile Interface and Visual Charts ..................................................................................................... 59
Multi Company Multi book ................................................................................................................. 61
Configuration Management ............................................................................................................... 63
CIF PRE EVALUATION .................................................................................................................... 64
Reason Code Configuration for Screening Alert Evaluation ................................................................. 65
Rule Based Screening ...................................................................................................................... 67
Custom Labels ................................................................................................................................. 70
Contributed transactions report.......................................................................................................... 72
Screening Alert Evaluation ................................................................................................................ 72
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CIF Smart Screening ........................................................................................................................ 75

Chained Pipeline .............................................................................................................................. 75
Association Screening using list group configuration ........................................................................... 79
Workflow Steering ............................................................................................................................ 81
FCM Demo User Guide

Document History
Author Version Date

Sadhana Vijayakumar/Prithivi V 0.1 19 May 2023

Rajan R
FCM Demo User Guide

Introduction
“Model Bank Reference System” is released with demo data to enable the Pre-Sales to demonstrate
Transact Model bank functionality.

It is pre-configured with Role Based Home Pages, Dashboards, Business Processes, Products,
Enquiries, Reports and a host of other features.

This document is intended to aid Pre-Sales to understand the “Transact – FCM demo scenario”
available in Model Bank and choose the appropriate data set for demo. Refer the Transact Demo
guide for processing the payment transactions as this document highlighted on the Transact to FCM
process. Also please refer to the FCM User guide for enhancement related scenarios.

General Guidelines
While demonstrating FCM functionalities, please login with the User Name/password provided for each
role.

TRANSACT SIGN ON NAME PASSWORD PROFILE

FCMUSER 123456 FCM Officer

FCM SIGN ON NAME PASSWORD

admin1 Temenos1!

admin2 Temenos2!

Navigation/Screen Resolution
Please avoid using the Command line while demonstrating enquiries, versions etc., instead use the Menu.

Document Overview
This document provides an overview of the FCM User Home page in Transact, Customer creation and
TPH – FCM integrated process by demonstrating the International SWIFT Outgoing Payment.

Pre-Requisites

1.FCM Start- up
Environment variables of the desktop to set as Java Home as Java\Default
FCM Demo User Guide

Update Path for Java_Home\bin

1.Download FCM package from the link link and extract the zip under the folder
Temenos\R23\Env\Slot01\Products\FCM

2. Replace the Standalone XML file.

From - FCM folder path - Temenos\RXX\Env\Slot01\Products\FCM\ standalone-Slot01.xml
To- Transact folder path - Temenos\RXX\Infra\AppServer\JBoss\Default\standalone-Slot01\configuration

3. Move and Deploy the interface war file.

From – Temenos\RXX\Env\Slot01\Products\FCM\ interfaces-deploy-model2-jboss7-ear-.ear
To - Temenos\RXX\Env\Slot01\Products\deployments

4.Update the exact resource root path available in the folder. Postgressql-42.5.0.jar is available in the
folder and the same needs to be updated in the module.xml file in the below highlighted area.
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1.Start up FCM jboss from Temenos\RXX\Env\Slot01\Products\FCM\FCM_Server_Start

This file will start the FCM Server, FCM Postgre DB, Scanning engine, Profile engine and SAP engine.
Wait till the entire start up is process is completed.
URL to access the FCM - http://localhost:9082/vrisk/app/
1.Once the FCM jboss is up following changes to be done in System preferences. Check if the below
preferences are already available if yes ignore if not kindly add.

 System Preference as given below for TPS-FCM to work.

 Update the raw values of the configuration System Preferences to the path where the Json file is
present.

For alert notification.

For Four eye Check

Kindly refer to the User guide for four eye check
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2. Transact Start- up
Note - Steps of FCM start-up to be completed before the Transact server start
1.Start Transact Application Server from the Start Menu -> Model Bank -> Application Server Start
2.Once App server is completely started, access http://localhost:9089/Browser
3.Following services are to be up and running in Transact.

3.Home Screen of FCMUSER in Transact

Transact Menu
1.Customer Creation

From this menu users will be able to perform the following functions

 New Customer Record – This menu launches a screen, which allows users create customer records.
The record created here passes through FCM screening.

 Single Customer view – This menu is used to search a customer based on Customer
ID or Mnemonic or Short Name. For this enquiry, the user has to enter the Customer Id and click
the FIND button to view Single Customer View (SCV).

 FCM onboarding lookup – This menu lists all customer records pending for FCM screening.

 Customer –This menu allows the user to create prospect, Activate Customer, Amend Customer, Set
posting restriction and create KYC.

2.Payment Transactions
The following payment transactions can be executed from this menu
 Customer Outgoing Payment – This screen allows the user to book out going payment transactions

 Payments Repair Queue – This enquiry displays the list of payments pending in repair queue.
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 Payments Pending Authorization – This enquiry displays the list of payments pending for
Authorisation

 Hit Filter– This enquiry displays list of payments falls in the Hit filter Enquiry

- HIT from Sanction screening

- Timed Out due to no response from Sanction screening
- Payments that are sent to repair queue from Manual filter payments.

 Manual Filter Payments – This enquiry displays the list the active records from the table
POR.SCREENINGREQUESTS with Payment Status equal only with NEW or POSSIBLE.

3.Security Transactions

This screen captures transaction used within the securities Module to transfer securities in or out of a
Client's Portfolio Account and that are passed for FCM screening.

4.Enquiries
Enquiry menu consists of

 Events Sent to FCM – This enquiry displays all the events from IF.EVENTS.INTERFACE.TABLE
which are delivered for FCM processing.

 TSS Services stop/start – This screen allows the user to stop/start the TSA.SERVICE, view the
TSA Agents and Agent Status Log.

Workflow Demo Scenario

Following are the Customer creation and Payment scenarios. (Request you to disable all the rules Profile
and SAP – Real time/Batch to check the flows). Currencies with EUR/USD are configured as per Multi
company book scenario and so we would have the option of Open the message for involvement of
currencies in EUR and View the message for currencies involving USD. So Kindly disable the Rule to check
on any flow so that the other functionalities are not disturbed.

Scenario 1: Customer Creation - No HIT in FCM

1. Log in as FCMUSER > Customer Creation > New Customer Record.

2. Enter the mandatory fields and commit the transaction.

Events created can be viewed from FCMUSER > Enquiries > Events sent to FCM
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3. Status of No Hit records can be viewed in Transaction Message Investigation of FCM screen.

Scenario 2: Customer Creation - False HIT in FCM

1. Log in as FCMUSER > Customer Creation > New Customer Record.

2. Enter the mandatory fields and commit the transaction and accept the contract sent to AML.

Record status will be in INAO.

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Users can view the entry in Home screen> Dashboard> FCM Pending Records

3. Events created can be viewed from FCMUSER > Enquiries > Events sent to FCM

4. An alert will be triggered in FCM -> Transaction Alert Manager

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5. Open the transaction alert, update the Alert Evaluation details and click on Apply/Next based
on the number of Hits

6. Once Alert evaluation is completed, the tab will populate with evaluation completion buttons as
below then user can update the message evaluation and click complete to proceed further.

7. The Status will be updated as approved in the FCM Pending records

Scenario 3: Customer Creation - True HIT in FCM

1. Log in as FCMUSER > Customer Creation > New Customer Record.

2. Enter the mandatory fields and commit the transaction.
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Record status will be in INAO

Users can view the transaction in Home screen> Dashboard> FCM Pending Records

3. Events created can be viewed from FCMUSER > Enquiries > Events sent to FCM

4. An alert will be triggered in FCM > Transaction Alert Manager

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5. Open the transaction alert, update the Alert Evaluation details and click on Apply/Next based
on the number of Hits

Once Alert evaluation is completed, the tab will populate with evaluation completion buttons as
below then user can update the message evaluation details and click Evaluation complete.

6.Once done the transaction in the Transact will be moving to rejected status and record will get deleted
automatically it can be viewed from Home screen> Dashboard> FCM Pending Records

Rejected status

Deleted Status. Record will not be found

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Record Missing status

Scenario 4: Payments - No HIT in FCM

1.Log in as FCMUSER > Payment Transaction > Customer Outgoing Payment.

2.Enter the mandatory fields and commit the transaction.

Events created can be viewed from FCM events

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In FCM – Transaction will not appear in Transaction Alert Manager it can be viewed from
Transaction Message Investigation menu.

The payment message has hit the FCM server and response sent back to Transact server without
any intervention. In Transact payment will move to status 999 (from 677 - completed payment
message sent).

Scenario 5: Payments - False HIT in FCM

1. Log in as FCMUSER > Payment Transaction > Customer Outgoing Payment.

2. Enter the mandatory fields and commit the transaction.
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3. Payment status in Enquiry PAY.PEN.PROCESS will be in 602 – Processing - Filtering Subflow

- Screening STP payment

4. Events created can be viewed from Enquiries > Events sent to FCM

5. In FCM login alert will be generated in Transaction Alert Manger

6. Open the Alert for processing, details of the transaction can be viewed under Payload tab
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Enter the Alert Evaluation details and apply Next based on the number of Hits.

6.Once Alert evaluation is completed, the tab will populate with evaluation completion buttons as below
then user can update the message evaluation details to proceed further.

7. Once evaluation is done the payment in Transact is updated with status 999- Completed -
Payment successfully process

Scenario 6: Payments - True HIT in FCM

1. Log in as FCMUSER > Payment Transaction > Customer Outgoing Payment.

2. Enter the mandatory fields and commit the transaction.
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3. Payment status in Enquiry PAY.PEN.PROCESS will be in 602 – Processing - Filtering Subflow

- Screening STP payment

4. Events created can be viewed from Enquiries > Events sent to FCM
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5. In FCM alert will be generated in Transaction Alert Manger

6. Open the Alert for processing, details of the transaction can be viewed under Payload tab
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Enter the Alert Evaluation details and apply Next based on the number of Hits.

6.Once Alert evaluation is completed, the tab will populate with evaluation completion buttons as
below then user can update the message evaluation details to proceed further.
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6.Once evaluation is completed the payment in transact is updated with status 215 - Screening -
required manual intervention

Cancel the payment processing the Payment Transactions > Hit Filter menu

Update the cancel information details and commit the transaction.

The transaction will be in 315 status – Waiting – First Authorisation

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Login as another user (AUTHOR) and authorise the transaction from User Menu > Payments >
Payments Hub > Payment approvals > Authorize pending payments> Auth. Order Entry & Repair
payments > Pending Authorise payments

7. Payment moved to completed Payment Cancellation status.

DW.EXPORT files
For FCM data import purposes DW.EXPORT files pertaining to Customer, Accounts,
AML.TXN.ENTRY and STMT.ENTRY are available in Data\T24\UD\DW.EXPORT folder. These files
can be moved to FCM folder and can be utilized as per FCM guidelines. Please refer to FCM
Installation guide for more information.

DES-FCM Integration
Introductions
Temenos Data Event Streaming (DES) is a highly scalable, elastic, distributed and fault-tolerant
application to stream entity events coming from Transact or other systems.
The DES feature allows many types of data files to be imported into FCM using a single batch file.
The following are the features of DES.
1.Delivery on messaging or streaming solutions (Kafka, AWS Kinesis, Azure Event Hub, IBM Event
Streams*).
2. Delivery of data in near real time.
3. Negligible impact on event source system (e.g., Transact).
4.It is cloud native.
5. At-least-once delivery guarantee (events are not lost).
6. Schema-based event messages.
FCM supports CUSTOMER, TRANSACTION and ACCOUNT applications for DES mechanism.
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Pre-Requisites

Navigate to Windows searchbarTurn Windows features on or offCheck Hyper-V and Subfolder

Navigate to settings of Docker and uncheck WSL2 and Docker compose from the Docker
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Note: Hyper-v / WSL2 both helps in running virtualized computer systems on top of a physical host
Docker Resource

Environment variables of the desktop to set as Java Home as Java\Default

Update User Variable

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Host number mentioned below refers to IP address (can be obtained from the TCS Server – screenshot
mentioned above or Command promptIPCONFIGIPV4 address)

Update Path for Java_Home\bin

Environment System Variable to be also updated as Maven_Home

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Update Path for Maven_Home

Kindly restart the system once after setting the Env variable
Configuration
1. Open the hosts file from the C:\Windows\System32\drivers\etc\ path and add the following entries
in the host file as below. Update the host number for t24-db and stream-db
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2. Enable the global event capture flag in tafj.properties by setting as true

3. Move and Deploy the t24-IF_IntegrationFrameworkService-ejb.jar file along with interfaces-deploy-

model2-jboss7-ear-.ear (done in the above mentioned step)
From- Temenos\RXX\Env\Slot01\Products\ Deployments-all
To Temenos\RXX\Env\Slot01\Products\deployments

1. FCM Start Up
Start up FCM jboss from Temenos\RXX\Env\Slot01\Products\FCM\FCM_Server_Start

This file will start the FCM Server, FCM Postgre DB, Scanning engine, Profile engine and SAP engine.
Wait till the entire start up is process is completed.
URL to access the FCM - http://localhost:9082/vrisk/app/
1.Once the FCM jboss is up following changes to be done in System preferences. Check if the below
preferences are already available if yes ignore if not kindly add.

 System Preference as given below for DES-FCM to work.

Define the Kafka and Schema registry host or port number through system preferences
This Preference is used to specify the kafka broker’s host number for the DES loader.

This preference is used to specify the kafka broker’s port number for the DES loader.
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This preference is used to specify the schema registry’s host number for the DES loader.

This preference must be used to specify the schema registry’s port number for the DES loader.

2. Transact Start- up
N1ote - Steps of FCM start-up to be completed before the Transact server start
1. Along with the above running services also run the below two services
- BNK/VP.UPDATE.DES
- BNK/RR.TAKEON for Bulk Upload

3.Des start up as docker

3.1 Update port number in T24_Keystore_template and Database Connection in accordance with the port
available in Slot1db
C:\Temenos\R23\Env\Slot01\Products\DES\des-build\src\main\resources\keystore\h2
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Database Connection H2 Server

3.2. Navigate to R23\Env\Slot01\Products\DES\artefacts

Open the command prompt and execute mvn clean install

3.3. des-tool build

3.4 des-tool create-keystore

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Navigate to C:\Temenos\R23\Env\Slot01\Products\DES\des-docker (Jboss, DB visualizer, docker

should be up and running). Execute the below commands from des-docker folder

3.5 des-tool build

3.6 des-tool install

3.7 des-docker build

3.8 des-docker up -d

Move to step 5.Run the Setup.bat file inside \engines\desloader-deploy-cli\bin

4.Des Start up as Standalone

4.1des-tool create-keystore

4.2Navigate to Des docker folder and execute the below command

docker system prune -a

4.3 docker system prune - -volumes

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4.4 Des folder will get created in the below folder

C:\Users\xxx\.m2\repository\com\temenos\des

4.5 Execute the below commands inside des-docker folder

des-dockerbuild

4.6 des-tool build

4.7 des-tool install

4.8 des-docker up -d

4.9 des-tool stage-schemas (Path of schemas in DES) 0

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4.10 Starting DES as standalone

Navigate to Des standalone folder and execute the following commands

Build.bat

After build.bat execution target folder will get created and all the jar file will get populated inside
target folder

4.11 Execute start 3rd party.bat

4.12 Start des.bat

Follow the following steps for des setup inside FCM Engine folder
5.Run the Setup.bat file inside \engines\desloader-deploy-cli\bin

Enter the DB
FCM Demo User Guide

Execute dataeventservice-consumer-loader.bat file from \engines\desloader-deploy-cli\bin

6. Emit Events to DES

This section details the DES events for Transact.To emit Customer, Account and Transaction events to
DES, perform the following steps.
Enable RR.PARAM for FBNK.Customer, FBNK.Account and F.AML.TXN.ENTRY.DES (Transaction)

Please note: For Bulk or One time upload set Ilp field to Yes in account, customer and
transaction records of the RR.PARAM table and BNK/RR.TAKEON service (Service Control field)
to Auto
FCM Demo User Guide

Query Execution for the checks:

1. Select * from F.RR.XSD.EVENTS table to check for XSD Schemas to be updated as success

2. Select * from TMN_DES_AVRO_SCHEMA_EVENT to check for AVRO Schemas generated

for TXN

Working With
FCM Demo User Guide

This section provides the incremental customer loading of customer, account and transaction, and helps
you to check consumer loader screen, web app and GUI of customer, account and transaction.
Customer

Using the query – Select * from F_DATA_EVENTS check for the newly created record
Entry in Data event service consumer console

Check FCM UI

Go to KC+  Managed customers

Account

Entry in Data event service consumer console

FCM Demo User Guide

Check FCM UI
The created customer, account and transaction can be viewed in FCM GUI. To view, go to Knowledge
Manager > Investigate > Profile (Accounts).

Transaction

Entry in Data event service consumer console

Check UI
The created transaction can be viewed in FCM GUI. To view, go to Knowledge
Manager > Investigate > Profile (Accounts Transactions).
FCM Demo User Guide

Json files
Json files pertaining to Custom Reports, Form Designer, Profile Definition and Rules of BSG
Company are available in the FCM package. Import and activate the files from FCM Gui to view.

Ex – In FCM Forms Designer click on Import and upload the formdesigner files.

Turnover Retention Tax and VAT on Payments to Digital

Providers
Tax Authorities publish a list of Foreign Digital Services Provides, that must be used by Banks in order to
identify the services paid by its customers that are subject to the perception of additional taxes.
FCM supports getting the digital service providers list from a local file or from the Tax Authority website
directly and identifies customers for which the name of the beneficiary is included in the list of affected
Foreign Digital Service Providers. This functionality allows banks to identify whether the beneficiary of a
debit card purchase belongs to the list of digital service providers. Temenos Transact will convert the
transaction amount, validate the digital providers and calculate the taxes. Also, the system will raise
separate accounting entries for taxes when the debit card transactions will be processed.

1.Importing Digital service Providers

1.1. Place the list (Input file) of digital service providers (downloaded from Tax Authority website or obtained
from a file) in the below engine to run the CLI Jobs

Input file location: C:\Temenos\R23\Env\Slot01\Products\FCM\engines\vwatch-deploy-cli\bin\24082020-

Listado-PrestadoresDigitales
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1.2. Location of Batch file

Batch file: C:\Temenos\R23\Env\Slot01\Products\FCM\engines\vwatch-deploy-cli\bin\watch-pattern-
import.bat

1.3 Command to Import list of providers with argument <Batch file name> -u <Input file name>

Example - watch-pattern-import.bat -u 24082020-Listado-PrestadoresDigitales.txt

Batch file runs successfully. Once the batch file run’s successfully view the imported DSP list in FCM login
Please find the navigation below
Home – Configuration – Parameters-Screen-Pattern List (User can find the uploaded DSP’s)

1.4 Source type of DSP via import - ARGENTINA_TAX_AUTHORITY (Differs according to the source
country of file taken for import)
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2.Creation Digital service providers Manually

2.1 Click on Add to create a DSP manually

Input the details and save the entry to add DSP manually

2.2 The manually added entry would be available in the list

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2.3 Source type of DSP via Manual addition – MANUAL

Modification of Digital service providers that are added by importing (running batch file)
3.1 Click on the edit button of an entry

3.2 Could be enabled or disabled by inputting Yes or NO.

Were as the other options could not be amended as it is non editable when the source of the DSP is
Imported through the batch file

- If Yes it replicates that the DSP is active/available

- If No it replicates that the DSP is not active/unavailable

4.Modification of Digital service providers that are added manually

4.1 Click on the edit option of the manual entry
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4.2 When the source of DSP is Manual all the fields could be modified and updated.

4.3 After Modification

PARTY.RELATIONSHIP
This feature helps to extract the information stored in the PARTY.RELATIONSHIP Transact table to FCM.
In Transact, the PARTY.RELATIONSHIP application allows you to capture multiple relationships among
people or entities in a single transaction

Configuration (Please refer to the User guide for more details)

1 Pre-configuration in Transact
-1.1 Add Relation Table in DW.Export (will be available by default)

-1.2 Add PARTY.RELATIONSHIP in DW Export (Should be authorized through another user)

-1.3 Add the above tables (Relation and Party Relation) in DW.EXPORT.PARAM (Authorize using other
user)
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2.DW.EXPORT Service
Set the DW.Export service to auto and run the service along with TSM

3. Export results
When the export is done the party relationship file is obtained
2.FCM Configuration
-2.1 Import the Party.relationship file

-2.1 Sample Input file

Input file 100367-Parent ; 137011 – Child // 137018 – Child ; 100110 – Parent

Input file 100200-Parent ; 100900 – Child // 190030 – Child ; 100291 - Parent

3.Create group definition

The group definition allows the user to create group for CUSTOMER_RELATIONSHIP. This definition is
used by the calculate_group.bat file to group customers in the party relationship file with existing customers

4.Configuration of Manage look up under Customer rule base

To Create Lookup

5.Calculate Groups – run a batch file with the command highlighted below in red

- The calculate group.bat file is used to import the data in the party relationship file to FCM. This batch file
is available in Temenos\R23\Env\Slot01\Products\FCM\engines\risk-matrix-deploy-cli\bin

calculateGroups.bat -m GB0010001 -t CUSTOMER_RELATIONSHIPS -f

BNK_PARTY_RELATIONSHIP_0002.csv

Parameter Description Value

-m Mandator Name GB0010001

-t Type Value should always be

CUSTOMER_RELATIONSHIPS
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-f File Name Name of the csv file extracted from

transact eg-
BNK_PARTY_RELATIONSHIP_0002.csv

6. After the execution of Calculategroup.bat file user can view the relationship party details in Manage
customer screen

7. View the relationship in Party relationship information

8. View group details All customer group imported from Transact can be viewed using customer group
menu in FCM . To view customer groups
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Account Groups
Account Groups feature helps banks to group various accounts under one list. This group is further used
in Profile to build a profile for the transactions that happen in a specific set of accounts. For Example: We
can group set of accounts such as Current account, Savings account, Forex account under one list and set
up rules in-order to trigger alert that breach the given condition set up in the rules section.An alert is
generated if the transaction satisfies the below mentioned rule and the mentioned account in the transaction
is listed in the account group

1.To View the accounts group set up in FCM please follow the below steps and for further details
kindly refer to the User guide (Please note that sample accounts are added for illustrative
purpose)
1.1 Navigate to ConfigurationAccount groups
1.2 Click on Add a new account group

1.3 Input Group name, Description and Company and click on confirm

1.4 Add accounts and save. For sample have taken Current accounts

1.5 Login into other user admin 2 and authorise the account group

1.6 Click on accept changes

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To add accounts to the group Accountgroup and check kindly click on edit, add accounts, save and
validate in admin 2

2. Import Profile rule to FCM

Upload Profile Rule
2.1 Upload Profile Definition

For the above step upload the below Profile file, click confirm and enable the rules
C:\Temenos\R23\Env\Slot01\Products\FCM\FCM_model_bank\Configuration\model\profiledefinition

After uploading enable all the profiles so that the status turns active (Click on the aero plane symbol to
activate)
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2.2 Upload Profile real time Rule/Batch Rule

Click on the upload option to import rules – Profile Real time

Path to find the file –

C:\Temenos\R23\Env\Slot01\Products\FCM\FCM_model_bank\Configuration\model\rules
File to Upload, click confirm and activate the desired rule and restart the profile server bat to view the rule
in Profile Server bat engine

2.3 Click on the rule to view the details/conditions set

3. Input an Order entry Outgoing Transfer in Transact to validate the rule

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3.1 Click on Menu and Navigate to Payment transactions--->Customer outgoing payment and input the
details in order entry and validate/commit the transaction

3.2 Status of the transaction

3.3 Log into FCM to view the alert if the transaction involves an account mentioned in the account groups
then an alert is generated as shown below.

Not match operator

Introduction: The existing feature of transaction attributes in rule manager can be enhanced to compare
the beneficiary’s name in the transaction with beneficiary name in the accounts file. A new operator like
Not Match to be added in the rule. For eg. When the beneficiary name in the transaction not match with
the beneficiary name in the account then an alert will be generated.

1.Enable Rule in FCM UI

1.1 Import Profile
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For the above step upload the below Profile file, click confirm

C:\Temenos\R23\Env\Slot01\Products\FCM\FCM_model_bank\Configuration\model\profiledefinition

1.2.Upload Rules – Profile Real time/ Batch

Click on the upload option to import rules – Profile Real time

Path to find the file –

C:\Temenos\R23\Env\Slot01\Products\FCM\FCM_model_bank\Configuration\model\rules
File to Upload, click confirm and activate all the rules

Activate the desired rule Bene name Mismatch and restart the Profile server bat
FCM Demo User Guide

3. Input a transaction in Transact

3.Alert Triggered in FCM satisfying the Rule Bene name mismatch

FCM Demo User Guide

Scan word Functionality

The ScanWord feature is a way to find hits based on the presence of multiple words present in the given
text that are also present in the watch list entry. It works by looking at every word in the scanned text and
determining which entries contain that word. If the number of words found for any given entry exceeds
the minimum threshold, the text is marked as containing a hit against the entry. Therefore, it is a set of
logics, methods of matching the watchlist entry names against the text in the payments message or
account opening forms or other fields to find a match against a watchlist entry. It is an enhancement in
the screening engine.

Configuration:
1.1 In deffile_tables(\engines\scan-engine-cli\config\DEFFILE_TABLES.DAT) please add the keyword
“SCANWORD” method for WEB INQUIRY TOOL screening,Fund transfer and Customer screening to
ensure to find hits for specific cases

1.2 TA_SCANWORD_COVER
When the number of words in the watch list entry is less than 8, it is considered difficult to evaluate a ratio
of found words number over actual word number. With less than 8 words, we use a table which states the
number of found words when the number of actual words is given to consider that the entry text matches.
Example of such table to be added manually in DEFFILE_TABLE.DAT (path mentioned above)
(TA_SCANWORD_COVER
("1" "1")
("2" "2")
("3" "2")
("4" "3")
("5" "4")
("6" "4")
("7" "5")
FCM Demo User Guide

("8" "5")
)
This table says for example that if you have 4 words in the searched string, you need at least 3 words
matching to report an alert and the same needs to be updated in the Deffile table.

1.3 Define the scanword parameter in parmdyn file ((\engines\scan-engine-cli\config\parmdyn.DAT) for

scan word triggers activation. Update the SCANWORD_ACTIVE as YES as mentioned below and restart
the scan engine to check for the functionality. In Parmdyn.dat file the SCANWORD_ACTIVE will be set as
NO please change to YES and restart the scan engine.

SCANWORD_ACTIVE "YES"
SCANWORD_MIN_ENTRY_SIZE "11"
SCANWORD_MIN_WORDS "3"
SCANWORD_MIN_WORD_SIZE "3"
SCANWORD_MIN_WORD_SIZE_VARIA "4"
SCANWORD_COVER_RATIO_PERCENT "70"
SCANWORD_DUPLICATE_LETTER "1"
SCANWORD_SOUNDEX_WORD "1"
SCANWORD_SORT_WORD "1"
SCANWORD_MAX_ALGORITHM "4"
SCANWORD_BONUS_MIN_EXCEED "2"
SCANWORD_RESTRICT_ENTRIES "0"

1.4 On the scan engine.

FCM Demo User Guide

1.5 Any updation in deffile/Param file inbetween when environment is up, scan engine should be restarted.
2.Sample Scenario in WebInquiry: Check whether Web Inquiry shows valid hit for Scanword when
SCANWORD_ACTIVE is defined
Input a name matching entries in watchlist
Given name : AMEZQUITA MENESES Salustio
WatchList Name : OFAC

Navigate to Web Inquiry

HomepageScreenWeb Inquiry

 Input the watchlist person name in WebInquiry

 Webinquiry should show hit under the name AMEZQUITA MENESES Salustio and hit should be
calculated as per the parameter passed in param file.
 As the hit satisfied the restriction and exact name given in watchlist enties hit calculated as 99
FCM Demo User Guide

3. Scanword Parameter Validation in Transaction Alert manager

Scenario 3.1 Check whether Alert is created in transaction Alert Manager for Scanword when
SCANWORD_ACTIVE is defined with valid watchlist entry
Login to Transact and input the details– Commit and Validate the entry

Click on Home for pending records

Log into FCM to view the alert

Regulatory Reporting
The Regulatory Reporting functionality helps banks to generate and submit reports in a standardized
format as required by the relevant Financial Intelligent Unit (FIU). Banks are required to submit
Suspicious Activity Report (SAR) and Currency Transaction Report (CTR) to FIUs according to the
country or jurisdiction rules and specifications. In general, FIUs require as much information as possible
about suspicious activities and involved parties, that banks derive from underlying transactions and the
available customer data along with their own information gathering and investigations. The United Nations
Office on Drugs and Crime (UNODC) offers the goAML application portfolio to FIUs that allow them,
FCM Demo User Guide

receiving SARs and CTRs from banks in an internationally standardized format, as either single or bulk
reports. Banks can either enter the requested data directly in a Web interface or upload the generated
XML report(s) through an upload interface, both provided by local FIUs. The Regulatory Reporting
functionality allows the banks to generate report in XML format that can be uploaded in the FIU portal
later.

Configuration
1. Add Action rule in FRAMEWORK.INVESTIGATE rule base to have the functionality Regulatory
reporting under Knowledge Manager (kindly refer to user guide for steps)

2.Refer to user guide for the steps involved in generating the report

3. Once all the details are inputted. Click on the Get GO AML report

4. After clicking on the Get GO AML report input the details and click confirm

5.The report details are displayed on the right top of the screen with the xml report attachment
FCM Demo User Guide

6. Click Download Xml to view the report details in XML format.

Electronic SAR/CTR reports for FinCEN

The Suspicious Activity Reports (SAR) functionality helps the banks to generate and submit reports in a
standardized format required by the relevant Financial Intelligent Unit (FIU). Banks are required to submit
SAR and Currency Transaction Report (CTR) to FIUs according to the country or jurisdiction specific
rules and specifications. In general, FIUs require as much information as possible about suspicious
activities and parties involved, which the banks derive from underlying transactions, available customer
data, and the bank’s own information gathering and investigations.The Financial Crimes Enforcement
Network (FinCEN) offers the BSA E-Filing system to FIUs, which allows them to receive SARs and CTRs
from banks in an internationally standardized format, as single or bulk reports. Banks can either enter the
requested data directly in a web interface or upload the generated XML report(s) through an upload
interface, both provided by local FIU. The Regulatory Reporting functionality allows banks to generate
report in XML format, which can be uploaded in the FIU portal in a later stage.

1. Configuring Parameters for Suspicious Activity Report and Currency Transaction Report
(FinCEN)

1.1 The SAR functionality requires the two rules be added in Configuration >Authorization &
Workflow>FRAMEWORK.INVESTIGATE.

1.1.1 Action Rule: The following action rule should be added in FRAMEWORK.INVESTIGATE rule
base.
 SarCtrReports.add
 SarCtrReports.update
 SarCtrReports.delete
FCM Demo User Guide

3.2 Interface Rule: The following Interface rule should be added in FRAMEWORK.INVESTIGATE rule
base

 Add interface SAR/CTR

 Add Interface Suspicious Activity reports

Once the rule made active we can fine Suspicious activity report under Knowledge manager
FCM Demo User Guide

4.Creating Suspicious Activity Report and CTR Report (please refer to the User guide)
SAR Report

After Inputting the parameters, we can generate Fincen SAR Report

CTR Report

After Inputting the parameters, we can generate Fincen CTR Report

FCM Demo User Guide

Profile Interface and Visual Charts

The FCM Profile Alert Managers are enhanced with the following two panels.

Pre-configured Displays complete customer and operational data for an accurate evaluation.
Dashboard for Alerts FCM can show detailed and improved alert details for users to make decisions
on Profile alert evaluation.

Pre-configured Provides a concise view of the transaction and profile counts/values. This pre-
Dashboard for Items configured dashboard is provided out-of-the-box.

2.Configuring Parameters for Interface and Visual Charts:

- The Dashboard.share action rule needs to be added in FRAMEWORK.DASHBOARD rule base to share
the charts with other users

*Navigate to FCM Home pageConfigurationAurthorisations&WorkflowFramework.Dashboard

*Authorize the rule from the other login and accept the changes

3.System Preference
FCM Demo User Guide

The following table lists the preference to be set to enable visual charts in alert managers.
Charts Library (If existing do not duplicate)
Navigate to FCM Home MenuConfigurationParametersSystem SystemPreference

Raw Value: {"cellCount": 7,"name": "profile dashboard","panelConfigs": [{"class":

"com.viveo.ingissa.alert.web.fraud.charts.Prof ileAlertTotalTransactionsGraphConfig","descrip tion":
null,"modelClass": null,"name": "Total
Alert Transactions","sequence": 1,"class":
"com.viveo.ingissa.alert.web.fraud.charts.Prof ileAlertTotalTransactionsGraphConfig","paramet ers":
[],"systemPanel": true},{"class": "com.viveo.ingissa.alert.web.fraud.charts.Prof
ileAlertStatusGraphConfig","description": null,"modelClass": null,"name": "Alert
Status","sequence": 2,"class":
"com.viveo.ingissa.alert.web.fraud.charts.Prof ileAlertStatusGraphConfig","parameters":
[],"systemPanel": true},{"class":
"com.viveo.ingissa.alert.web.fraud.charts.Prof ileAlertTransactionsGraphConfig","description" :
null,"modelClass": null,"name": "Alert Transactions","sequence": 3,"class":
"com.viveo.ingissa.alert.web.fraud.charts.Prof ileAlertTransactionsGraphConfig","parameters":
[],"systemPanel": true},{"class":
"com.viveo.ingissa.alert.web.fraud.charts.Prof ileTransactionTypeCountGraphConfig","descripti on":
null,"modelClass": null,"name": "Alert Transaction Types","sequence": 4,"class":
"com.viveo.ingissa.alert.web.fraud.charts.Prof ileTransactionTypeCountGraphConfig","parameter s":
[],"systemPanel": true},{"class": "com.viveo.ingissa.alert.web.fraud.charts.Prof
ileQuartersGraphConfig","description": null,"modelClass": null,"name": "Item Transactions","sequence":
5,"class":
"com.viveo.ingissa.alert.web.fraud.charts.Prof ileQuartersGraphConfig","parameters":
[],"systemPanel": true},{"class":
"com.viveo.ingissa.alert.web.fraud.charts.Prof ileTransactionTypesGraphConfig","description":
null,"modelClass": null,"name": "Item Type
Transactions","sequence": 6,"class":
"com.viveo.ingissa.alert.web.fraud.charts.Prof ileTransactionTypesGraphConfig","parameters":
[],"systemPanel": true},{"class":
"com.viveo.ingissa.alert.web.fraud.charts.Prof ileWeeksGraphConfig","description":
null,"modelClass": null,"name": "Item Detail
Transactions","sequence": 7,"class":
"com.viveo.ingissa.alert.web.fraud.charts.Prof ileWeeksGraphConfig","parameters": [],"systemPanel":
true}],"dashboardLayout":
{"rowLayouts": [{"columnsCount": 4,"rowIndex":
1},{"columnsCount": 3,"rowIndex":
2}],"rowsCount": 2},"sequence": 1}

Country Risk Value

3.Working with Interface and Visual Charts for Items and Alerts (Kindy refer to the user guide)
- Consist of Pre configured and Custom charts
- Customizing layouts
- Share charts
FCM Demo User Guide

4. Customising Dashboard:The user can add more charts to the two pre-configured panels above based
on their needs. The user must first create charts in the Charts Library application. The charts will appear in
the dashboard panel that has been pre-configured, as shown in the following screen capture

5.Creating Charts Library

To create your own customised charts library to manage your day-to-day workload

Navigate to Knowledge ManagerDashboards

Please input the details and confirm

Multi Company Multi book

The Profile and SAP alerts can be segregated based on rule condition configured in the rule bases by using
various attributes under message filter. If the Bank has around 1000 branches, which are organized into
100 head offices (Mandators). Each branch can keep its Profile/SAP alerts segregated by using action rules
to control them. It can be done in Profile/SAP alert rule base.For Example:if the “View” and ”Open” actions
required to be restricted by the “currency” message attribute (“View” button to be displayed only for USD
FCM Demo User Guide

currency alerts, and the "Open" button only for EUR currency alerts), the rule conditions should be
enhanced like below: Similarly based on the below sample configured rule we can configure various other
rule for Profile/SAP based on the requirement of every mandators. From FCM model perspective Rules are
configured for Profile /SAP real time. Similarly rule base could be created for Profile/SAP batch alerts as
well. Illustration is given for SAP Real time. For details please refer User guide (Link given below)

Rule Configuration:
Navigate to FCM Home PageConfigurationAuthorisations & WorkflowSelect the rule base

SAP Real time transaction alert :

Coordination.Open

In this case, the user can only have 'open' button for the alerts with currency 'EUR'.

Coordination.View
FCM Demo User Guide

In this case, the user can only have 'view' button for the alerts with currency 'USD'.

Configuration Management
Configuration Management feature allows users to import or export FCM’s active configuration data and
manage it through a Graphical User Interface (GUI).Users can create (export configuration pack) active
configurations (Rule bases, System preferences, Profile & SAP rules, etc.) made locally in a system as a
JSON file. The configuration pack can be shared with other users. To import the configuration pack, the
user must submit an apply request (which follows the four-eye principle, in which one user creates the
pack and another user validates it). Once it is approved by another user, the configuration pack is applied
to the system, replicating the FCM configurations from the sender’s system to the receiver’s system. The
configuration can also be pulled through a web service or API call.
Configuration
The configuration pack is configured by default. No specific configuration required.
Under Configuration pack we will have "Manage Pack" and “Manage Apply Requests” menu option which
can be found under the menu option “Configuration Packs” on the left side navigation section of the FCM
home page.

Manage Packs – It is used to create the Configuration pack and use the export option to download the
Configuration pack as Json file
For Ex: A user in a UAT environment (source system) can export the configuration tested, configured in
UAT environment as a config pack to be received by a user in production environment.

Import Config Pack: For Ex: A user in production environment imports the configurations exported as a
config pack from UAT environment into the production environment.

The imported config pack must be approved by another user to apply the config pack in the system, it will
not be applied or installed without approval.
FCM Demo User Guide

If the config pack is approved, the status is changed to INSTALLED, and the configuration in the config
pack are applied to the system immediately.

CIF PRE EVALUATION

This enhancement is part of FCM Screen module – Watchlist filters for cif batch screening, pre-evaluation
checks. The cif batch screening pre-evaluation factors is a set of checks done by FCM system to discard
confirmed false hits. These checks are activated across FCM system for the whole list of watchlists.
Users can activate this check for either all watchlists or keep it deactivated. This watchlist filter for this
enhancement allows the user to select required watchlists to activate this feature as part of Model
scenarios UN watchlist have been selected.

Configuration:
Involves Updates in existing and new preferences and model changes are updated accordingly
1. /com/viveo/cif/evaluation/defa ults/checks/gender/enabled
2./com/viveo/cif/evaluation/defa ults/checks/gender/compatibilityRatio
3./com/viveo/cif/evaluation/defa ults/checks/birthDate/enabled
4./com/viveo/cif/evaluation/defa ults/checks/birthDate/compatibilityRatio
5./com/viveo/cif/evaluation/defa ults/checks/birthDate/deltaTolerance
6./com/viveo/cif/evaluation/defa ults/checks/entityType/enabled
7./com/viveo/cif/evaluation/defa ults/checks/entityType/compatibilityRatio
8./com/viveo/cif/evaluation/defa ults/checks/nationality/enabled
9./com/viveo/cif/evaluation/defa ults/checks/nationality/compatibilityRatio
10./com/viveo/cif/evaluation/defa ults/checks/fiscalCode/enabled
11./com/viveo/cif/evaluation/defa ults/checks/fiscalCode/compati bilityRatio
12./com/viveo/cif/evaluation/defaul ts/policies/allow
13./com/viveo/cif/evaluation/defaul ts/policies/discard
14./com/viveo/cif/evaluation/defaul ts/policies/evaluate
15./com/viveo/cif/evaluation/defaul ts/thresholds/discard
16./com/viveo/cif/evaluation/defaul ts/thresholds/review
17./com/viveo/cif/evaluation/defaults/checks/gender/applicableWatchList
18./com/viveo/cif/evaluation/defaults/checks/birthDate/applicableWatchList
19./com/viveo/cif/evaluation/defaults/checks/entityType/applicableWatchList
20./com/viveo/cif/evaluation/defaults/checks/nationality/applicableWatchList
21./com/viveo/cif/evaluation/defaults/checks/fiscalCode/applicableWatchList

How it works:
FCM Demo User Guide

1. Import a customer.

2. Once the customer is imported, we could find the customer in KC+ Managed Customers

3. Run the Cif-scan to scan the imported customers. If compatible we will find the alert in Cif alert
manager. If not compatible with respect to preference set alert will not be triggered.

4. For alerts not triggered we could find the details in Knowledge Manager>Investigate>Screen>Cif
History Alerts

Reason Code Configuration for Screening Alert Evaluation

The Reason Codes are the business rationale provided by the Compliance Officers or users in a
Compliance Department to release or reject a particular payment message or customer record.
In FCM system, the user needs to provide reason code at two places:
1.Alert Evaluation Reason Code - Rationale to confirm a particular alert as true or false
2.Message Evaluation Reason Code - Rationale to confirm a particular message as true or false.
A message contains multiple alerts.
Reason Code Grouping
- The evaluation comment drop down can group and display the alert and message evaluation reason
codes.
The advantage of reason code grouping is that itallows the user to establish numerous reason codes
under multiple groups, and then select the appropriate reason codes based on their business needs
during evaluation.
FCM Demo User Guide

Hold for Investigation Reason Codes

- The reason code functionality can be used to create multiple reason codes for holding alerts.
This user guide explains how to configure and use these reason codes with various options.

Configuring Reason Code for Hit and Message Evaluation

1. Go to Configuration → Parameters
2. Select Reason Code from the dropdown

Reason Code for Hit evaluation

Reason code for Message Evaluation

Configuring Hit and Message Evaluation Reason Codes as a Group

The user must enable the following system preference with the raw value of TRUE to get the grouping
option in the reason code page.
FCM Demo User Guide

Request you to please refer the User guide for the steps and configurations to be in place. All model
related rule/reason code/system preference are available and to be activated to check this functionality.

Rule Based Screening

Introduction: The scanning configuration of these (Conditions, Fields, Scan Metods, Watch Lists) values
can dynamically configured in FCM GUI itself. Transaction Detection Rules feature which is dedicated
page included under Screen module. This feature allows you to create multiple rules and each rules can
be included with multiple watchlist sets and method sets .Nevertheless, The static file configuration and
Transaction ScanRuleSet configuration works together in the scan engine.

Configuration:
1.The below pre-configured action rules/Interface rule under ALERT.TRN.COFI (Screen review 2 eyes)
rule base (Added non state related Action/Interface rules for rule based) needs to be activated.

2.Once the Rule base is activated, we can find auto evaluation rules under Screen

New rule set could be created by clicking on the add new rule. Sample rule is created
FCM Demo User Guide

Sample rule condition

Transaction Message Inputted XML Format

<?xml version="1.0" encoding="UTF-8"?>
<scan_request version=" 1.0 ">
<amount>1060.40</amount>
<application_id>SCA</application_id>
<area_code>123</area_code>
<broker_id>123</broker_id>
<cost_center>CCC</cost_center>
<direction>I</direction>
<currency>USD</currency>
<gateway>APAC</gateway>
<id>JIRA6109SQL20265</id>
<mandator>GB0010001</mandator>
<message_format>SWIFT</message_format>
<message_sub_type>XXX</message_sub_type>
<message_type>103</message_type>
<priority>URGENT</priority>
<request_date>2020-12-11T08:00:00.000+00:00</request_date>
<risk_type>COFI</risk_type>
<transaction_number>JIRA6109SQL202205257</transaction_number>
<receiver>CSEBBEBBXXX</receiver>
<sender>CSEBBEBBXXX</sender>
<value_date>20201211</value_date>
<zone_id>Z01</zone_id>
<payload><![CDATA[{1:F01CSEBZAJJBXXX9999999999}{2:I103VIVFDEFFEXXXN}{4:
:70:YUEYONGFU
-}]]></payload>
</scan_request>

Response received
<?xml version="1.0" encoding="UTF-8"?>
<scan_response version="1.2">
<details>
<risk_information>
<hit_count>1</hit_count>
<risk>COFI</risk>
</risk_information>
<risk_information>
<risk>HOBM</risk>
FCM Demo User Guide

</risk_information>
<risk_information>
<risk>HVP</risk>
</risk_information>
</details>
<gateway>APAC</gateway>
<giexp_timestamp>2017-08-31 16.45.48</giexp_timestamp>
<instance_name></instance_name>
<kb_timestamp>2020-02-04 11:25:52</kb_timestamp>
<message_id>JIRA6109SQL20265</message_id>
<non_blocking_flag>BLOCKING_HITS_ONLY</non_blocking_flag>
<server_port>5123</server_port>
<status>HIT</status>
</scan_response>

Scanning Engine

Alert Generated under Transaction Alert Manager

Entry in the watch list: YUEYONG FU.

Name in the payment message: YUEYONGFU.

An alert with a type GIR_CBLS is generated.

FCM Demo User Guide

Custom Labels
Introduction: The FCM has a standard set of labels that are embedded in the product. By this
functionality the Labels could be customised as per the requirement of Client and User understanding
Configuration: The pre-configured Action Rule base under Commons (Added Access to the Custom
Labels) to be activated
Added Global.managelables in the action rules of Commons Rule base as below

Root configuration Id for Labels are configured

Custom labels are saved in the database as Label Configuration Files (via the Parameters functionality)
and is be linked to above Configuration Root

Customise Labels (Replace Regulatory Reporting with Compliance Reporting)

FCM Demo User Guide

Download Standard Labels and search for the Label to be replaced and take the lines which has to be
updated with new label and update the same in File content

Regulatory reporting label updated with Compliance report

Copy the updated file content and paste it in the File content section of Files (Configuration) to check the
functionality of Custom Labels

Click on Reset labels for Customise label to get updated

Customise Labels
FCM Demo User Guide

Contributed transactions report

Introduction: This is a report option to generate a report on contributed transactions for profile/SAP
closed alerts. Contributed transaction here indicates the transactions that satisfies the Profile/SAP rule
and those alerts are closed. The transactions that happened in the profile time period but that did not
contribute to alert generation will not be part of this report.
1. This report generation will be a manual batch job option.
2. The output of the report needs to be retrieved through Knowledge
managerInvestigateSystem:Report. Reports option as a csv file.
Configuration:
The report should be generated through a manual batch job.
The latest FCM version should be deployed
There is no specific configuration needed to get this enhancement

Working with:
Navigate to the below FCM Folder engines/fileloader-deploy-cli/bin, a .bat file,
contributingTransactions.bat is added for windows installation. For linux, a .sh file,
contributingTransactions.sh is added.

Run the below batch file

Format - contributingTransactions.bat -t <RULE TYPE> - START DATE <YYYY-MM-DD> - END DATE
<YYYY-MM-DD> COMPANY <MANDATOR>

contributingTransactions.bat -t SAP.REAL.TRN.ALERT -s 2022-06-01 -e 2022-06-21 -c GB0010001

After a successful run of the batch job, the report can be retrieved from the UI path, Knowledge
manager -→ Investigate -→ system:Report -→ Report file name Contributing Transactions YYYY-MM-
DD HH:MM

Screening Alert Evaluation

Introduction: This functionality is related to Managing Individual Alerts, and it is now possible to assign
individual alerts from Transaction & Customer Alert Manager page and also header panel in Screen
(Message Header Panel Customization in Transaction & Customer Alert Manager), Profile/SAP (Item
panel Customization in both Profile/SAP Batch & Real-Time Alert Manager) and payload panel are
customizable for Transaction & Customer Alert Manager page.
Configuration: Related Preferences for customizable Message header fields, customizable Item panel
on the Profile and SAP (Batch & Realtime) alert evaluation page, customizable customer and transaction
payload message on the alert evaluation page, Also preferences added to enable / disable assign
functionality, to whom the profiles are assigned and rule base is added for Reassign functionality (To be
activated in order to check the functionality)

The below mentioned preferences are added to FCMDB. User Preference are not viewable in the UI and
can be viewed at the backend. Request you to set SYSTEM Preference to ‘TRUE’ for alert assign
functionality as by default delivered as False.
FCM Demo User Guide

Rule base: ConfigurationAuthorisation&Workflow

Activate ‘Added alerts assign action rule’ to enable the functionality

ALERT.CIF.COFI

ALERT.TRN.COFI

Working with:
Customized Payload and Message header fields for FT
The preference is set in such a way that for Funds transfer the value set as highlighted below will not be
available in the message header and payload section
FCM Demo User Guide

Reassign functionality
FCM Demo User Guide

Kindly refer to the User guide for working with illustrations and screenshots.

CIF Smart Screening

Introduction: In CIF Screening,entire customer information is screened against all the entries in giexp file
as abatch process. However, customer information which are already screened need not be screened
against entire watchlist data. Only modified or newly added customer can be screened. Also existing
customer data can be screened against modified or newly added entries in watchlist. In order to enhance
the screening performance, CIF Smart Screening performs the Screening process in two ways:

• Entire Customer Information is screened against new or modified entries in the Watch list
(Delta File)
• Only new or modified CIF record is screened against the entire Watch list data

Configuration:
There is no specific configuration required for CIF smart screening. Install the FCM version 202210
and above.

Working with: CIF smart screening can be implemented by executing the below batch
files:

• cif-scan-only-old-record - This batch file scans the unmodified customer data against modified
(new or updated) entries in watchlist.
• cif-scan-only-new-record - This batch file scans the modified (new or updated) customer data
against full watchlist.

Kindly refer to the User guide for detailed illustration with screenshots explaining the functionality.

Chained Pipeline
Introduction: This is an implementation of a request pipeline that supports no specific protocol. It defines
the general attributes of a pipeline (request type, response type, handler, and handler Options). It is
possible to call chained pipeline by a controlling pipeline that has a chain handler. From FCM 202210
version onwards, this chain pipeline configuration supports additional option of handler Options. A
handler is introduced to select which message type of message is to be processed or not to be processed
by a FCM engine.
FCM Demo User Guide

Configuration:
Using this chainPipeline handlerOptions configuration is optional. If this handler Options is not set then,
all message types would be processed by all the engines configured in the environment.In the model json
configuration below, sample messages types CUS, 103,FT & pacs.008 are used to
describe sample scenarios.
validMessageTypes is to be used for processing by an engine.
invalidMessageTypes is to be used for NOT processing by an engine.

The chained pipeline has additional attribute which is ‘order’ which denotes the order in which the chain
pipeline needs to be executed.
FCM Demo User Guide

Working with:
ChainedScanPipeline – Valid Message set – CUS and 103
CUS Message

No hits in profile and sap server bat for Customer Message type
MT 103
FCM Demo User Guide

ChainedSapPipeline – Valid message set to FT and PACS.008

ChainedProfilePipeline – Invalid Message set to – CUS and 103

Profile server bat

SAP Server bat

Scan engine – No trace of FT

FCM Demo User Guide

MT 202

No hits in scan engine and Profile server bat is getting connected because in ChainedProfilePipeline
invalidMessageTypes set to: "CUS;103"

Association Screening using list group configuration

Introduction:The List Group Configuration functionality allows the users to create a group with multiple
watch lists. In order for the user to quickly determine whether an association is a sanctioned entity or
another group during the evaluation or investigation, this configuration can be used to organize the watch
lists into a group

Configuration:
System preference
FCM Demo User Guide

The Raw value mentioned above is based on the configuration done in the List group
HomeScreenWatchlist ManagerList group configuration.

Rule base
HomeConfigurationAuthorisation & WorkflowWatch
Activate the model rule base (Added list configuration)

Working With:
Entry details of the watchlist individual and associations

Association list in the Alert Manager Screen

FCM Demo User Guide

Using Transact input a watchlist customer (which has association list) to view the association list in FCM
alert manager

Workflow Steering

Introduction: The requirements towards screening of messages derived from different compliance
and risk views requires specific teams and business unites for handling the special cases.

In case a message has various hits covering different compliance and risk topics and must be
addressed to different units or persons. At the moment this can only be achieved via email. This
requires a copy and paste of information, that must be put into a secured envelope to cope with CID
obligations of UBS persons. The workflow steering should support to further automate and digitalize
the process and avoid media disruption which will help to split the alert message based on the hits.
i.e. Based on the illustration provided below If in a Alert Message there are 2 hits (EU and UN). Work
flow steering functionality will split the alert message into two based on the two hits and the
respective analyst working on that particular list will action.

Configuration:
Rule base added: Activate the rule base Screen review 2 eyes (Workflow steering added)
FCM Demo User Guide

System Preference added : Activate the preference to check on workflow steering functionality

Rule conditions
FCM Demo User Guide

Working with:
FT initiated with Transacting parties (HABBASH George listed under OFAC and Kamal Mustafa
Abdallah listed under EU and UN)

Three copies of Alert messages gets created as the transacting parties are listed under OFAC, EU
and UN
FCM Demo User Guide

Id 89115132071 - Kamal Mustafa Abdallah listed under UN

89115132072 - Kamal Mustafa Abdallah listed under EU

FCM Demo User Guide

89115132073 - HABBASH George listed under OFAC

FCM Demo User Guide

Create users under Manage users

Based on the filters set in assigning alerts to users this functionality works. For Working with illustrations
on Assign alerts and Workflow steering kindly refer User guide.