You can start a Customer Due Diligence (CDD) case in three places. The case works the same way wherever you start it.
Where | Best for |
|---|---|
A proposal's Customer Due Diligence step | New work that includes a designated service. The usual starting point |
Identity & AML → Customer Due Diligence | A standalone case for an existing client, with no proposal |
The client record → Identity, AML & Risk → CDD Cases | A standalone case for the client you're looking at |
Why start it from a proposal
It happens at the right time. CDD is done as part of setting up the engagement, before the designated service starts.
Each client gets their own case. A proposal with several clients creates one case per client, shown as tabs.
ID checks go out with the proposal. For individuals, you can request ID verification as part of the same proposal or onboarding.
Start a case from a proposal
Create or open the proposal.
In Setup, turn on Enable Customer Due Diligence. This is turned on for you if the proposal includes a designated service.
Go to the Customer Due Diligence step.
Under Create a Customer Due Diligence case?, choose Required.
Check the Template. It's chosen automatically from the client type.
Click Create case.
If the proposal has more than one client, an Entity scope row shows a tab for each client, marked Case ready or No case. Select each client in turn and create their case.
If CDD isn't needed for a client right now, choose Not required now. You can change this later.
Note: If you turn off Enable Customer Due Diligence on a proposal that includes designated services, OnboardMe asks you to confirm first. CDD doesn't stop you sending or accepting a proposal, so make sure it's done before the designated service starts.
When the client isn't in OnboardMe yet
A brand new client on a proposal isn't a client record until the proposal is accepted. A CDD case needs a record to attach to, so you'll see Client onboarding or existing client required. Choose one of:
Button | What it does |
|---|---|
Create as lead | Creates a lead from the client's name, email and mobile, and links it to the proposal. You can then create the case straight away |
Enable onboarding | Turns on onboarding for this client so the case attaches to their onboarding. Once onboarding creates the client, the case moves to the client record automatically |
Open setup | Takes you back to Setup to link an existing client instead |
Tip: Setting up a new company or trust? See Who to run CDD on: individuals, companies and trusts for which records to create.
Start a standalone case
Go to Identity & AML in the menu and select the Customer Due Diligence tab.
Click New Customer Due Diligence.
Under Select client, type at least 3 characters and choose the client.
Check the Customer Due Diligence template. It's selected automatically from the client type.
Click Create case.
The case opens straight away.
To start from the client instead, open the client, go to the Identity, AML & Risk tab, select CDD Cases and click New Customer Due Diligence Case. The client is filled in for you.
If a case already exists
A client normally has one case per review period. If one already exists, OnboardMe shows Customer Due Diligence case already exists, with the case number and status.
Use existing opens the existing case.
Create new creates a second case for the same period.
From a proposal, View existing lets you look at the other case first. The message tells you whether it belongs to this proposal, another proposal, or was created standalone.
Find a case
All cases are listed on Identity & AML → Customer Due Diligence.
Filter | Options |
|---|---|
Search | Client, email, case number or proposal. Press Enter to search |
Period | Current period, previous period, or All periods |
Status | Draft, Awaiting Client, Completed |
Risk | Low, Medium, High, Not Set |
Approval | Not Required, Not Nominated, Pending Approval, Approved, Changes Requested, Rejected |
Show archived | Include archived cases |
Click any row to open the case. Inside a case you can:
Copy CDD Link to share an internal link to the case with a colleague
Open Proposal, if the case came from a proposal
Archive case, or Restore case if it's archived
A client's cases are also listed on their record under Identity, AML & Risk → CDD Cases.
Change the client linked to a case
If a case is linked to the wrong client, or to no client, open it from Identity & AML → Customer Due Diligence or the client record and click Edit client next to the client name. Search for the right client and click Update client (or Assign client). This works even if the case came from a proposal.
A case must be linked to a client for the client's risk rating to update when the case is completed.
Next steps
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