goaml PILOT STAKEHOLDER USER GUIDE REGISTRATION

Transcription

1 goaml PILOT STAKEHOLDER USER GUIDE REGISTRATION

2 FINANCIAL INTELLIGENCE CENTRE REPUBLIC OF SOUTH AFRICA Private Bag X177, Centurion, Objective of this guideline The objective of this guideline is to define and outline in detail the steps to be followed when registering with the Financial Intelligence Centre (the Centre). To access the registration web form, the reporter must first register with the Centre at Legal Disclaimer The FIC reserve the right to amend, modify or change the contents of this document during the testing. Definitions The guideline must be read in conjunction with the FIC Act and the Regulations for definitions of terms used in the guideline. In this guideline, unless the context indicates otherwise: FIC Act refers to the Financial Intelligence Centre Act, 2001 (Act No 38 of 2001), as amended. Regulations refer to the Money Laundering and Terrorist Financing Control Regulations made in terms of section 77 of the FIC Act and promulgated in Government Notice 1595 of 20 December 2002 as amended. A Compliance Officer (S43CO) refers to the person who is, in terms of section 43(b) of the FIC Act appointed by an accountable institution with the purpose of overseeing compliance with the FIC Act by the institution and its employees. In the registration process, the S43CO is tasked with the duty to ensure that the details of the accountable institutions are correctly submitted on the Centre s website. A money laundering reporting officer (MLRO) is envisaged to be a person, other than the S43CO, with the responsibility and authority to submit intelligence reports to the Centre on behalf of Page 2 of 32 version 1.3

3 the accountable or reporting institution. MLRO will have his/her own login credentials, he/she will/should not be using the S43CO s credentials to fulfil this role. AI/RI refers to Accountable and Reporting Institutions. Important information to remember when registering on the Centre s goaml system: An organisation must register one Compliance Officer (S43CO) only; there is no restriction on the number of money laundering reporting officers (MLRO s) an institution can register; The first person to register on the entity s behalf should be the Compliance Officer (S43CO); All fields with an asterisk (*) are mandatory and should be completed as part of the registration process; All registrations will have to be approved by the Centre prior to activation; The Compliance Officer (S43CO) will have to approve all MLRO registrations prior to the Centre s final approval; Supporting documents such as an identity document and authorisation letter will have to be attached as part of the registration process. Every AI/RI must register in the prescribed manner as previously communicated in PCC 05 Page 3 of 32 version 1.3

4 Table of Contents 1. Introduction Prerequisites Adding goaml URL to the trusted sites Enabling Pop Ups Adding goaml to Favourites Add a Shortcut for goaml to Desktop goaml Web Icons goaml Web Registration on goaml Register An Organisation Registration Type Registering An Organisation Details Registering organisation details are added as follow Phones organisational phone numbers Address The entity address Reporting Obligation select the relevant Supervisory Body for the registering AI/RI Registering Person Details Attachments Approving an Organisation Registering As A Person Registration Type User Request Management (Register As A Person Approval) Notifications Logging onto goaml Web Forgot Password Delegation goaml Web Create New Delegating Organisation Change Selected Delegating Organisation Recall Delegation Accountable / Reporting Institution Process Flow goaml Support Page 4 of 32 version 1.3

5 1. Introduction goaml is an integrated software solution developed and maintained by the United Nations Office on Drugs and Crime (UNODC) specifically for use by Financial Intelligence Units (FIUs) around the world. The Centre has chosen goaml as its preferred IT platform to handle all its reporting, data collection, analysis, case management and secure communications required for the Centre s daily operational functions and requirements. In terms of Section 43B of the FIC Act, Accountable Institutions and Reporting Institutions are required to register with the Centre. 1.1 Prerequisites goaml runs within Internet Explorer version 9 and up, Firefox, Google Chrome but not on Safari. The URL must be added to the trusted sites and pop ups must be enabled to avoid the site being blocked. 1.2 Adding goaml URL to the trusted sites Open Internet Explorer On the top Menu Bar, Select Tools > Internet Options Select the Security Tab Page 5 of 32 version 1.3

6 Select the Local intranet Icon > Click on sites Add website to the zone > click on Add > click on Close 1.3 Enabling Pop Ups On the top Menu Bar > Select Tools > Internet Options Click the Privacy Tab > Click on the Settings button Add to the Address of website to allow > click on Add > click on Close Page 6 of 32 version 1.3

7 1.4 Adding goaml to Favourites Type in web address box Click on the Menu bar > Favourites > Add to Favourites The Add Favourite pop up will display > click on the Add button and goaml will added to the Favourite list. 1.5 Add a Shortcut for goaml to Desktop On the Menu bar > Click Favourites > Right click goaml > Send To > Desktop (create shortcut) The goaml icon as shown will then be available from the desktop Page 7 of 32 version 1.3

8 1.6 goaml Web Icons Icons Description Add Add the captured detail Instructs goaml to cancel the capturing of the details Close Preview Print Remove the uploaded document Refresh Upload a document Approve a registration Reject a registration Verify registration details Finalise approval of the registration Recall to reverse delegation Page 8 of 32 version 1.3

9 2. goaml Web The goaml URL for the pilot testing is When you enter the URL into your Web browser window, the goaml stage page is launched. If the user already has user credentials, the user can just log in with credentials. If not, the user must register in order to be able to use the application. Page 9 of 32 version 1.3

10 3. Registration on goaml All AI/RI s are required to register with the Centre in order to gain access to the system. The AI/RI is required to register their organisations and the associated users who need to access the goaml system. 3.1 Register An Organisation Organisations are required to register on the goaml to gain access to the system and to acquire an organisational identity (goaml Org ID). An organisational ID will be used by an organisation as the unique identifier for that organisation and allows goaml users belonging to that particular organisation to have access to information relating to that organisation. On the Navigation bar > Hover (move) the mouse pointer on the Register link > Click Register As Organisation > The registration screen is loaded and displayed. The Register As Organisation page will display with the Headings to be captured. The headings are Registration Type Registering Organisation Registering Person Attachments Page 10 of 32 version 1.3

11 3.2 Registration Type The registration type gives the goaml users three entity types to select from; Users can select one of the following registration types: Reporting Entity Accountable / Reporting Institutions such as banks, attorneys etc. Stakeholder Entities such as Law Enforcement Agencies and other FIU s Supervisory Bodies Supervisory bodies such as South African Reserve Bank (SARB) and Financial Services Board (FSB) 3.3 Registering An Organisation Details The registering organisation section is for completing the information of the organisation Page 11 of 32 version 1.3

12 3.3.1 Registering organisation details are added as follow Organisation Business Type List of business types (e.g. bank) Name The name of the registered organisation Incorp./Reg. Number Company Registration Number (CIPC) Incorporation City e.g. Pretoria Incorporation Country e.g. South Africa Contact Person Full Name and Surname of the Compliance Officer (S43CO) URL - Organisational Website Phones organisational phone numbers is financial Is it a financial institution (banks, money remitters etc.) Trading As If there is no acronym, re-enter organisation s name Swift /Bic Unique swift code, only mandatory for financial institutions Incorporation State / Province Province Name of holding company Only if associated with holding company Preferably a group account which will be accessible by all authorised users of the goaml EE system or alternatively the Compliance Officer s address (S43CO) Contact Type It can be Business, Operational, Private, Public, Unknown Country Prefix e.g. +27 Extension Numeric (e.g. 5425) Comm. Type It can be Landline, Mobile, Satellite, Number Numeric, digits (e.g ) Comments if any Page 12 of 32 version 1.3

13 3.3.3 Address The entity address Type It can be Business, Operational, Private, Public, Unknown Town Name of town / district as part of a city Postal / Zip The postal code of the city (e.g. 0122) Province / State Name of the province (e.g. Gauteng) Address Physical Address- details like street name, house number etc. City Name of the city Country Name of the country Comments If any Reporting Obligation select the relevant Supervisory Body for the registering AI/RI Please Note: Only one reporting obligation per registration is allowed and should correspond with the business types as per Schedule 1 and Schedule 3 of the FIC Act. Page 13 of 32 version 1.3

14 3.4 Registering Person Details The registration details of the Compliance Officer (S43CO) must be completed. This section registers the individual on the system and goaml saves the username and password during this phase. User Name Is for logging into the system, no duplicates allowed Password Password must be between 5-10 characters, include capital alpha, alphanumeric and special characters (e.g. Goaml321#) Gender Male / Female First Name First name of the user Birth Date Date of birth/ can be typed in from calendar in ccyy/mm/dd format Nationality - The status of belonging to a particular nation, whether by birth or naturalisation Unique business of the user Confirm Password Retype the password Title e.g. Ms / Dr / Mrs Surname / Last Name Surname of the user RSA ID Number 13 digit South African ID Number (e.g ) Occupation Official job title of the user, i.e. Compliance Officer (S43CO), MLRO, Director etc. RSA Passport Number South African passport number Non RSA ID/Passport? If not a South African citizen / resident with RSA ID or Passport Foreign Passport / Foreign ID/ Permit/ Refugee / Residence number Non South African passport / identity number Issuing Country Country where non South African passport / ID document was issued Page 14 of 32 version 1.3

15 Please Note: The contact details provided for the Entity and the Compliance Officer (S43CO) must be the business contact details. 3.5 Attachments Users are required to attach an authorization letter from the entity and a certified copy of the applicable identity document (copy of ID document and/or passport document). To Upload a document > Click Browse button The Choose file to Upload window will display > Select the document to attach from the desired location and click Open The file name will be ready for upload > click Upload. To delete an already loaded document, click the X button. Page 15 of 32 version 1.3

16 Before submitting the request the user has to type the Captcha (sequence of digits that appears on the screen in this case) into the box without making any errors. Please Note: Refresh the captcha code by clicking the arrow, if the registration screen has been opened for a long time amount of time. Type in the numbers as it appears > click Submit Request Once the registration form has been submitted, a notification will be sent to the Compliance Officer (S43CO) informing them of the submitted registration request. The is only confirmation of the registration, the compliance Officer (S43CO) will receive a second notification once the FIC has approved the registration 3.6 Approving an Organisation Once the request has been submitted the FIC will be responsible for authenticating and verifying the registration captured along with the required document attachments and approve/reject accordingly. The Compliance Officer (S43CO) will receive an stating the approval or rejection of the registration. Once the registration has been approved, the Compliance Officer (S43CO) is required to communicate the Organisational ID to users within their own organisation who are permitted to use the system. These users (MLRO s) will be required to register as a person, which is discussed next Page 16 of 32 version 1.3

17 4. Registering As A Person Individuals (refers to all registering users on goaml) will be required to register to get access to goaml web. Users will be linked to organisation by using the organisation id. On the Navigation bar > Hover (move) the mouse pointer on the Register buttons > Click Register As Person > The registration screen is loaded and displayed. The register as organisation page will display with the Headings to be captured. The headings are Registration Type Registering Person Attachments Page 17 of 32 version 1.3

18 4.1 Registration Type If a user is linked to an organisation that is not required to register with the Centre in terms of the FIC Act (i.e. an organisation that is not an AI/RI) but that user is required to submit a report in terms of Section 29 of the FIC Act (e.g. Suspicious Transaction Report (STR) or a Suspicious Activity Report (SAR), then that user must select the Individual User check box so that they can acquire login credentials to be able to report. If a user belongs to an AI/RI then that user must obtain the applicable goaml Org ID from their Compliance Officer (S43CO) and the goaml Org ID must be listed in the applicable field. For Registering Person and Attachment refer to page 14 and 15 Page 18 of 32 version 1.3

19 5. User Request Management (Register As A Person Approval) After logging in, the Compliance Officer (S43CO) will have goaml home page displayed on the information bar On the Menu bar click on the Admin > User Request Management from the drop down list The User Change Requests page will be displayed with the following field Page 19 of 32 version 1.3

20 User Change Requests fields can be searched using the dates fields > Click the Refresh button to load user request for the date specified Start Date Initial date of the user change request End Date End date of the user change request Requests View Type can be used to search by type of request All includes all requests irrespective of status; the different statuses are Active, Pending my actions and In progress Active Active on the system Pending my action Request waiting to be actioned In progress Requests that are in progress User Change Requests fields can be dragged by header to group by column Change Request Ref Used as a referral whilst requesting assistance to the FIC, the number is sent to users by a notification Type New User / Existing User Request Status Options provided are Waiting for Verification / Activated / Rejected / Waiting for Supervisory Body Approval Org Name Name of the organisation linked to the requester Org ID Organisation ID linked to the requester User Name Requester s login user name Created On Date of the request The icons, as displayed below, refer Create new change request (available after activation) Preview used to populate the action page Page 20 of 32 version 1.3

21 Clicking Preview > generates and displays the report form Click the Expand All link to display the complete report, or click the Collapse All link to see the abridged form The information diplayed on the report form must be verified, as well as the attachments (ID and authorisation letter) After verification action must be taken to either Reject / Verify / Approve / Finalize the request and ensure to add Comments The Compliance Officer (S43CO) will be able to Reject / Verify / Approve the request and must ensure to add Comments for each action After the Request has been finalised the user will receive an informing them of the status of the request. Page 21 of 32 version 1.3

22 6. Notifications s will be sent to users for different reasons during registration, users will receive notifications about received registration (refer to page 16) by FIC, acceptance and rejection of the registration. When the FIC is satisfied with the captured registration details and attached documents, the user will be notified by about the acceptance of the registration and the goaml Org ID will be found on the mail When the FIC is not satisfied with the captured registration details and attached documents, the user will be notified by about the rejected registration Registrations will be rejected on goaml for the following reasons: If the reporting entity registers an account without linking a user to the account (i.e. IT reporting accounts) If there is more than one schedule item, as each schedule must be registered individually If the organisation provided incomplete registration forms, or complete the forms with inaccurate information No attachments required to verify registration are included Page 22 of 32 version 1.3

23 7. Logging onto goaml Web Authentication will always be required before gaining access to goaml. The goaml support team is available at should you need any assistance. Enter your user name in the standard format captured during registration Enter your password in the standard format of Case sensitive, Alpha Caps, Alphanumeric, numeric & Char e.g. and click Log In button to proceed. 7.1 Forgot Password Before contacting the goaml support team for a password reset, the goaml system provides users with the Forgot Password link. Click Forgot Password link The Reset Password Request window populates, enter User Name > >Submit Page 23 of 32 version 1.3

24 goaml user will receive an with a link. Click on the link Reset Password Request page will populate Enter User Name / / New Password / Confirm New Password and Click Change Password. New password will be reset. Page 24 of 32 version 1.3

25 8. Delegation goaml Web Delegation on goaml refers to delegating reporting and other compliance functions to another reporting entity. Delegation can be done in two methods namely, a branch/ business unit/ franchise handing over to the head office / group structure or registered organisation handing over their reporting and other compliance functions to another organisation 8.1 Create New Delegating Organisation A large organisation that needs to register different branches/ business units / franchises in terms of PCC05 may opt to utilise the delegation functionality. The decision to delegate will be impacted by the decision of whether or not, the Compliance Officer (S43CO) and Money Laundering Officer (MLRO) will be registered at a head office / group structure level and report and manage compliance functions on behalf of multiple AI/RIs registered as per the FIC requirements. Though the system allows delegation from the head office/group structure, it is possible to register a different Compliance Officer (S43CO) and Money Laundering Reporting Officer (MLRO) at the head office/group level as well as at the respective AI/RI level Please Note: The user must ensure that, they are logged in as the user for the main head office / group account already registered on goaml EE (hence the user needs to logon with the credentials from the first goaml registration which had been approved). After logging in, the Compliance Officer (S43CO) will have goaml home page displayed on the information bar On the Menu bar click on the Admin > Active Organisations from the drop down list Page 25 of 32 version 1.3

26 The Active Organisations page will be displayed with the following field > click the Create New Delegating Organisation Please Note: Create New Delegating Organisation is used to register reporting entities that are not registered already on goaml Page 26 of 32 version 1.3

27 Registration Type window populates > complete the form for the respective reporting entity you wish to register > attach the necessary documents > the FIC will approve / reject the request > notification of the status of the request will be send to the user Please Note: Use unique information for the following fields, Name, Trading As, Incorp. / Reg. Number and . The fields may not have been used previously Page 27 of 32 version 1.3

28 8.2 Change Selected Delegating Organisation A registered organisation on goaml can delegate to another registered organisation, both the delegated organisation and the delegating organisation will be able to report and manage the related compliance functions. This method of delegation will also be used for the following: A already registered branch/ business unit / franchise can delegate its reporting responsibility to the head office/ group organisation Branches/ business units / franchises that are linked to an organisation needs to be delegated to another organisation in the instance of a sale of business or merger for example After logging in, the Compliance Officer (S43CO) will have goaml home page displayed on the information bar. On the Menu bar click on the Admin > Active Organisations from the drop down list The Active Organisations page will be displayed with the following field > click the Change Selected Delegating Organisation Page 28 of 32 version 1.3

29 Please Note: Change Selected Delegating Organisation is used to register reporting entities that are registered Registration Type window populates > select the Change Delegation Organisation ID by clicking the checkbox The Change Delegation dialog box populate > click OK Page 29 of 32 version 1.3

30 The Delegate Organisational ID is populated > Capture the Organisational ID > Attach the necessary documents > Submit Request > The FIC will approve / reject the request > notification of the status of the request will be send to the user 8.3 Recall Delegation After clicking the Submit Request button, the action window populates this window allows the user to recall the delegation > click Recall to reverse the delegation Page 30 of 32 version 1.3

31 9. Accountable / Reporting Institution Process Flow Compliance Officer (Super User ) Provide group address, letter of appointment and ID copy. Accountable / Reporting Institution Register As Organisation FIC - Verify the Organisation Verify and validate against third party source FIC Official FIC - Approve the Organisation Compliance Officer sends Org ID FIC - Finalise the Organisation Register As Individual Money Laundering Reporting Official (MLRO) Compliance Officer Verify Individual Approve Individual Verify and Finalise Individual FIC Official Verify and validate against third party source Registered Individual User Page 31 of 32 version 1.3

32 10. goaml Support For goaml Support Contact us on: Log a web query: Compliance Contact Centre: Page 32 of 32 version 1.3