AML risk rating

The AML risk rating is a holder status only, and is managed from the holder details page. You can find the holder either from the search feature, cap table or investor list, and click on their name to access the Holder details page.

Once you have completed AML/CTF checks on a holder’s associated contacts, you can set the AML risk status: 

1. Click the AML Risk status or navigate to the last tab for investor details labeled AML risk rating.
2. Click Add new risk rating.
3. Complete the New risk rating form and click Add rating.
   • Select a risk rating.
   • Enter a Next review date (optional). This date can be displayed in the All holdings table by enabling the Next review date column.
   • You may add a note and upload a file.
4. Click Add rating. The rating will be displayed in the AML risk indicator.