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Compliance Link

Release Notes

February, 2018 / Version 3.4

Compliance Link Version: 3.4 Release Notes

© 2018 Accuity. All Rights Reserved.

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© 2017 ACCUITY, INC.

All Rights Reserved.

No part of this manual may be reproduced, transmitted, transcribed, stored in a retrieval system, or translated into any language (natural or computer), in any form or by any means without the prior written permission of Accuity, Inc.

No part of this manual may be divulged to unlicensed parties without the written consent of Accuity, Inc.

Information in this manual is subject to change without notice and does not represent a commitment on the part of Accuity. In addition, Accuity may make improvements or changes to this manual and Compliance Link at any time.

By reading or using this manual, you indicate your acceptance of the foregoing.



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TABLE OF CONTENTS

RELEASE HISTORY ............................................................................................................................................ 4

COMPLIANCE LINK V3.4 ................................................................................................................................... 5

COMPLIANCE LINK V3.3.1 ................................................................................................................................ 7

COMPLIANCE LINK V3.3 ................................................................................................................................... 8

COMPLIANCE LINK V3.2.1 .............................................................................................................................. 10

COMPLIANCE LINK V3.2 ................................................................................................................................. 12






















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RELEASE HISTORY

Version Release Date

1.0 10/31/2008

1.1 06/26/2009

1.1.1 10/05/2009

1.2 02/21/2010

1.3 07/23/2010

1.4 03/23/2011

1.5 05/11/2011

2.0 09/26/2011

2.1 11/07/2011

2.2 01/21/2012

2.3 04/16/2012

2.4* 05/21/2012

2.5 09/24/2012

*Not released commercially

Version Release Date

2.6 02/08/2013

2.6.1 05/04/2013

2.7 10/26/2013

2.7.1 01/14/2014

2.8 04/15/2014

3.0 11/07/2014

3.0.1 03/21/2015

3.1 08/22/2015

3.2 09/30/2016

3.2.1 03/09/2017

3.3 08/26/2017

3.3.1 11/01/2017

3.4 02/17/2018



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COMPLIANCE LINK V3.4

Added Functionality

[Automated Screening Manager is an optional module that provides continuous monitoring and delta screening management. A separate license agreement may be needed to add this module as part of the upgrade.]

Automate Screening - Sub-case Type Customization

1. Added the functionality to add and edit Sub-case Types based on Match and List Criteria.

2. Users can configure custom Sub-case Types to Datasets and set up new disposition Workflow.

3. Admins can re-assign cases after making changes to Datasets (without screening).

4. Users can view all Dataset re-assignment history.

5. Users can use the case search screen to search for cases that have custom Sub-cases Types.

Automated Screening – Integration

Accuity has developed a set of APIs and services that allows the retrieval of match information and match status changes from Compliance Link - ASM. This can be used to trigger automated email alerts, application-to-application communication, and other functions. These services will only be available on Accuity’s Intranet version and not on the Accuity - hosted environment.

ASM Notification API

1. Generates notifications based on Sub-case Status changes/additions.

2. Generates notifications when the number of matches in a Sub-case has changed.

3. Generates notifications when a match status changes or a new match is identified.

4. Support of Rabbit MQ as the Message Broker.

Case Management services

1. A new Web Service (with WS-security) is now available to request Case-specific Details (without screening).

2. A new Web Service (with WS-security) is now available to request Match-specific Details (without screening).



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Automated Screening - Import and Screening Web Service Upgrade

1. A new version (v2) of the ASM Web Service (Import and Screening Service) is now available. It will include all of the same functionality as version one, but also supports WS-security.

2. New Web Service Access IDs can be generated in the Compliance Link application (institution summary page) for WS-security (web service authentication).

NOTE: Version one of the ASM web service (Intranet) will continue to be supported. An email will be sent out to current customers informing them of migration options.

Changes

File Upload Process

1. File uploads will now require an extension.

2. Accuity - hosted only allows uploaded files with the following file types: .TXT, .CSV, .ACH, .DOC, .DAT, .ZIP, .AES, .ACHRECEIVE, .DOCX, .RES, .XML, .CWL, .PDF, .JPG.

Note: Customers who are uploading or importing files with extensions not listed above can reach out to our support team ([email protected]) for help.

Note: This feature can be customized by our intranet users based on their import needs.

3. A change has been made for file uploads which puts limitations on the types of compressed files (zipped files) allowed. The following parameters will be enforced on compressed files moving forward.

File Extension Type: .ZIP and .CWL File Extension Types within File: Extensions are restricted to the global white list above Maximum Size Uncompressed: 400 MB Maximum Size Compressed: 8 GB (Compression Ratio of 20:1 Maximum File Count within Compressed File: 1,000 Maximum Levels within Compressed File: 10

Note: Customers who are uploading or importing files Zip files unsuccessfully, can reach out to our support team ([email protected]) for help.

4. A change has been made for file uploads which removes directory control characters during import.

ASM Import and Screening Web Service Enhancements

1. Fixed an issue with screening failures when multiple users are calling the ASM Import and Screening Web Service concurrently.

2. Fixed an issue with screening failures during Good File Migration in ASM.

mailto:[email protected]

mailto:[email protected]



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COMPLIANCE LINK V3.3.1

Changes


Automated Screening Manager Web Service

1. Fixed a bug where custom statuses were not appearing in the Automated Screening Manager Web Service response.

Automated Screening Manager Processes

1. Added a retry mechanism to mitigate the chance of a concurrent record constraint exception during screening process.

2. Added a step to eliminate chance of a concurrency issue during Risk Scorecard retrieval during the screening process.

3. Fixed a bug that did not read the import commit size parameter.

4. Enhanced the NOCHANGE_RECORDS column in the database table CDM_IMPORT_QUEUE to accurately reflect the count of unchanged records during ASM import process.

Automated Screening Manager

1. Fixed a bug in the Case Review screen that caused some cases with Chinese and/or Japanese data to not appear.

Compliance Link – User Security Audit Trail

1. Fixed a bug that impacted the User Security Audit Trail when the total number of users on the application was greater than 2,000 on SQL Server and 1,000 on Oracle.



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Added Functionality


Automated Screening – Case Search/ Sub-case Assignment

1. Added new Case ID “from” and “to” search fields to allow users to search on Case IDs directly or on a range of Case IDs.

2. Added new Search by Date Type field to allow users to search by Input Record Created Date and Date last Updated.

3. Added the Input Record Version Date Column to the Search Results screen.

Automated Screening – Case Review

1. Added new Status Selection drop down to allow users to select a group of matches with the same status at once.

2. Added and expand all/ collapse all button so users can view all matches in a sub-case without having to open each match one-by-one.

3. Added a new profile link for matches that are generated from the other data sources..

Automated Screening – Screening History/ Audit Trial

1. Added a new link to allow users to restart any jobs that have failed or errored out.

File Upload

1. New functionality added to allow for restricted file extension types during screening.

Changes


1. Improved Highlighting for when Input Records include punctuation.

2. Improved the sort of matches within a sub-case to be consistent with the status hierarchy (set-up in the Workflow Configuration).

3. Available statuses for every match within a case is now based on the Sub-case Status instead of the specific match status. Statuses designated as available status in the Dataset Workflow Configuration screen will only be displayed.



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4. The Audit Trail or Screening History panels on the Case Review screen no longer collapses when dispositioning matches.

5. The sort of the records in the Audit Trail or Screening History panel to will now always have the most recent records displayed first (20 records at a time).

6. Fixed a bug that caused the activity not to display in the Audit Trail or Screening History panel when a new line item was added due to manual screening.

7. Fixed a bug that did not display the “Passed-by Rules” tool tip consistently.

Risk Score Card

1. Fixed a bug for when an entity ID is missing from the Add/Change PEP list. The scenario will no longer produce an exception when using the Risk Scorecard during screening

2. Fixed a bug that allows for Risk Scoring Components to be selected without a weight.

Case Management

1. Changed the user permissions to only allow case attachments to be deleted by Administrators or the original user that uploaded it.

ASM Web Service

1. Fixed an issue which ensures that duplicate entity and entity versions are not provided in the web service responses.

Security

1. Fixed Insecure Direct Object References in the Add/Edit User screen and the Global WatchList History screen.

2. Fixed Insecure Direct Object References for screening profiles, Risk Scorecards, Custom Dictionaries, and Character Mapping on the Manage Screening Options page.

Environment Support

1. Included support for WebLogic 12c (12.1.3.)

2. Included support for Tomcat 8

3. Included support for Java (JDK) 8



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Added Functionality


Automated Screening – Screening

1. Added an Automated Screening Manager Process Web Service to avoid duplicate processing of an import, export, or screening.

2. Changed the Automated Screening Manager Web Service logic to only load rules for accounts with Automated Screening Manager active.

Changes

Automated Screening – Fixes

1. Fixed a bug that did not show the correct language based on browser settings in Automated Screening Manager.

2. Fixed a bug that did not display Unicode characters correctly when the entity information is expanded.

3. Added a restriction to not allow duplicate field names in dataset field specifications.

4. Fixed an issue where the required review notes error only appeared for the first entity in Automated Screening Manager Case Review screen.

5. Fixed an issue and eliminated the Full Name Comparison Scoring Component (in the Automated Screening Manager) when matching against a City or Country entity to enhance the Risk Score for those types of matches.

Security

1. Improved handling of CSRF attacks by utilizing improved token checks on all screens within Compliance Link and Automated Screening Manager.

2. Resolved a potential race condition with the user login process.

Case Management/Workflow

1. Improved speed of access to the Manage Folders screen.

2. Improved responsiveness of the Add and Edit Folder screens.



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3. Changed the Batch ID dropdown on the Match/Transaction/Case Review Search screens to only load the most recently screened batches. Clicking on Advanced Search will show all historical batches in the Batch ID dropdown.

4. Improved responsiveness of Match/Transaction/Case Review screens.



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Added Functionality


Automated Screening – Match Highlighting

1. Highlights the Stop Descriptor(s) that have created each entity match in the entities panel.

2. Highlights the specific parts of the current input record version that created each match.

3. When a user clicks on a highlighted Stop Descriptor, the application provides an additional Match Information table which any synonyms used and Fuzzy Logic match percentages.

Automated Screening – Sub-case Workflow

1. Match and User Assignment are now performed at the “sub-case” level, meaning that matches can be grouped based on Match Type: Sanctions (GWL), Politically Exposed Persons & Enhanced Due Diligence (PEPEDD), Private Lists (PWL), or Commodity.

2. Sub-case assignment allows for parallel workflows for the same case – allowing users to be assigned to specific match types.

3. Users are only allowed to change the status of matches within their assigned sub-case.

Automated Screening – Maker/Checker (four-eye review)

1. Users with the Configure Workflow feature set can now set each workflow stage to include “Maker/Checker” option.

2. Maker/Checker workflow can require users within the same group to check each other’s work – also known as four-eye review.

Automated Screening – Regions

1. New concept of Regions introduced which allows additional segregation within datasets for User Groups.

2. Add regions and assign User Groups to regions through the new Region Management screen.

3. Users with ASM Case Admin feature set that are assigned to a region will only be able to search, and re-assign, cases that are within their region. This creates a level of segregation between ASM Case Admins in different regions.

4. Users that require access to all datasets can be assigned to “All Regions.”



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1. Users with appropriate rights are able to inactivate cases through the Case Review screen. This will stop ongoing screening for that input record.

Automated Screening – Lookups

1. Users will always see a hyperlink to the Case Review screen no matter where the case sits in the workflow, but unless the user has been assigned to the case, they will not be able to review matches. This allows the lookup user to utilize the printable page functionality.

Controlled Goods Manager Integration (Optional)

1. Compliance Link can now integrate with Controlled Goods Manager to facilitate dual-use and/or controlled goods screening.

Require Review Notes

1. New Institution parameter to determine whether Review Notes are required when changing the status of a match. Users will be issued an error message if they do not enter a review note.

Changes

Automated Screening – Batch Handling

1. Created additional handling to ensure that multiple ASM Processes do not pick up the same import, export, and/or screening.

2. Addressed issue of stalled batches by ensuring the process would not hang when an error occurs.


1. Replaced Case Status and Assigned User with Sub-case Status and Assigned User

2. Moved Sub-case Status to the left side of the Case Review screen.

3. Centered Case ID, Unique ID, and Dataset Name.

4. Clicking on Save will always reload the page. In previous versions, clicking on Save may page to the next case if the case status is changed.

Automated Screening – Case Search

1. Case Status parameter now looks at Sub-case Status

2. Assigned User, Show all cases assigned to me, and Show all available cases use Sub-case Status and Sub-case Assignment.

3. Split Case Search and Sub-case Assignment for users with ASM Case Admin feature set. Sub-case Assignment is now a separate link in the sidebar.



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Automated Screening – Workflow

1. New Workflow Configuration screen that contains Sub-case Types, Dataset Workflow, and Assign Hierarchy pages.

Automated Screening – Link to Online Compliance

1. Addressed issue where the link to Online Compliance would be invalid in certain scenarios.

Automated Screening – Manage Datasets

1. Assigns a dataset to a region from the Edit Dataset screen.

2. Edit Dataset screen shows the total active records within the dataset.

Automated Screening – Logging

1. Cleaner logs provided for the ASM Process indicating Batch ID and throughput

2. Additional logs provided when users delete case attachments

Screening Engine

1. Provides configurable option to turn on/off Hiragana-to-Katakana conversion in the Chinese/Japanese Screening Engine

2. Fixed issue where Fast Fuzzy was not able to be turned off

3. Changed the filter logic for 2-character tokens

Environment Support

1. No longer support WebSphere 7.

2. No longer support Oracle 10g.

3. Include support for Oracle 12c.

4. Include support for DB2 v10.5.



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Added Functionality


Automated Screening – Case Search

1. Search on any field within an input record to identify cases.

Automated Screening – Good File Migration

1. Check the existing Compliance Link Good File during Full v. Full screening in Automated Screening Manager for Good File records. Any matches that have already been dispositioned in Compliance Link will be automatically marked as “Passed by Good File.”

Automated Screening – Reporting

1. Create an electronic comma-separated reports from the Case Search results screen containing information about the current status of input records.

2. New Export function added to background Java program.

Changes

Screening

1. Changes to the Fuzzy Logic screening engine to optimize performance and shorten screening time.

2. Fixed defect in False Positive Reduction Rules in Automated Screening Manager that did not allow for specific Match Types.

3. Fixed a defect when handling special characters in Automated Screening Manager Lookup.

Automated Screening – Import

1. Changes to the import buffering allow for import to start sooner and handle larger datasets.

Background Processes

1. Combined Import, Screening, and Export programs into one background program to ease installation and share resources.

2. Batch Thread (for Intranet customers) has been updated to reflect the changes to the background Automated Screening Manager processes.



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Added Functionality


Automated Screening – Web Service

1. Screen and import records to a dataset in real-time using a new Automated Screening Web Service.

Automated Screening – Lookup

1. Perform ad hoc lookups to perform real-time screening and add, or replace, records to a dataset through an online interface.

2. Search for and retrieve existing input records within a dataset for easy editing.

3. Limit user access within Lookup to each dataset based on user groups.

4. Toggle between datasets within Lookup if the user has access to more than one dataset.

Automated Screening – Reporting

1. Create a printable page of a single case, including Input Record History, Match Information, and Audit Trail data from the Case Review screen to report on matched and un-matched input records.

Automated Screening – Changed Record Handling

1. Limit matches returned with a “Changed” status when fields from the input record have changed based on a change to a dataset-level parameter.

Changes

Case Management

1. Expanded the limit on input record field length from 600 bytes to 4,000 bytes. Anything greater than this limit will be truncated.



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Added Functionality


Automated Screening – Import/Screening

1. Create datasets to store full input record files for ongoing screening.

2. Create Screening Instructions for datasets that allow for configurable screening options based on screening fields, algorithms, False Positive Rules, and watch lists.

3. Import input record files into datasets through the interface and, optionally, through SFTP.

4. Automatically screen added and changed input records against full watch lists when a dataset import has completed.

5. Automatically screen added and changed watch list records against all input records when a watch list is loaded into Compliance Link.

Automated Screening – Case Management

1. View matches consolidated to a single case for each input record.

2. View watch list entities consolidated across lists in the Case Review screens for Automated Screening cases.

3. Assign specific users to cases based on distributed assignment (Automatic) or self-selected assignment (Sign Out) assignment methods.

4. Restrict the match review statuses available to users based on the desired workflow.

5. Store full audit trail for screening and import history for all records in all datasets, even those without any potential matches.

6. Link to each user’s Available and Assigned Cases for Automated Screening from the Compliance Link landing page.

7. Manually assign/re-assign cases to users.

Automated Screening – Email Notifications

1. Configure email notifications for when an input record file has been imported, using either immediate or daily notifications.



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2. Configure email notifications for when a watch list has been loaded, using either immediate or daily notifications.

3. Configure email notifications for when an automated screening has occurred, using either immediate or daily notifications.

4. Email notifications to users when there are available and/or assigned cases for them to review and configure how frequently users receive these emails from 1-24 hours.

False Positive Reduction Rules

1. Create False Positive Reduction Rules Packs that can contain different sets of False Positive Reduction Rules.

2. Choose which False Positive Reduction Rules Pack to use during custom screening, within Screening Profiles, Screening Instructions and AutoFTP.

Changes

Case Management

1. Addressed bug where entities were being incorrectly displayed as Passed by Rule in Transaction View.

Environment

1. Allowed for encrypted database connection passwords during installation.



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Added Functionality

Screening

1. Addition of the Chinese/Japanese Screening Engine means that Compliance Link can now screen data in Chinese, Japanese Kanji, Hiragana and/or Katakana character sets against Global WatchList data stored in the those character sets.

2. Added ability to handle Chinese and Japanese characters in the Full Name Comparison Risk Scoring component.

3. Added ability to compare and map Chinese and Japanese characters in the Associated Country Risk Scoring component.

4. Entity field labels are shown in Chinese or Japanese when the local browser’s language setting is Chinese (Traditional/Simplified) or Japanese.

5. Prioritize specific types of batches using Batch Thread profiles, configured within the BATCH_SIZE table based on size of the file (in bytes), use of Fuzzy Logic (Y/N), and/or whether the file is zipped (Y/N).

False Positive Reduction

1. Matches marked with a “Changed” status now include details about what caused the “Changed” status (e.g. “Entity ID(s) added: 12345, 67890”) in the Review History.

2. Entities within a match that meet the criteria of a False Positive Reduction Rule will be sorted to the bottom of the Match Review screen and provide a link showing which False Positive Reduction Rule passed the entity.

Changes

Compliance Link Web Service

1. Streamlined the properties files by moving some common properties from wsdb.properties to wsapp.properties.

Case Management

1. Provide the ability to limit the types of documents attached to cases by defining extensions in db.properties file.



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Changes

Risk Scoring

1. Changes to Risk Scoring calculation that will display matches that have a Risk Score of 0% or less than 0% as 0% on the Match Review Screen.

2. Risk Score will only appear as N/A when a Risk Scorecard was not selected or no comparison can be made between the input record and watch list entity.

Commodity Screening Engine

1. Addressed an issue when certain input data would cause errors within the Commodity Screening Engine.



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Added Functionality

Screening

1. Addition of the Cyrillic Screening Engine means that Compliance Link can now screen data in Cyrillic against Global WatchList data stored in the Cyrillic character set.

2. Multiple-engine Support provides the ability for screening multiple character sets within a single input data file.

3. Added ability to handle Cyrillic characters in the Full Name Comparison Risk Scoring component.

4. Added ability to compare and map Cyrillic characters in the Associated Country Risk Scoring component.

5. Compliance Link now uses the Parent-ID XML data format which consolidates associated entities on the Match Review screens and allows Unicode data storage. MLGWLXML is still valid and acceptable for private lists created in Private File Creator.

Global WatchList data files loaded through the interface must be in MLUPIDGWL.zip format. Data files loaded through the directories can still be MLGWLXML or MLGWLXML2 formats.

6. Private watch list files from Private List Manager can be added as either full or add/change files.

7. Entity field labels are shown in Russian when the local browser’s language setting is Russian.

8. Upgraded to most recent version of Lucene for Fuzzy Logic screening.

Private List Manager

1. A new web-based module allows the creation and management of private watch lists called Private List Manager based on Compliance Link User Management.

2. Private List Manager provides the ability to create private watch lists with Unicode data and produce the Parent-ID XML data format.

3. Private List Manager allows for users to create Add/Change files of private watch list data.

Security

1. Compliance Link accounts can be configured to only allow login from specific IP addresses or IP address ranges.



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2. New validation on passwords that does not allow passwords that contain the User ID, first/middle/last name, and/or Account Name.

Environment

1. Added support for SQLServer 2012.

2. Added support for IBM WebSphere v8.5.

Changes

Case Management

1. Addressed issue where Save & Next button would disappear after attaching or deleting documents to a case.

2. Changed the way the operators, “Does Not Contain” and “Contains None Of”, in False Positive Reduction Rules work when multiple fields in entity data are being compared. Now as long as one of the fields contains the required string the match is not marked as “Passed by Rule.”

3. Expanded the database fields for entity text to accommodate matches with more than 4,000 characters.

4. The standard Matches Statuses of “False Positive (Good)” and “True Match (Blocked)” have been changed to “False Positive” and “True Match” respectively.

Security

1. Removed Password Hint

Environment

1. Compliance Link Web Service configuration file, ApplicationContext.xml, is now split into two files; one specifically for connecting to the database called wsdb.properties and one for application parameters called wsapp.properties.



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Added Functionality

Account Management

1. Compliance Link Accounts/Institutions can now have the Commodity Screening module, including Commodity List Manager, activated as an account setting.

Commodity Screening

1. Commodity List Manager now supports importing of Accuity-created MLCWLXML.CWL data files.

2. Added functionality to manage synonyms and synonyms groups for Commodity watch lists.

3. Commodity Screening Engine fuzzy threshold is configurable as a java environment variable.

Changes

Commodity Screening

1. Extractions from Commodity List Manager now use synonyms created from the interface and stored in the CLM database, rather than the static syn.xml data file.



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Added Functionality

Screening

1. Provides ability to perform Commodity Screening by screening against Commodity Watch List (CWL) files created within Commodity List Manager simultaneously with Global WatchList (GWL) screening.

2. Added three new data types in File Specifications specifically for Commodity Screening:

Commodity Name Commodity Routing Commodity Country

3. Added a new match type, CWL, for all Commodity matches.

4. Provided capability to use False Positive Reduction Rules on CWL matches.

5. Routing.txt data file used to map all fields as Commodity Routing to ISO-2 digit country codes for use in Commodity Screening.

Watchlist Management

1. Created a new module called Commodity List Manager, to allow for management of

commodity entities, sanctioned (embargoed) countries, and commodity lists, as well

as creation of CWL files to be loaded into Compliance Link.

2. Ability to upload Commodity Watch List (CWL) files as Private Lists.

User Management

1. New feature set called Commodity List Manager which can be assigned to User Roles.

This allows users to access the Commodity List Manager module to create CWL.



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Added Functionality

Screening

1. Provides ability to perform Delta Screening by screening only against the most recent watchlist updates.

2. Allows for child accounts to upload their own private watchlists generated by Private File Creator for screening purposes. Private watchlists are automatically assigned to child accounts and do not have to be subscribed by the parent.

3. Tuned the phonetic (Soundex, Metaphone, Double Metaphone) matching algorithms to greatly reduce the number of false matches.

4. Modified the Full Name Risk Scoring Component to be compatible with Chinese-to-Chinese screening.

Watchlist Management

1. Added Global WatchList History page providing the ability for authorized users to monitor status and updates of watchlists within each account.

2. Allows for child accounts to upload their own private watchlists for screening purposes.

3. Facilitates the upload of Accuity’s Adds and Changes MLGWLXML2 files in addition to full files to enable Delta Screening.

Reporting

1. Allows users to save and re-use electronic report templates, as well as create electronic reports out of existing templates.

2. Added the Risk Score and Matched Field options to the Run Reports screen.

3. Allows users to export reports on Global WatchList update history.

User Management

1. Added new feature set called Manage Private Lists which can be assigned to User

Roles. This allows users to upload private watchlists to Compliance Link.

Changes

Infrastructure

1. Changed the structure of the database to store field names separately to increase

database and front-end efficiency.



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Added Functionality

Reporting

1. Added an Institution’s Application Audit Trail report which logs all changes to application parameters including Screening Profiles, Institution Information, Risk Scorecards, and general application settings.

2. Added a User Security Audit Trail report which logs all user-related security items, including changing of user roles, user information, locked out users, etc…

3. Advanced Search function allows for customized searches on Input Record information, Stop Descriptor, Risk Score, and GWL information.

4. Added customized electronic reports to the Run Reports screen, which will create a zipped file containing .csv files containing user-selected fields. The reports are created in the background, saved for up to 7 days, and can be downloaded from the Download Reports screen.

Case Management

1. Compliance Link Review users now able to attach documents to matches, transactions and cases for review.

2. Ability to mark multiple matches within a case as a different status, no matter what the current status.

3. Added the ability to sort matches, transactions, and cases using column headers within Inbox and Search Results screens.

4. Added Save and Save & Next buttons to the Transaction Review and Case Review screens, when the user has run a Transaction Review Search or Case Review Search accordingly.

Screening

1. Ability to Select/De-select all lists when screening and creating screening profiles.

2. Upgraded to most recent version of Lucene for Fuzzy Logic screening.

User Management

1. New User Management module allows for user-created Custom User Roles that allow more granulated access restriction within the interface. Compliance Link’s standard User Roles will still be used and can be combined with Custom User Roles.



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2. Compliance Link can now be configured to use Single Sign-On (SSO) functionality. This requires an engagement with Accuity’s Professional Services Group (PSG).

Changes

Case Management

1. Users will see the side-by-side review screens by default instead of the top-bottom review screens. Users can still toggle between the two from the review screen pages.

2. All users must now be assigned to a folder to access matches located within the folder. Previously, users with Administrator or Supervisor privileges were able to access matches within a folder marked as Private. To ensure users do not lose access to matches during the upgrade process, all Administrators and Supervisors will automatically be assigned to all Private folders.

3. Search results will only include matches within Public folders and Private folders to which the searching user has been assigned.



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Added Functionality

Risk Scoring

1. Eliminated the Full Name Comparison Scoring Component when matching against a City or Country entity to enhance the Risk Score for those types of matches.



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Added Functionality

Screening

1. Added additional application parameter to enable “Fast Fuzzy” screening which increases throughput and reduces false positives by assuming one token from both the input string and Stop Descriptor begin with the same letter.



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Added Functionality

Screening

1. Screening Profiles allow for screening configuration/settings to be created and saved as a profile. Screening Profiles are managed by means of the Manage Screening Options screen.

2. The Screen File screen prompts for File Specification, File and Screening Profile.

3. Custom Screening allows for screening without using a Screening Profile.

4. Added three phonetic screening algorithms

Soundex Metaphone Double Metaphone

5. Fuzzy Logic threshold is configurable within the interface for Screening Profiles and custom screening.

6. A new parameter, Data Type, has been added to File Specifications which specifies what type of data (Individual’s name, Date of Birth, etc…) is present in each field.

7. Character Mapping files can now be uploaded within the interface via the Manage Screening Options screen.

8. Synonym Dictionary files can now be uploaded within the interface via the Manage Screening Options screen.

9. Character Mapping files can now be chosen within the interface for Screening Profiles and while performing a custom screening.

10. Synonym Dictionary files can now be chosen within the interface for Screening Profiles and while performing a custom screening.

Risk Scoring

1. Addition of Risk Scorecards which produce a Risk Score for each entity associated with a matched Stop Descriptor. Risk Scorecards contain three default Scoring Components:

Full Name Comparison Year of Birth Comparison Associated Country Comparison.



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2. Each Stop Descriptor match is assigned a Risk Score, which equals the maximum Risk Score calculated based on the configured Risk Scorecard for the batch screening or Web Service call. Each entity associated with the Stop Descriptor has a Risk Score calculated and is visible on the review screens.

3. The Risk Score for each match is shown on the Match Search Results screen and Match Inbox screens when available.

4. Entities are now ranked in order of highest Risk Score to lowest Risk Score on all review screens.

Case Management

1. Ability to create multiple clause Assignment rules.

2. Create Assignment Rules based on the Risk Score.

3. Create Assignment Rules based on the Match Score (Stop Descriptor Match percentage).


1. Create False Positive Reduction Rules (FPRR) using the Match Type (PEP v. GWL) as a Match parameter.

2. Create FPRR using the Match Score as a Match parameter.

3. Ability to create FPRR based on the Risk Score.

4. Ability to create FPRR using additional criteria from Global WatchList (GWL) entity information

Entity Name Associated Country Date of Birth (DOB) PEP Level PEP Sub-category

5. Added new Customer Data clause that uses additional operators

(Does not) Contains (Does not) Ends With (Does not) Start With (Does not) Equal Contains Any Of Contains None Of

6. Additional operators available for Entity Data clause described in 4.



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Environment

1. Ability to configure application parameters from the interface with the Operator role. Save different configuration options as profiles.

Changes

Screening

1. Advanced Matching Option now known as Fuzzy Logic.

2. Fuzzy Logic now counts transposition of letters as one “edit” in the Edit Distance calculation.

3. Fuzzy Logic now uses the length of the full Stop Descriptor as the denominator as opposed to each token in the calculation of the Fuzzy score.

Match Management

1. The Matched Field is no longer highlighted on the Match Review screen.


1. Split up the Rule Clauses section on the False Positive Reduction Rules screens into Clauses Based on Entity Data and Clauses Based on Customer Data.



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Added Functionality

Environment

1. Compliance Link is now fully compatible with IBM WebSphere v7 Application Server. This offers greater flexibility for housing Compliance Link in different environments, depending on internal standards.

User Authentication

1. Compliance Link allows for use of the Lightweight Directory Access Protocol (LDAP) to

authenticate users against an External Authentication system. Authentication-type

(Compliance Link or External Authentication) will be set on a Compliance Link user-

by-user basis. Now, Compliance Link will be able to recognize/utilize password

standards set in an External Authentication system, and reduce the burden of

memorizing separate passwords to enter the application.

Changes

Automated Screening

1. Compliance Link’s SFTP Automated Batch Screening process now uses the Advanced Matching Algorithm (AMA1) setting configured in the web.xml configuration file.

1 The Advanced Matching Algorithm was discontinued as of Compliance Link v2.0.



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Added Functionality

Reporting

1. Compliance Link now has a Dashboard which contains 4 reports:

Match Rate – Shows the match rate for the last 25 batches screened. Work Aging – Lists the number of “Overdue” items for each folder, sorted by total number

of Overdue items. User Activity – Lists the number of matches a user has reviewed over the last 15 days,

sorted by total number of match changes. Folder Activity – Lists the number of matches that have been changed in each folder,

sorted by total number of match changes.

Batch Maintenance

1. The Batch Maintenance screen now shows the Batch Filter functionality. Allowing users to search for specific groups of batches to be displayed on the screen.

2. The Batch Maintenance screen now allows for the export of batch information to .csv.

Case Management

1. Folders can now be assigned timers, or SLAs, from the Edit Folder screen. This is the amount of time a match can sit in the folder unworked before it is considered Overdue.

2. The Inbox screen now shows the Folder Timer and a link to Overdue items.

3. The Match Inbox screen now has a column for Overdue, which will display an Overdue symbol when the SLA for that folder has been passed.

4. The Match Review screen will display an Overdue symbol when the match is Overdue.

Searching

1. The Match Search screen now has the search option of Overdue/Not Overdue.

2. The Transaction Review Search screen now has the search option of Overdue/Not Overdue.

Changes

Environment

1. Compliance Link now uses Java FACFilter v3.2 which is now fully compatible with updates of Java up to version 6.0.24. Accuity testing uncovered FACFilter compatibility issues with newer version of Java JDK.



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Added Functionality

Match Management

1. Compliance Link now has Transaction Review, allowing customers to view all matches from a single input record or transaction. Transaction View does not retain historical matches like Case View.

2. Case Management customers can now create their own customizable Match Statuses in addition to the standard, automatically-assigned Match Statuses. These configurable statuses can then be used in conjunction with Forwarding Rules in the Case Management module.

3. For all instances, within Compliance Link, where a match status is displayed an indicator designating each match as either PEP or GWL will also be displayed. The indicator will conform to the following criteria.

The PEP/GWL Indicator can be used as criteria for searching and reporting.

4. Within the Match, Transaction, and Case Review screens, users can now “wrap” and “unwrap” entity text. Entity details can appear as a block of text (“wrapped” or with each entity text data element (address, DOB, aliases, etc.) on its own line.

5. On the Case Review screen the user can click a button to expand all collapsed matches. When matches are expanded the user can click a button to collapse all but the first match.

6. Compliance Link now displays a message at the top of the page if a user opens a match that has been recently viewed by another user. These records are considered “in-use” and the following message will appear, “This record was opened by user [user_name] ‘x’ minutes ago [date/timestamp]”.

Reporting

1. A new Print Page button will be provided for the user to print the review screen. This will be accessible in the Compliance Link Review screens. The generated report will contain the open entity, including all information on the screen when the user scrolls from the top to the bottom of the screen and full GWL/PEP entity text information. All the collapsed items will be expanded and the navigation panel will be excluded. The User Name, User Group, screening time and date, and PEP and/or individual GWLs used for screening will print at the end of the report.

2. Compliance Link will allow the download of the original batch file screened from the Batch Detail screen. This provides an even tighter audit trail of all records screened within the application.



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Notification API

1. Customers using the Notification API can now customize their Notification Settings within the interface from the Edit Folder screen.

Changes

Match Management

1. The standard Matches Statuses of “Good” and “Blocked” have been changed to “False Positive (Good)” and “True Match (Blocked)” respectively.



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Added Functionality

Payments Screening

1. Compliance Link now contains file specifications for many standard payment formats (US Domestic ACH, US Fedwire, and SWIFT) to be used in batch screening from the user interface.

2. Added support for IAT returned transaction type to the existing IAT-only file specification within Compliance Link.

Localization

1. Compliance Link has been “localized” to allow customization of the user interface. Languages other than English can now be displayed in the interface.

Changes

Environment

1. During startup, Compliance Link checks many application parameters for configuration issues. For example, Compliance Link checks to be sure that every directory set in web.xml exists, and that true/false parameters are either "true" or "false". Now, additional information to identify Java environment settings, such as free memory, database type, etc… is logged. This will assist diagnosing a broader range of potential issues.

2. Compliance Link is now compatible with SQL Server 2008.

Security

1. After logging off, users can no longer use the back button on their web browser to access the application.



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Added Functionality


1. Compliance Link’s screening filter handles non-standard ASCII characters, such as letters with umlauts, with a character mapping file that will replace the non-standard ASCII character with a pre-configured letter. This type of character mapping has been added to text within False Positive Reduction Rules in Compliance Link 1.1.1.

Changes

Security

1. The cache control directives in the HTTP headers have been altered to ensure that pages are not cached. This means that using the back button will work, but the user will see nothing but expired page warnings. In addition, none of the content will be cached to the browser's disk cache.

2. Users now receive a warning message on the login page if they attempt to log in a second time when they already have an active session.

Fixes

Case Review Search

1. The defect that caused some cases to be omitted from Case Review Search has been fixed.

Export CSV

1. When exporting very large numbers of matches to a comma-separated value file, some of the records were omitted. This defect has been fixed.



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Added Functionality

Good File Processing

1. The flexibility of Good File has been increased by adding the option to check all fields marked as “screening fields” in the file specification for changes. Compliance Link 1.0 only offered two options. Either to check all the fields in the input record or check no fields in the input record. This allows records that have changes in irrelevant fields to still be considered as “Passed by Good File” while checking for changes in relevant screening fields. This feature has also been added to Compliance Link Web Service 1.1.

Notification API

1. The manner in which Compliance Link communicates to the outside world, or other applications, has been greatly enhanced with the release of Compliance Link 1.1. Accuity has developed an API that allows the retrieval of match information and match status changes from Compliance Link. This could be used in triggering automated email alerts, application to application communication, and other functions. Accuity’s Strategic2 Services Group can be leveraged to assist in developing additional functionality utilizing this new feature.

2 Name changed from Strategic Services Group to Professional Services Group

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