4.2. The “Assessment Report Overview” Screen
Upon entering an assessment, you will see a screen similar to the one below.
Purpose of the screen - the screen presents the key elements of the assessment and is designed to give you a clear, high-level view of the case. It summarizes the most important information, allowing you to quickly understand the overall status and structure of the assessment.
Screen elements - the screen is arranged in tiles, as described below.
Key Information tile – this tile presents key data about the client, and about the assessment itself.
Key information about the client:
Item | Description / what it denotes |
Client name | the name of the client |
Client type | if the client is an individual or a corporation |
their email address | |
Client country | the client’s country of residence (in case of an individual client) or incorporation (in case of a corporate client) |
Key information about the assessment:
Item | Description / what it denotes |
Assessment status | if the assessment has been completed, is pending, etc. |
Initiated at | the assessment’s creation time |
Initiated by user | the platform user that created the assessment |
Report completed at | the time in which the assessment report has been completed |
KYC profile name | the name of the profile applied in the assessment |
Case reference | the reference key given to the assessment |
Case ID | the unique identifier created for the assessment by the platform |
Regulatory Classification (mPASS™) tile – presents data collected by the mPASS™ module, as follows:
Item | Description / what it denotes |
Client classified as | The categories under which the client has been classified as. Note, the client can be classified as more than one category (as, for example, the client may reside in one country, and the financial institution is licensed in another, in which the categorisation rules are different. Or as for in respect of a particular financial instrument and service the client is to be seen as a professional client, and in respect of a different financial instrument and service they are to be classified as a retail client. In case the client has been categorised in more than 3 categories, an icon indicating the existence of additional categories will appear. |
S&A | Whether or not Suitability and/or Appropriateness assessments have been performed in this case. |
Financial Instrument(s) | The financial instrument(s) the client has indicated, during the client journey, they are interested in trading with your firm. In case of more than 3 such instruments, an icon indicating the existence of additional instruments will appear. |
Financial Service(s) | The financial service(s) the client has indicated, during the client journey, they are interested in receiving from your firm. In case of more than 3 such services, an icon indicating the existence of additional services will appear. |
Client country data | A link to legislative information relevant to the client country |
KYC/KYB (mCHECK™) tile – presents which of the checks available under the mCHECK™ module has been performed in this assessment, and a general indication (in the form of an icon) of any findings within those checks.
CRA (mRX™) tile – provides a high-level overview of the results of the Client Risk Assessment performed by the platform CRA module, the mRX™ module. The indications consist of:
The overall risk level (low, medium, high…) in both graphic and text forms
The overall risk score in both graphic and text forms
A link to additional risk data pertaining the client’s country
Investor Risk Profile Tile – presents the risk profile of the client, as composed by the Regulatory Classification (mPASS™) module following a Suitability Assessment (when such assessment is triggered).
Monitoring tile – presents the relevant monitoring options in the specific assessment (for example, an assessment of an individual will not present corporate data monitoring, as it cannot be applied in such case), and the status of each monitoring. Meaning, if the monitoring is activated or not; as well as if there are open alerts under that monitoring, or not.
Greyed-out tiles – note, that you may see certain tiles which are greyed-out. This will happen if a certain module has NOT been activated under this specific assessment.
Please note that as the screen is intended as a general overview, it does not display all the case details. To access the full and detailed information, navigate through the individual screens of the assessment, each of which provides more in-depth data for its respective section.
Let’s go through these screens, one by one.