goaml pilot stakeholder user guide ... - gostage.fic.gov.za
TRANSCRIPT
goAML PILOT
STAKEHOLDER USER
GUIDE –
REGISTRATION
Guideline for reporting entities on the registration process for testing purposes
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FINANCIAL INTELLIGENCE CENTRE
REPUBLIC OF SOUTH AFRICA
Private Bag X177, Centurion, 0046
https://goStage.fic.gov.za/goAMLWeb_UAT
www.fic.gov.za/Secure/Queries.aspx
Guideline for reporting entities on the registration process for testing purposes
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 https://goStage.fic.gov.za/goAMLWeb_UAT.
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
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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
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Table of Contents
1. Introduction ......................................................................................................................................... 5
1.1 Prerequisites ................................................................................................................................. 5
1.2 Adding goAML URL to the trusted sites ........................................................................................ 5
1.3 Enabling Pop Ups ......................................................................................................................... 6
1.4 Adding goAML to Favourites ......................................................................................................... 7
1.5 Add a Shortcut for goAML to Desktop .......................................................................................... 7
1.6 goAML Web Icons ......................................................................................................................... 8
2. goAML Web ........................................................................................................................................ 9
3. Registration on goAML ...................................................................................................................... 10
3.1 Register An Organisation ............................................................................................................ 10
3.2 Registration Type ........................................................................................................................ 11
3.3 Registering An Organisation Details ........................................................................................... 11
3.3.1 Registering organisation details are added as follow .......................................................... 12
3.3.2 Phones – organisational phone numbers ............................................................................ 12
3.3.3 Address – The entity address .............................................................................................. 13
3.3.4 Reporting Obligation – select the relevant Supervisory Body for the registering AI/RI ....... 13
3.4 Registering Person Details ......................................................................................................... 14
3.5 Attachments ................................................................................................................................ 15
3.6 Approving an Organisation ......................................................................................................... 16
4. Registering As A Person ................................................................................................................... 17
4.1 Registration Type ........................................................................................................................ 18
5. User Request Management (Register As A Person Approval) ...................................................... 19
6. Email Notifications .......................................................................................................................... 22
7. Logging onto goAML Web................................................................................................................. 23
7.1 Forgot Password ......................................................................................................................... 23
8. Delegation goAML Web .................................................................................................................... 25
8.1 Create New Delegating Organisation ......................................................................................... 25
8.2 Change Selected Delegating Organisation ................................................................................. 28
8.3 Recall Delegation ........................................................................................................................ 30
9. Accountable / Reporting Institution Process Flow ............................................................................ 31
10. goAML Support ............................................................................................................................... 32
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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 https://goStage.fic.gov.za/goAMLWeb_UAT 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
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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 https://goStage.fic.gov.za/goAMLWeb_UAT to the Address of website to allow >
click on Add > click on Close
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1.4 Adding goAML to Favourites
Type in https://goStage.fic.gov.za/goAMLWeb_UAT 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
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1.6 goAML Web Icons
Icons Description
Add
Add the captured detail
Instructs goAML to cancel the capturing of the details
Close
Preview
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
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2. goAML Web
The goAML URL for the pilot testing is https://goStage.fic.gov.za/goAMLWeb_UAT. 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.
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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
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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
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3.3.1 Registering organisation details are added as follow
3.3.2 Phones – organisational phone numbers
Contact Type – It can be Business, Operational,
Private, Public, Unknown
Country Prefix – e.g. +27
Extension – Numeric (e.g. 5425)
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
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
E-mail – Preferably a group Email account which
will be accessible by all authorised users of the
goAML EE system or alternatively the Compliance
Officer’s email address (S43CO)
Comm. Type – It can be Landline, Mobile,
Satellite,
Number – Numeric, digits (e.g. 0128012556)
Comments – if any
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3.3.3 Address – The entity address
3.3.4 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.
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
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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.
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
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
Email – Unique business Email 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. 7404080408069)
Occupation – Official job title of the user, i.e.
Compliance Officer (S43CO), MLRO,
Director etc.
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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.
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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 email will be sent to the
Compliance Officer (S43CO) informing them of the submitted registration request. The
email is only confirmation of the registration, the compliance Officer (S43CO) will receive a
second notification email 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 email 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
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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
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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
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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
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User Change Requests fields can be searched using the dates fields > Click the Refresh button to load user request for the date specified
Requests View Type can be used to search by type of request
User Change Requests fields can be dragged by header to group by column
The icons, as displayed below, refer
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
Start Date – Initial date of the user change request
End Date – End date of the user change request
Change Request Ref – Used as a referral whilst requesting assistance to the FIC, the
number is sent to users by a notification email
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
Create new change request (available after activation)
Preview used to populate the action page
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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 email informing them of the status
of the request.
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6. Email Notifications
Emails 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 email 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 email 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
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7. Logging onto goAML Web
Authentication will always be required before gaining access to goAML. The goAML support team is
available at [email protected] 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. Test12345@ 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 > Email >Submit
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goAML user will receive an email with a link. Click on the link
Reset Password Request page will populate
Enter User Name / Email / New Password / Confirm New Password and Click Change
Password. New password will be reset.
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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
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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
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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 > Email 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 Email. The fields may not have been used previously
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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
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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
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The Delegate Organisational ID is populated > Capture the Organisational ID > Attach
the necessary documents > Submit Request > The FIC will approve / reject the request >
Email 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
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9. Accountable / Reporting Institution Process Flow
Verify and Finalise Individual
Registered Individual User
FIC - Finalise the Organisation
Approve Individual
Verify Individual
Register As Individual
FIC - Approve the Organisation
FIC - Verify the Organisation
Register As Organisation
Accountable / Reporting Institution
Compliance Officer sends Org ID
Compliance Officer(Super User )
FIC Official
Money Laundering Reporting Official
(MLRO)
Compliance Officer
FIC Official
Provide group email address, letter of
appointment and ID copy.
Verify and validate
against third party
source
Verify and validate
against third party
source
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10. goAML Support
For goAML Support Contact us on:
e-mail: [email protected]
Log a web query: www.fic.gov.za
Compliance Contact Centre: +27 860 222 200