AML Use Cases in Loanance - 03 Ver.

AML Use Cases on Loanance Web Portal
UC-01 Login to the System
Objective Login to Loanance Web Portal and select AML section

Roles Staff or any other user based on access permission
Channel Loanance
Maker-Checker No
Preconditions ● User has an active internet connectivity
● User has the valid credentials for the login process and logins successfully
● User has permissions for AML Management
1. User opens Loanance Portal and enters Username and Password
2. On Submit, the main page of Loanance Portal is launched
3. User selects AML section from header of main page and it launches with a
drop-down list with next content:
● Sanction List Management
Success scenario ● Monitoring Scheduler Management
● Manual Search Dashboard
● Result Dashboard from Matching Process
● Standard AML and Monitoring Reports
● Customer Quick Search from Sanction Lists
● AML Algorithms Settings
Post conditions User can login successfully and select AML Management on main page
Validations Step Validation Display Error
Errors Step Error Condition Display Error
Notification -None-
Notes
UC-02 Sanction List Management
Objective Creating a Sanction List import

Channel Loanance
Maker-Checker Yes
Success scenario 1. User selects Sanction List Management from the dropdown list
2. The system displays next screen:
Filters based on Sanction List name and its status
"Create List" button
List of already created Sanctions Lists with the following information:
● Sanction List Name
● Upload/Import type (manual/ automated)
● Upload/Import creation date
● Date of last upload/import
● Schedule
● Status
3. User clicks on "Create List" button and the system displays a pop- up
window with uploading types - manual and automated.
4. User selects Manual Uploading and the system displays a screen with next
fields:
● “Browse file” and “Upload” buttons
● Uploading Date (date comes automatically)
● List Name <Input Text> 100 symbols (mandatory field)
● Description <Input Text> 300 symbols (optional field)
● Create and Close button - Manual upload is created and system
displays Sanction Lists Management screen
● Create - Manual upload is created and system remains on the Manual
upload screen
● Close - Manual upload is failed and system displays Sanction Lists
Management screen
● “Add file” button - an option in Manual upload, where multiple files
can be uploaded at the same time (for example, up to 5 files). Clicking
this button, the same screen of Manual Uploading will be displayed
for uploading new files.
5. User selects Automatic Upload and the system displays a screen with the
following fields:
● Field for entering an active link (mandatory field)
● Wait before retry (sec) - pause between each entry in seconds
(mandatory field)
● Max upload time (sec) - max allowed time in seconds spent for whole
upload (includes retries and wait times) (mandatory field)
● Max import time (sec) - max allowed time in seconds spent for
importing the file (mandatory field)
● Upload retries (num) - max retries before abandoning the upload
(mandatory field)
● Create and Close button - Manual upload is created and system
displays Sanction Lists Management screen
● Create - Manual upload is created and system remains on the Manual
upload screen
● Close - Manual upload is failed and system displays Sanction Lists
Management screen
Post conditions Sanction List is successfully created and visible on grid with “Active” Status
Validations Step Validation Display Error
Errors Step Error Condition Display Error
Notification -None-
Notes
Objective Editing a Sanction List

Channel Loanance
Maker-Checker Yes
● Schedule
● Status
3. User clicks on the existing Sanction List row from the grid and at the header
of the Sanction Lists there are active buttons Edit, Delete, Activate/Deactivate
instead of Filters, Status and "Create List" button
4. User clicks on the "Edit" button
5. System displays, if it was a Manual upload type, then the following screen:
● “Browse file” and “Upload” buttons
If it was an automated upload type, then the following screen:
● Field for entering an active link
● Wait before retry (sec) - pause between each entry in seconds
● Max upload time (sec) - max allowed time in seconds spent for whole
upload (includes retries and wait times)
● Max import time (sec) - max allowed time in seconds spent for
importing the file
● Upload retries (num) - max retries before abandoning the upload
7. All fields are editable, User can edit the required fields and click on the
following buttons:
● Save and Close button - Sanction List is edited and system displays
Sanction Lists Management screen
● Save - Sanction List is edited and system remains on the editing
screen
● Close - Sanction List is failed and system displays Sanction Lists
Management screen
Post conditions Sanction List is successfully edited and visible on grid with “Active” Status
Validations
Errors
Notification -None-
Notes
Objective Deleting Sanction List

Channel Loanance
Maker-Checker Yes
● Schedule
● Status
4. User clicks on the "Delete" button
5. System displays a pop-up window with the following text: "Are you sure to
delete checked Aml list?" and active buttons "Yes" and "No"
If User clicks on "Yes" button, the system will delete this Sanction List and the
pop-up window will be closed
If User clicks on the "No" button, the system will close the
Sanction List is successfully deleted and not visible on grid
Deleted Sanction List is available in the Sanction List Report with next
informations:
Post conditions ● Sanction List Name
● Status "Deleted"
● Date of deleting,
● Maker and Checker
Data of deleted Sanction List is not available on Sanction Lists Data dashboard
If there are any matches on selected Sanctions list, then the system should
not allow delete this list and the following text should be displayed in a pop-
Validations
up window: "This AML List can't be deleted because of matching with a
Customer from the system"
Errors
Notification -None-
Notes
Objective Deactivating/ Activating Sanction List

Channel Loanance
Maker-Checker Yes
1A. Deactivating Sanction List
Success scenario
1. User selects Sanction List Management from the dropdown list
● Schedule
● Status
4. User clicks on the "Deactivate" button.
1B. Activating Sanction List
1. User selects Sanction List Management from the dropdown list
● Schedule
3. User clicks on the existing Sanction List row from the grid with
“Deactivated” status and at the header of the Sanction Lists there is “Activate”
button instead of Filters, Status and "Create List" button
4. User clicks on the "Activate" button.
● Sanction List is deactivated and has "Deactivated" status in the List
Management.
● Deactivated Sanctions List is not available for schedules for the next
updates.
● Deactivated List can not be deleted, edited.
Post conditions ● Deactivated Sanction List data is available on Sanction List data
dashboard.
● Deactivation actions are available on reports with deactivate/ activate
dates
● Activated Sanction List can be deleted, edited
● Activated Sanction List is available for schedules
Validations
Errors
Notification -None-
Notes
UC-06 Sanction List Data
Objective Data of uploaded Sanction List in Manual Search

Channel Loanance
Maker-Checker Yes
Success scenario 1. User selects Manual Search from the dropdown list
2. System displays a list of persons from Sanction Lists with options to filter
based on Country, Birth Date, Name, Sanction List Name and dropdown -
Individual/ Entity . Also there is a filter - Search Type "Standard" and
"Monitoring". If Standard is selected, all default data is displayed, and if
Monitoring is selected, data that has a match with the Customer from the
System Is displayed.
2A. Search algorithm
● Filter Search works combined (logical AND). If a value from search
options (date, country, name) is empty, system considers it as "any",
example: User doesn't specify country, date, only name - then all
countries and dates will come
● There is “Reset” button to clear all search criteria, there is Search
button to apply/execute the search, enter press is considered as
Search button click. Search works over lists data, not customers' one!
● Country (drop-down with values from List Data Normalization →
Correct Country Spellings> All Countries for all Lists
● Name <input box>
● Birth Date From-To: <date control> (if To is left empty auto-set
today's date)
● Dropdown menu with type - Individual and Entity
● Export XLSX/CSV. Export the result should contain Results Table Data
and the Entry List details cut from the second separator line until the
third separator line (only parsed list entry data, excluding the raw
data).
● X button (resets the search/filters values)
3. By specified filters or by default (no filters selected), system displays a
result table data with list of persons from Sanction Lists with next fields:
● ID
● Full Name
● Date of Birth
● Country
● Passport Number
● Address
● Match Status
● Match Percentage
● Status
● Type
3A. By specified filter “Monitoring” Search Type, system displays a result table
data with list of persons from Sanction Lists with next fields:
● ID
● Full Name
● Date of Birth
● Country
● Passport Number
● Address
● Match Status
● Match Percentage
● Status
● Type
● "Match Percentage" - displays match percentage of matched persons.
4. By clicking a record from "Results Table Data", system displays screen of

Entry List Detail with next details:
● On header - Person Name, Country and Date of Birth
● Subtitle - Sanctions List Name
● Legal Basis
● Publication date
● Entry into force date
● Sanction List ID
● Remark
● First Name
● Middle Name
● Last Name
● Whole Name
● Other Name 1
● Other Name 2
● Other Name 3
● Other Name 4
● Other Name 5
● Function
● Gender
● Date of Birth
● Month of Year
● Year
● Year Range From
● Year Range To
● City
● Region
● Place
● Country
● Citizenship
● Passport Number
● National ID
● Type
● Language
● Status
Entries from the Sanctions Lists are available in a Result table along with their
Post conditions
details, if clicking to the row of entry
Validations
Errors
Notification -None-
Notes
UC-07 Result Dashboard
Result Dashboard from Matching Process as online alert/pop-up (identify

Objective
match as true or false)
Channel Loanance
Maker-Checker Yes
Success scenario 1. User selects Results Dashboard from the dropdown list
2. System displays a Result Dashboard screen with next information:
2A. Search algorithm
Filters based on:
● Full Name or ID <input box>
● Match Status (dropdown: New, True, False)
● Match Date From-To: <date control> (filters customers that have a
match in the given date range; if To is left empty auto-set today's
date)
Filters work combined (logical AND). There is Reset button to clear filters,
there is Search button to apply/execute the filtering of the results, enter press
is considered as Apply filters. Export the result as XLSX/CSV. It should contain
Customer Data from Results Table and corresponding data from Match Details
Table (there can be more than 1 match data line per customer)
3. By specified filters or by default (no filters selected), system displays a
Match Table Data with next fields:
● Match Date
● Customer ID
● Full Name
● Date of Birth
● Country
● Match Status
● Matching Percentage
4. By clicking a record from "Match Table Data", system displays screen of
Match Details with next details:
For Individuals:
● Legal Basis
● Publication
● Entry into force
● Remark
● First Name
● Middle Name
● Last Name
● Whole Name
● Other Name 1
● Other Name 2
● Other Name 3
● Function
● Gender
● Date of birth
● Day of month
● Month of year
● Year
● Year Range from
● Year range to
● City
● Region
● Place
● Country
● Citizenship
● Passport Number
● National ID
● Type
● Language
● Link to a profile of customer
● Status
For Entities:
● Legal Basis
● Publication
● Entry into force
● Remark
● Entity Name
● Director First Name
● Director Middle Name
● Director Last Name
● Director Whole Name
● Function Registration date
● Year Range from
● Year range to
● Director Gender
● Director Date of birth
● Director Day of month
● Director Month of year
● Director Year
● Year Range from
● Year range to
● Entity City
● Entity Region
● Entity Place
● Entity Country
● Director Citizenship
● Director Passport ID
● TAX ID Type
● Language
● Link to a profile of customer
● Status
Change Match Status
5. User can change Match status by clicking a record from the "Match Table
Data" screen and then clicking the Status column on the Match Details screen.
6. System displays a Status Change pop-up window:
Dropdown list with statuses:
New - newly created status
True - checked by Staff and match is confirmed
False - checked by Staff and match is not confirmed
"Attach" button - optional
Field for description/remark/comment - optional
"Cancel" button - status change is not saved, system displays Match Details
screen
"Update" button - status changes and system displays Match Details screen
7. User select a status from the dropdown list, attach a document (optional),
enter a remark (optional) and press the “Update” or Cancel “button”.
Match data is available in Match Table according to specified filters
Post conditions
Match status is changed
Validations
Errors
Notification -None-
Notes
UC-08 Monitoring Scheduler Management
Objective Setting a schedule for check of customers with Sanctions Lists

Channel Loanance
Maker-Checker Yes
Success scenario 1. User selects Monitoring Scheduler Management from the dropdown list
2. System displays a Monitoring Scheduler Management screen with next
sections:
● Current import monitoring with fields:
List Name
File Size
Started Time
Time Spent
● Import results with fields: List Name
Last Import Date
Time Spent
Number of entries
Match number
● Import errors: List Name
Date
Error description
Scheduler
3. To set up a schedule for automatic screening of system customers with
Sanctions Lists, User click Admin on the Home Page and select “System” from
the dropdown list and select Scheduler Jobs.
4. System displays Manage Scheduler Jobs screen with next fields:
● Name
● Next Run
● Previous Run
● Previous Run Status
● Currently Running
● Error Log
5. User select "Automatic screening <Sanction List Name>" from the list by
clicking on it.
Automated Update Scheduler run automatically based on configuration and
cron job, but can be manually run it at current time by selecting the scheduler
job and click on 'Run Selected Jobs'.
Post conditions
Validations
Errors
Notification -None-
Notes
UC-09 Customer Quick Search from Sanction Lists
Objective Quick check of the Customer in the Sanctions lists

Channel Loanance
Maker-Checker Yes
Success scenario 1. User selects Customer Quick Search from the dropdown list
2. System displays a lookup screen with the following search fields:
● Name (user can search by full name, separately by first name, last
name or middle name)
● Registration Address
● Country of Registration
● Sanction list (dropdown list with all active Sanction Lists. If User select
a Sanction list from the dropdown list, then the search will work only
on this list, if User not select it, then by default search will work
through all Sanction lists)
● “Use minimum score/percentage” button - by clicking it, the search is
performed in accordance with the specified score or percentage. The
higher the score or percentage, the search results will display as close
as possible matches and vice versa
● “Search” button
3. User enters the required data, specified score or percentage (if necessary),
select Sanction List (if necessary) and performs a search
4. System displays a screen with search results (number of results on header)
with next fields:
● Name
● Type
● Address
● Country
● Sanction List
● Score
● Export to XLSX button
5. User can export data and close Results screen, system displays Quick search
Screen
Note: Quick search works according to the algorithm that is selected for
Sanction Lists
Post conditions
Validations
Errors
Notification -None-
Notes
UC-10 AML Reports
Objective Downloading and exporting AML Reports

Channel Loanance
Maker-Checker Yes
1. User selects Reports on Home Page of Loanance and there is dropdown list
with Reports category
2. User select AML Reports category and system displays screen with list of
AML Reports:
● Monitoring Identification Data
● Monitoring of Blocked Customers
● Customer Matched Report
● Errors Report
● Sanction Lists
Success scenario 3. User select the required report, click on it and the system displays Report
screen with filters and fields described in the Excel file below
4. User generate a report by setting a filter, date range and other necessary
filters and system displays report data
5. User can export report data to XLSX, CSV and PDF formats
https://docs.google.com/spreadsheets/d/
19dEmwQuhqgflTxfeTr7UfqeE7tndvpj4/edit?
usp=sharing&ouid=117265141470108448896&rtpof=true&sd=true - report
templates
Post conditions
Validations
Errors
Notification -None-
Notes
UC-11 AML Algorithm settings
Objective Matching Algorithms

Channel Loanance
Maker-Checker Yes
Success scenario 1. User selects “AML Algorithm settings” on AML Menu and system displays
screen with a list of available Algorithm Types (types are customizable) and
next information is available:
● Algorithm Name
● Description
● Box for entering the number of priority, if more than 1 type of
algorithm is selected
2. User selects the desired type of algorithm for scanning customers by
clicking checkbox on right side from Algorithm Name and assign priority
number, if selected more than 1 type of algorithm
3. User clicks on
● Save and Close button - Algorithm is saved and system displays AML
Menu screen
● Save - Algorithm is saved and system remains on Algorithm screen
● Close - Algorithm is not saved and system displays AML Menu screen
4. Description of the algorithm work.

4A. Sanction List scans customers according to the selected type of algorithm.
Scanning should be performed on the following required fields (fields are
customizable).
For Persons:
First Name
Last Name
Middle Name
Other Available Name
Date of Birth
Country of Origin/ Registration
Other required field
For Organizations:
Full Official Name

Brand Name
Short Name (Abbreviation)
Other Available Name
Date of Registration
Country of Origin/ Registration
Director Full Name
DOB of Director
Country of Origin/ Registration of Director
Other required field
4B. Data normalization is customizable

Country normalization is available
4C. Match level is customizable:
1. User selects type from dropdown Individual or Organization
2. User enters percentage range according which should be blocked the
Customer
3. User enters percentage range according which should be sent
notification with Customer ID to Staff for checking
Post conditions
Validations
Errors
Notification -None-
Notes

AML Use Cases in Loanance - 03 Ver.

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AML Use Cases on Loanance Web Portal

UC-01 Login to the System

Objective Login to Loanance Web Portal and select AML section

Validations Step Validation Display Error

Errors Step Error Condition Display Error

UC-02 Sanction List Management

Objective Creating a Sanction List import

Validations Step Validation Display Error

Errors Step Error Condition Display Error

UC-03 Sanction List Management

Objective Editing a Sanction List

UC-04 Sanction List Management

Objective Deleting Sanction List

UC-05 Sanction List Management

Objective Deactivating/ Activating Sanction List

UC-06 Sanction List Data

Objective Data of uploaded Sanction List in Manual Search

4. By clicking a record from "Results Table Data", system displays screen of

UC-07 Result Dashboard

Result Dashboard from Matching Process as online alert/pop-up (identify

UC-08 Monitoring Scheduler Management

Objective Setting a schedule for check of customers with Sanctions Lists

UC-09 Customer Quick Search from Sanction Lists

Objective Quick check of the Customer in the Sanctions lists

UC-10 AML Reports

Objective Downloading and exporting AML Reports

Objective Matching Algorithms

Roles Staff or any other user based on access permission

4. Description of the algorithm work.

Full Official Name

4B. Data normalization is customizable

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