How Fyscal ARCX fits together#

Fyscal ARCX takes in customer, account, transaction and watchlist data, checks it, and raises alerts. Analysts work the alerts, group them into cases, record a decision and, where a case calls for it, file an STR. Diagram 1.1 shows this main path. Diagram 1.2 shows the approval lane that some changes, such as activating a typology, go through before they take effect.

1. Data inBatch Ingestion and Watchlist Ingestion
2. Screening and monitoringName Screening runs and scheduled typologies
3. AlertsCase Manager → Alerts
4. CasesAlerts merged per customer, or grouped by an analyst
5. DecisionDispositions, Pending Review, Closed
6. STRFiled from a case; listed in STR Listing

1. Data in. Batch Ingestion imports Customers, Accounts and Transactions files on a schedule. Watchlist Ingestion lists the watchlist files from LSEG and the Internal Watchlist.
2. Screening and monitoring. Name Screening compares customers with the watchlists; each Batch Screening and Delta Screening run shows the Alerts Created. Transaction Monitoring runs typologies (rules) on schedules against the transaction data.
3. Alerts. Both modules raise alerts into Case Manager → Alerts: Name Screening alert IDs start ALT-NS, Transaction Monitoring alert IDs ALT-TMS.
4. Cases. Case Creation & Assignment merges alerts into cases ("based on customer ID, case age, and status", as its banner states) and assigns them. An analyst can also use Group into Case on an alert or Add Alerts on a case. Customer 360 and Watchlist Search support the investigation.
5. Decision. The analyst records a disposition for each alert and for the case (Dispose alerts and close a case). A case can wait in Pending Review for a reviewer (Review a case in Pending Review) before it is Closed.
6. STR. From a case, File STR opens the six-step STR wizard (File an STR). Cases with an STR show the status STR Draft or STR Created, and a filed report appears in STR Listing.

1. Maker submits a requestFor example Activate Typology, with a Reason
2. Ticket raisedMaker Checker Approval → Tickets, status Pending
3. Checker actsThe change "will be applied once approved"

The approval lane sits beside the main path. When you activate a typology, Fyscal ARCX asks for a Reason and confirms "Submitted for governance review (ticket …). It will be applied once approved." The typology stays Draft while the request waits (see Request Shadow activation). In Shadow Mode its alerts are shown on the rule's page; in Published Mode they "flow into Alert Manager". The activities that need approval, and their rules, are listed in Configs; the requests are in Tickets.

Each kind of record has its own ID format:

Where to start, by role#

Each path below lists the sections to read first for one kind of work, in the order you are likely to need them. If you are new to the platform, read How Fyscal ARCX fits together first. Your administrator decides what you can access, so some screens or buttons in a path may not be available to you (see Roles).

Signing in#

Platform URL→Sign in

Use the sign-in page to open Fyscal ARCX with your account email and password. It is titled Welcome back, with the instruction Enter your email and password to access your account. It has two fields, Email and Password, a Sign in button and a Forgot password? button.

Step 1 Open the platform

Go to the Fyscal ARCX URL your institution has given you. The Welcome back page opens.

Step 2 Enter your email

Type your account email address in Email.

Step 3 Enter your password

Type your password in Password. Click the eye icon if you want to check what you typed.

Step 4 Sign in

Click Sign in. If you cannot sign in, click Forgot password?.

The Homepage and navigation#

Platform→Homepage

Use the sidebar to move between modules; this section shows where each menu leads. The Homepage shows Welcome followed by your name. Every module is opened from the sidebar on the left. The sidebar groups its menus under Platform; menus with a chevron (›) expand to show their pages, and the page you are on is highlighted.

1. Activity (inbox icon): opens the Activity notifications panel. See Activity notifications.
2. Toggle Sidebar: collapses the sidebar to a narrow rail, or expands it again.
3. Homepage: returns to the welcome page.
4. Fyscal ARCX: the AML modules described in this guide.
5. Case Manager, expanded to show Cases, Alerts and Config.
6. Maker Checker Approval: the approval menu.
7. The Activity panel.

The full menu is:

Each page shows its title at the top with a breadcrumb beneath it, for example Fyscal ARCX › AML Dashboard. Your name and email are shown at the bottom of the sidebar; click them to open the user menu.

Activity notifications#

Sidebar header→Activity (inbox icon)

The Activity panel lists notifications you receive while signed in. It opens over the current page, so you can check it from any screen (Figure 1.2, area 7).

When there is nothing to show, the panel reads No activity yet: Notifications you receive while signed in will show up here.

Step 1 Open the Activity panel

Click the inbox icon at the top of the sidebar, next to the Fyscal Technologies logo. The Activity panel opens on the All tab.

Step 2 Show unread notifications only

Click Unread.

Step 3 Clear the unread count

Click Mark all read.

The user menu#

Sidebar footer→your name

Open the user menu when you want to change your password or log out. The block at the bottom of the sidebar shows your initials, name and email address (the email is partly masked). Click it to open the user menu, which repeats your name and email and offers two actions.

Changing your password#

User menu→Change Password

Follow these steps when you want to replace your current password. Before you can set a new password, the Verify Your Account page asks you to confirm who you are: Enter your email and current password to continue with the password change process.

Step 1 Open the user menu

Click your name at the bottom of the sidebar.

Step 2 Choose Change Password

Click Change Password. The Verify Your Account page opens.

Step 3 Verify your account

Enter your registered email in Email and your current password in Password.

Step 4 Continue

Click Continue to Password Change and follow the on-screen instructions to set your new password.

Roles#

Read this section if a picker or button you see in the guide looks different for you. Roles are defined per hierarchy in Case Manager → Config → Team Management. The AML hierarchy there has four levels: AML Admin, AML Team Lead, AML Supervisor and AML Analyst.

Some pickers and actions depend on the permissions of the signed-in user. For example, the list of people you can choose in an assignee picker, and whether a button is available to you, can differ from one user to another.

How this guide is organised#

Use this list to find the chapter for the module you are working in.

Dashboard layout#

Fyscal ARCX→AML Dashboard

Who

Analysts, supervisors and team leads

Where

Fyscal ARCX → AML Dashboard

Views

Cases or Alerts, over a period you choose

Work it in

Case Manager → Alerts or Cases

Use this overview to find each area of the dashboard before you read a chart. Open Fyscal ARCX in the sidebar and click AML Dashboard. The page is titled AML Dashboard, with the breadcrumb Fyscal ARCX › AML Dashboard. Scroll down to see every area. Figure 2.1 shows the whole page in the Cases view with the range set to 6M (18 Apr - 14 Oct).

1. Metric tiles: six headline counts for alerts and cases. See Metric tiles.
2. Case Distribution header and controls: View Details, the Cases / Alerts switch, the date range picker and the range presets. See Case Distribution controls.
3. By Status. See By Status.
4. By Disposition (Closed). See By Disposition (Closed).
5. By Assignment, with the Team / Individual switch. See By Assignment.
6. STR Filed (Cases view only). See STR Filed.
7. By Age. See By Age.
8. Pending Review, Avg. Handling and Reopens tiles (Cases view only). See Pending Review, Avg. Handling and Reopens.
9. Daily Jobs: Screening & Monitoring Runs and Data Ingestion. See Daily Jobs.
10. Team Performance. See Team Performance.

Areas 3 to 8 sit inside the distribution panel and change with the Cases / Alerts switch. In the Alerts view the panel is titled Alert Distribution and shows these charts, in order:

The metric tiles, Daily Jobs and Team Performance appear in both views.

Metric tiles#

Use the metric tiles for a quick count of the alerts and cases that are overdue, unassigned, escalated or pending. Six tiles at the top of the page each show a label, a count and a sub-label. The Overdue Alerts count is shown in red.

The tiles are counts only. To work the alerts or cases behind a tile, open the list in Case Manager. The table shows where each count can be found again. In the captures, the chip counts on the All Alerts and All Cases tabs matched the tiles.

Case Distribution controls#

Use these controls before reading the charts below: they set whether the charts count cases or alerts, and over which period. The distribution panel has its own header and controls.

1. View Details: in the Cases view, opens the Cases list in Case Manager.
2. Cases / Alerts: switches the panel between cases (Case Distribution) and alerts (Alert Distribution). The selected option is shown in white.
3. Date range picker: shows the period the charts cover, for example 18 Apr - 14 Oct, with a calendar icon at the right. When the page was opened for these captures, it showed 8 Oct - 14 Oct.
4. Range presets: Today, 7D, 30D, 3M, 6M and 1Y. The selected preset is shown in black; in Figure 2.3 it is 6M, which sets the range to 18 Apr - 14 Oct.

Step 1 Choose cases or alerts

Click Cases or Alerts. The panel title changes to Case Distribution or Alert Distribution and the charts redraw.

Step 2 Set the period

Click a preset such as 30D. The date range picker updates to show the new period.

Step 3 Open the underlying list

In the Cases view, click View Details to open the Cases list.

By Status#

Use By Status to see how cases or alerts are spread across statuses. It is a donut chart with a legend that gives, for each status, the count and its share of the total in brackets.

Cases have eight statuses and alerts six: STR Draft and STR Created apply to cases only. The statuses are described in Case Manager.

By Disposition (Closed)#

Use this chart to see how closed cases or alerts were dispositioned. It is a donut chart of closed records by disposition: True Match, False Match and Potential Match, each with its count and share.

By Score and By Type (Alerts view)#

Use these charts to break alerts down by score band and by alert type. They appear only in the Alerts view, between By Disposition (Closed) and By Assignment.

By Assignment#

Use By Assignment to see how many records are unassigned and how the rest are spread across assignees. It is a horizontal bar chart of records by assignee. The first bar is Unassigned (1); the other bars are named users. Names are hidden in this guide.

The Team / Individual switch (2) at the top right changes the grouping. Team is selected (shown in black) in Figure 2.8. The horizontal axis scale follows the counts; in Figure 2.8 it runs from 0 to 80K.

STR Filed#

Use STR Filed to follow the number of STRs filed per month. It is shown in the Cases view only: a line chart of STRs filed per month, with its own range presets Today, 7D, 30D, 1M, 6M and 1Y at the top right (2). The title carries a link icon (1). In Figure 2.9 the 6M preset is selected and the chart runs from Apr '26 to Sep.

For the filed reports themselves, see STR Listing.

By Age#

Use By Age to see how many records fall in each age bucket. It is a horizontal bar chart of records by age bucket. The buckets differ between the two views:

Pending Review, Avg. Handling and Reopens#

Use these tiles for three summary figures on cases: how many are pending review, the average handling time and the number of reopens. In the Cases view, three tiles close the distribution panel (Figure 2.10):

Daily Jobs#

Check Daily Jobs to see, day by day, whether the screening, monitoring and ingestion jobs ran and succeeded. It shows the outcome of the platform's scheduled jobs. It has two blocks: Screening & Monitoring Runs and Data Ingestion.

Both blocks are grids with one row per job and one column per day, newest first. The day columns in Figure 2.11 run from 14 Oct back to 8 Oct. The first column, Job, shows the job name as a link (shown in blue) to the screen where the job is managed.

Each day cell shows a coloured dot for the outcome of that job on that day. When the job ran, the dot is followed by a figure in brackets, in most cells with a multiplier before it (for example x2 (0)).

Team Performance#

Look here for analyst productivity, supervisor reviews and assignment analysis. The last panel on the page is Team Performance, described as Analyst productivity, supervisor reviews, assignment analysis, with a See Team Performance button at the right.

Daily triage from the dashboard#

Fyscal ARCX→AML Dashboard→Case Manager

Use this routine to go from the dashboard counts to the lists where the work is done. It uses only the tiles, chips and filters described in this guide. Adapt the order to your team's procedures.

Who

Supervisors and team leads; analysts for their own queue

Where

AML Dashboard, then Case Manager → Alerts and Cases

Output

The day's backlog listed and the job runs checked

Step 1 Read the tiles

Open Fyscal ARCX → AML Dashboard. Note the counts on Overdue Alerts, Escalated Alerts, Pending Cases and Escalated Cases (Metric tiles).

Step 2 List the overdue alerts

Open Case Manager → Alerts and click All Alerts. Click Show Filters and set SLA to Breached. To work one module at a time, also set Module to Name Screening or Transaction Monitoring (Alerts list).

Step 3 List the escalated alerts

On the same tab, set SLA back to All SLAs and Status to Escalated.

Step 4 Review the cases waiting for you

Open Case Manager → Cases, click All Cases, then click the Pending Approval chip. The list shows the cases in Pending Review. Open each case and act on it as in Review a case in Pending Review. For escalated cases, click Show Filters and set Status to Escalated.

Step 5 Check that the daily jobs ran

Back on the dashboard, scroll to Daily Jobs. For Batch Screening, Delta Screening and TM Runs, look at the latest day columns: green marks Succeeded, red Failed, orange Mixed outcomes or In progress, and grey No status (Daily Jobs). In the Data Ingestion block, check the Customers, Accounts, Transactions and Watchlist rows the same way.

The sections below follow the Case Manager menu (Cases, then Alerts). To follow an investigation from start to finish, read them in this order:

1. Alert raisedName Screening or Transaction Monitoring, listed under Alerts
2. Grouped into a caseAutomatically, or with Add Alerts or Group into Case
3. InvestigateMatches or evidence tabs, Timeline & Notes, Case Copilot
4. DecideDispose Alert for each alert, then the case Disposition
5. File STRSix-step wizard; the STR is listed in STR Listing

An alert is raised by Name Screening or Transaction Monitoring and appears under Alerts. Alerts are merged into cases automatically, as set in Case Creation & Assignment (Case Manager Config), or by hand with Add Alerts on a case or Group into Case on an alert. On the case you review the evidence, record a disposition for each alert and for the case, and, where the activity is suspicious, file a Suspicious Transaction Report (STR) from the case. A filed STR is listed in STR Listing.

Cases list#

Fyscal ARCX→Case Manager→Cases

The Cases screen lists cases in two tabs. My Queue shows the cases assigned to you. All Cases shows every case you can see, with summary chips above the list. Each tab shows its count (in the example, My Queue 4 and All Cases 73.1K).

Click a row to open the case in Case Details.

Filter and search cases#

Fyscal ARCX→Case Manager→Cases→Show Filters

The filter bar narrows the current tab. Filters combine with each other and with the search box.

Step 1 Open the filter bar

Click Show Filters. The Status, Creation Period, Age Period, Case Origin and Assignee filters appear below the search box.

Step 2 Filter by status

Open Status and choose one status. The current choice is ticked.

Step 3 Filter by creation date

Click Creation Period. A calendar showing two months opens; use the arrows to move between months, then click the first and last day of the range.

Step 4 Filter by age or origin

Open Age Period to choose how long cases have been open, or Case Origin to show only Manual or Automated cases.

Step 5 Use a summary chip

On All Cases, click the Pending Approval chip (1). The Status filter is set to Pending Review (2), an active-filter tag Status: Pending Review appears with an × to remove it (3), RESET FILTERS appears beside it (4), and the All Cases count changes to the filtered total, 13 in the example (5).

Step 6 Clear the filters

Click × on an active-filter tag to remove that filter, or click RESET FILTERS to remove them all.

Case statuses and dispositions#

These are the values offered by the Status filter and the case Disposition dropdown, with what the case screen shows for each.

What the case bar shows in each status

The buttons in the case bar change with the status. The table records what each example case shows; a status with no captured example is left out. Yes: shown; Partial: shown greyed out; No: not shown.

Example cases: Reopened CASE-2026-0034617 (Figure 3.8), Escalated CASE-2026-0107633 (Figure 3.7), Pending Review CASE-2026-0034612 (Review a case in Pending Review), Closed CASE-2026-0034613 (Dispose alerts and close a case), STR Draft CASE-2026-0107624 and STR Created CASE-2026-0034611 (Open the STR wizard and After the STR is filed). The escalated example is assigned to another user; the screen does not say why its controls are greyed out.

Status changes recorded on screen

1. Closed
2. ReOpen
3. Reopened
4. Disposition Submitted
5. Closed

The timeline of CASE-2026-0034617 records both changes. ReOpen on a Closed case gives the status Reopened, and the Reopened event shows previous_status: closed. On the reopened case, a Disposition Submitted event tagged Case closed closes it again; the next Reopened event again shows previous_status: closed. The STR statuses are covered in File an STR.

Case Details#

Fyscal ARCX→Case Manager→Cases→(click a case)

Case Details shows one case: its status and owner, the alerts it contains, the customer, and the evidence behind each alert. The example is CASE-2026-0034617 for the customer Pooja Sharma, with six Name Screening alerts.

Below the customer card, a Name Screening alert shows Matches; a Transaction Monitoring alert shows the tabs Analytics, Transactions, Other Cases / Alerts and Rule Analysis (see Transaction Monitoring evidence tabs). The buttons in the case bar change with the status: see the table in Case statuses and dispositions.

Customer, accounts and matches#

The customer card identifies the customer behind the selected alert. For the full customer profile, see Customer 360.

Matches (Name Screening alerts)

Matches compares the customer with each watchlist candidate found for the selected alert. The red tag gives the number of candidates (Matches: 1).

The Selected panel has two tabs (4):

Transaction Monitoring evidence tabs#

When the selected alert is a Transaction Monitoring (TM) alert, four tabs appear below the customer card. The same tabs appear on a Transaction Monitoring alert in Alert Details.

Timeline and notes#

Case Details→Timeline & Notes

Timeline & Notes opens the Activity Timeline panel on the right, headed with the case ID. It holds the case notes and a dated log of what happened to the case, newest first.

Step 1 Add a note

Type in ADD A NOTE (Add an investigation note...) (1). To attach a document, click Attach File (2). Click Add note (3); it is greyed out while the note box is empty.

Step 2 Read the events

Each event (4) shows its type, the user (or System) and the date and time. The events seen on cases are listed below. Click × (5) to close the panel.

Case Copilot#

Case Details→Case Copilot

Case Copilot (AI Investigation Assistant) is a chat panel that answers questions about the open case. On first use it greets you by first name and asks How can I help you with this case?. Its prompt and model are set in Agentic Workflows (see Case Manager Config).

Step 1 Ask a question

Click Case Copilot, then click one of the prompts under What else would you like to know?: Summarize case, Review customer profile, Check watchlist matches, Explain match scores, Compare alerts, Review timeline, Risk assessment or Draft rationale.

Step 2 Read the answer

Each answer appears under the prompt you chose, in headed sections. Summarize case returns CASE OVERVIEW, ALERT SUMMARY, CUSTOMER SNAPSHOT, INVESTIGATION STATUS and RECOMMENDED NEXT STEPS. Explain match scores returns OVERALL SCORE, COMPONENT ANALYSIS, SCORE RELIABILITY and CONCLUSION. Earlier answers stay in the panel.

Step 3 Start again or close

The icon at the top right starts a new chat; × closes the panel.

Add alerts to a case#

Case Details→Add Alerts

Add Alerts to Case lists alerts that are not yet in a case (Select ungrouped alerts to merge into the case ID).

Step 1 Find the alerts

Click Add Alerts. Search with Search by customer name or Alert ID, or page through the list with Prev and Next (the page indicator reads, for example, 1 / 6738). Each row shows the customer name, status, date and time, alert number (for example #174489), score band and module.

Step 2 Select and add

Tick the alerts to add. The counter at the bottom shows how many are selected out of the total (0 selected · 68810 total in the example). Click Add alerts, or Cancel to close without changes.

Which alerts are grouped into cases automatically is set in Case Creation & Assignment (see Case Manager Config).

Dispose alerts and close a case#

Where

Case Details → Dispose Alert, then the case bar Disposition

Required

Disposition, Rationale Code, Rationale Details (10 characters or more)

Optional

Supporting Documents

Recorded as

A Disposition Submitted event in the case timeline

Each alert in a case gets its own disposition through Dispose Alert. The case has its own Disposition in the case bar.

Step 1 Select the alert

In the alert strip, click the alert's tab and review its customer, matches or transaction evidence.

Step 2 Open Dispose Alert

Click Dispose Alert. The Dispose Alert dialog opens for the selected alert, whose ID appears under the title.

Step 3 Fill in the decision

Complete the fields in the table below, then click Submit Decision. Cancel closes the dialog without saving. Repeat for each alert in the case.

Step 4 Set the case disposition

In the case bar, open Disposition (Select Outcome) and choose True Match, False Match or Potential Match.

A closed case shows Status Closed, the chosen Disposition, and a decision block with Rationale Code, Details, Decided On and Decided By. Each alert tab shows its own disposition. The timeline records a Disposition Submitted event tagged Case closed.

The case timelines show two ways a case has reached Closed:

In both paths the closing event names all of the case's alerts, so the case disposition closes the case together with its alerts.

Review a case in Pending Review#

A case in Pending Review shows a Pending Review panel under the case bar. Use Pending Approval on All Cases to list these cases.

Step 1 Record the review

Read the request and the decision card. Type your reasoning in Review Decision, then click Reject or Approve.

Reopen a case#

Cases in Closed, STR Draft and STR Created show ReOpen in the case bar.

Step 1 Choose the alerts

Click ReOpen. The Reopen Case dialog lists the case's alerts under Alert To Reopen, each with its disposition. All disposed alerts are pre-selected. Uncheck any that should remain closed.

Step 2 Give the reason

Enter Reason for reopening (required; Provide a rationale for opening this case). Optionally add Supporting Documents with Attach File. Click Reopen, or Cancel.

A reopened case has the status Reopened, and its timeline shows a Reopened event with the previous status, the rationale and the reopened alerts.

File an STR#

Fyscal ARCX→Case Manager→Cases→(open a case)→File STR or Preview STR

Where

Case Details → File STR, or Preview STR for a draft

Format

GoTRACS-compliant STR for the AMLC

Steps

Six, from Select Alerts to Narratives

Afterwards

The filed STR is listed in STR Listing

The STR wizard, titled Suspicious Transaction Report (STR) with the subtitle GoTRACS-compliant STR filing for AMLC, prepares a Suspicious Transaction Report for the AMLC from a case. It opens over Case Details and shows the case ID in its header. The case bar shows the STR button that matches the case status:

Before you start

The six steps

The progress bar across the top of the wizard shows the six steps. The current step has a blue number; a step already completed shows a green tick; later steps show a grey number.

The codes after field names, such as H-3 or D-SD-2, are the GoTRACS field codes shown on screen. A red * marks a required field.

Open the STR wizard#

Open the wizard from the case: with File STR to start an STR, or with Preview STR to continue a saved draft.

Step 1 Start an STR from a closed True Match case

Open the case in Case Details. Check that Status reads Closed and Disposition reads True Match, then click File STR in the case bar.

Step 2 Find a case with a saved draft

To continue a draft, go to Cases, open the All Cases tab and type the case ID in Search by Case Title / ID or Customer Name. The case shows the status STR Draft. Click the row to open the case. To list every draft, set the Status filter to STR Draft (see Filter and search cases).

Step 3 Reopen the draft

Click Preview STR in the case bar. The wizard opens at the step where the draft was left. In the example it opens at step 4 Transaction, with steps 1 to 3 ticked (Figure 3.25). Use Previous Step to go back to earlier steps.

Step 1: Select Alerts#

Choose which of the case's alerts the STR covers. The screen states: Transactions and parties from selected alerts appear in subsequent steps.

The footer of step 1, below the list, holds Save as draft and Next Step. Step 1 has no Previous Step.

Step 1 Tick the alerts to report

Tick each alert the STR should cover, or click Select all. Untick any alert to leave out. Check the counter (for example 1 of 1 Selected).

Step 2 Go to step 2

Click Next Step. Step 1 now shows a green tick and step 2 Report Type opens.

Step 2: Report Type#

Choose the type of STR and complete the report header. The values in the figures are those saved in the draft for CASE-2026-0107624.

STR types compared#

Each STR Type card carries a short description. The table sets the five cards side by side, using only what the cards say.

Step 1 Choose the STR type

Under STR Type, click the card that fits the report. The chosen card has a filled radio button and a blue border.

Step 2 Check the institution code

Institution code is filled in for you. Check that it is your institution's code.

Step 3 Choose the supervising agency

Click Supervising agency and click your institution's supervising agency. The current choice is ticked.

Step 4 Choose the submission type

Click Submission type and choose New, Edit/Correction, Delete or Test.

Step 5 Choose the STR trigger

Click STR trigger and choose what led to the report.

Step 6 Enter the date of determination

In Date of determination, enter the date as dd/mm/yyyy or pick it from the calendar icon. Read the Filing deadline message that appears beside it (number 7 in Figure 3.30). In the example, 30/09/2026 gives a deadline of October 7, 2026; viewed on 13 October the message reads Filing deadline: October 7, 2026 (Overdue by 6 days), in red.

Step 7 Go to step 3

Click Next Step. Step 2 now shows a green tick and step 3 Reason for suspicion opens.

Step 3: Reason for suspicion#

Tick the reason codes that explain why the transactions are suspicious. There are two lists: the required primary codes and optional additional codes. Each list scrolls inside the wizard.

Step 1 Tick the primary codes

Under Reason for suspicion codes, scroll the list and tick each code that applies. The counter shows how many are ticked.

Step 2 Check KYC REQ on predicate crimes

Scroll to Predicate crimes — PC1-PC36. Most predicate-crime codes carry a yellow KYC REQ tag at the right; PC 4, PC 5, PC 13 and PC 35 do not.

Step 3 Add MC 01 where it applies

At the end of the list, Transnational organized crime — MC1 holds one code, MC 01: Transnational Organized Crime (used with another predicate crime).

Step 4 Tick any additional codes

Under Additional reason codes, tick any secondary codes. Codes already ticked above are dimmed here.

Step 5 Go to step 4

Click Next Step. Step 3 now shows a green tick and step 4 Transaction opens.

Step 4: Transaction#

Select the suspicious transactions to include in the STR. The list holds the triggered transactions of the alerts selected in step 1. In the example below, the case's only alert is a Name Screening alert, the list is empty and Next Step is greyed out.

Step 1 Narrow the list if needed

Set Period From and Period To to limit the list to a date range. Type offers only All type.

Step 2 Choose the transactions

All triggered transactions are selected by default. Untick any transaction to leave out of the STR, or use Select all and Deselect all. Check Selected and total amount (D-TD-6).

Step 3 Read the note and go to step 5

Scroll to the bottom of the step. The note reads: MOT, Product Type, Purpose of Remittance, and Transaction Code are sourced from ingested data and included automatically in the Format X CSV per selected transaction. Total amount can be manually overridden below. Click Next Step. It is greyed out while no transaction is selected.

Step 5: Subject parties#

Check the parties named in the STR. The screen states: Auto-derived from selected transactions. Click a row to expand and edit. Each party row shows an AH tag, the name as Last, First (or Last, First, Middle) and the customer ID.

The figure comes from a filed STR (STR 694, CASE-2026-0000075) opened read-only from STR Listing, so its fields appear greyed.

Step 1 Expand a party

Click a party row. It expands to show Party role, Account holder, Entity and the IDENTITY, ID DOCUMENTS and ADDITIONAL DETAILS fields.

Step 2 Check and complete the fields

Check Party role and Entity, and whether Account holder should be ticked. Make sure Last name is filled in, then complete the other fields you hold for the party. For a party in the Philippines, fill in ID City code — PSGC.

Step 3 Repeat for each party and go to step 6

Collapse the row with the arrow at its right and repeat for each party in the list. Then click Next Step.

Step 6: Narratives#

Write the narrative of the STR. The figure comes from the same filed STR (STR 694) opened read-only from STR Listing, so the text box appears greyed; the narrative text is hidden.

The footer of step 6 holds only Previous Step. This is the last step, so there is no Next Step.

Step 1 Write the narrative

Type the narrative in STR Narrative. Watch the counter below the box: it shows the number of characters out of 4000 and reads meets GoTRACS recommendation when the text meets it.

Step 2 Check the alerts covered

Read ALERTS COVERED BY THIS STR. If an alert is missing or should not be there, click Previous Step back to step 1 and change the selection.

After the STR is filed#

A case whose STR has been filed has the status STR Created. Its case bar shows Download STR and ReOpen. The filed STR is listed in STR Listing, where you can open it read-only and download its CSV.

If you close the wizard with × before the STR is filed, you return to Case Details. A case that already had a saved draft keeps the status STR Draft and its Preview STR button.

Common blocks#

Alerts list#

Fyscal ARCX→Case Manager→Alerts

The Alerts screen lists alerts raised by Name Screening and Transaction Monitoring. My Queue shows the alerts assigned to you; All Alerts shows all alerts, with summary chips and row checkboxes.

All Alerts chips and filters

On All Alerts, chips above the list (1) show Unassigned, Escalated, SLA Breached and Active Agents, each with a count. Click Show Filters to open the filter bar (2); the button then reads Hide Filters.

Alert Details: Name Screening#

Fyscal ARCX→Case Manager→Alerts→(click an alert)

Alert Details shows one alert. The example is ALT-NS-05102026-000115 for Ramon Michael Castillo Tan: a Name Screening alert with two watchlist candidates that is assigned but not yet started.

Below these, Matches shows each watchlist candidate side by side with the customer (1). Here MICHAEL TAN (2) is selected and RAMON TAN (3) is the second candidate. The highlighted candidate's record opens in the Selected panel (4) with the Identity and Additional Information tabs. All fields are described in Customer, accounts and matches.

AI Summary

Until a summary is generated, the card reads No summary yet and Generating reads this alert and its matches, and costs one run against the daily limit. Click Generate summary to create one. The AI Summary control at the top right of the card collapses and expands it. The prompts behind the summary are managed in Agentic Workflows (see Case Manager Config).

A generated summary, as on the Transaction Monitoring alert in Figure 3.48, has:

Alert timeline

Timeline & Notes opens the Activity Timeline for the alert, headed with the alert number. It has the same ADD A NOTE, Attach File and Add note controls as the case timeline (1). Events are listed newest first, each with its date and time:

Alert Details: Transaction Monitoring#

A Transaction Monitoring alert has the same layout, with the evidence tabs Analytics, Transactions, Other Cases / Alerts and Rule Analysis in place of Matches (see Transaction Monitoring evidence tabs). The example is ALT-TMS-13092026-187809 for Margarita Ong Abalos: a Closed alert that belongs to a case. Its decision was recorded again on 13 Oct 2026, and the new decision leaves Disposition, Rationale Code and Details blank.

Work an alert#

These are the controls on Alert Details as an alert moves from Not Started to a decision. Which controls appear depends on the alert's status and on whether it is assigned and grouped; the table records what the example alerts show.

Examples: ALT-NS-05102026-000115 (Figure 3.45), ALT-NS-20260813121854684951 (Figure 3.49) and ALT-TMS-13092026-187809 (Figure 3.48).

Step 1 Check the alert's status and owner

Read Status and Assigned To in the alert bar. On the Not Started example, Start Investigation is shown in grey next to Timeline & Notes and Disposition is greyed out (Figure 3.45). On an alert that is Under Investigation and assigned (1 in Figure 3.49), Start Investigation is not shown and Disposition can be opened.

Step 2 Choose a disposition

Open Disposition (Select outcome) (2) and choose True Match, False Match or Potential Match. What happens after you choose is not covered in this edition.

Step 3 Group the alert into a case

An alert that is Under Investigation and not in a case shows Group into Case (3) at the right of the alert bar. From a case, you can also bring ungrouped alerts in with Add Alerts. The result of Group into Case is not covered in this edition.

Alert status changes recorded on screen

Reopening a case reopens the alerts you leave selected. The Reopen Case dialog pre-selects every disposed alert (Uncheck any that should remain closed), and the case timeline then records n alert(s) Reopened with a link to each alert (see Reopen a case). The alert statuses offered by the Status filter are Not Started, Under Investigation, Pending Review, Escalated, Closed and Reopened.

Open Fyscal ARCX in the sidebar, then Case Manager, then Config. Config lists four pages: Case Creation & Assignment, Alert Assignment, Agentic Workflows and Team Management. The sidebar shortens long names (for example Case Creation …, Team Manage…).

Case Creation & Assignment: Active Configuration#

Fyscal ARCX→Case Manager→Config→Case Creation & Assignment

Controls

Which alert types become cases, how they are grouped, who receives the cases

Grouping key

Customer ID, case age and status (on-screen banner)

Example

Transaction Monitoring only; Group 1; Method Sequential

Versions

One ACTIVE configuration; earlier ones INACTIVE in Configuration History

Check this page to see which alert types are turned into cases, how they are grouped and who the cases are assigned to. It shows the configuration that is currently ACTIVE for turning alerts into cases. It has three panels: Merge Alerts to a Case, Alert Type Grouping and Auto Assignment of Cases. The page opens on the Active Configuration tab, read-only, with an Edit button.

How the three panels fit together

1. Alert raisedIts type is ticked under Merge Alerts to a Case
2. GroupAlert Types, Case age, Case Status
3. Merged into a caseBy customer ID, case age and status
4. AssignedGroup → Person, by Method (Sequential)

Read the page from top to bottom. Merge Alerts to a Case picks the alert types that are turned into cases. Each Alert Type Grouping card says which of those types are merged together. Auto Assignment of Cases then maps each group to one or more people, with a Method for sharing the cases among them.

Edit the case creation configuration#

Fyscal ARCX→Case Manager→Config→Case Creation & Assignment→Edit

Use edit mode when you need to change which alerts become cases, how they are grouped or who receives the cases. Edit mode shows the same three panels with editable controls. The header line (status, Created At, Created By, Config version) stays at the top, and Cancel and Save appear at the bottom of the page.

Step 1 Open edit mode

On the Active Configuration tab, click Edit at the top right. The controls become editable and Cancel and Save appear at the bottom of the page.

Step 2 Choose the alert types for case creation

Under Merge Alerts to a Case, tick or clear Name Screening and Transaction Monitoring.

Step 3 Set up each group

In each group card, set Alert Types (click × on a tag to remove it, or open the field's list with the arrow at its right), move the Case age slider to the number of days you need, and set Case Status in the same way as Alert Types.

Step 4 Add a group if needed

Click Add Group below the last group card to add a group.

Step 5 Map groups to people

Under Auto Assignment of Cases, choose the Group, the Person or people, and the Method. Click Add Mapping to add another mapping.

Step 6 Save or cancel

Click Save to keep your changes, or Cancel to leave edit mode without saving.

Configuration History#

Fyscal ARCX→Case Manager→Config→Case Creation & Assignment→Configuration History

Use Configuration History to look back at earlier case creation configurations and open any of them read-only. The Configuration History tab lists the case creation configurations, newest first: the one that is ACTIVE and the earlier ones, which are INACTIVE. The example lists 72 configurations over 4 pages.

Step 1 Open an earlier configuration

Click a row. The Configuration Details dialog opens with the row's status (for example INACTIVE), Config Version ID, Created At (with seconds and time zone offset) and Created By, followed by the same three panels as the Active Configuration tab, read-only. Figure 4.4 shows configuration a9111850-22b7-4275-af80-7b12123ebeaa: Name Screening is ticked under Merge Alerts to a Case, and Group 1 holds Name Screening NS, with a Case age of 30 days and Case Status Escalated and Under Investigation.

Step 2 Close the dialog

Click × at the top right of the dialog.

Alert Assignment#

Fyscal ARCX→Case Manager→Config→Alert Assignment

Alert Assignment holds the settings for assigning alerts to people: the alert types it applies to, and for each mapping the people who receive the alerts and the method used to share them out. It works like Case Creation & Assignment: the page opens on the Active Configuration tab, read-only, with an Edit button, and earlier versions are listed on the Configuration History tab.

The Configuration History tab has the same columns as in Configuration History (Figure 4.3): Configuration, Status, Created At and Created By. The example lists 8 configurations: one ACTIVE and seven INACTIVE.

Step 1 Open edit mode

On the Active Configuration tab, click Edit. The controls become editable and Cancel and Save appear at the bottom of the page.

Step 2 Select the alert types

Under Alert Types, tick the alert types the assignment is for.

Step 3 Set up each mapping

In each mapping card, set Alert Types, the Person or people (click × on a tag to remove it, or open the field's list with the arrow at its right) and the Method.

Step 4 Save or cancel

Click Save to keep your changes, or Cancel to leave edit mode without saving.

Agentic Workflows: Prompt Config#

Fyscal ARCX→Case Manager→Config→Agentic Workflows→Prompt Config

Prompts

Case Copilot, Name Screening Alert Summary, Transaction Monitoring Alert Summary

Active model

openai/gpt-oss-120b, version v3 (Model Config)

Editing

Publishing a prompt creates a new version

Use Prompt Config to read the prompts behind Case Copilot and the alert summaries, and to compare their revisions. Agentic Workflows has two tabs: Prompt Config, which holds the prompts, and Model Config, which holds the model configuration (see Agentic Workflows: Model Config). Prompt Config shows one card per prompt.

Step 1 Open a prompt

Click a card. A panel opens on the right with the prompt's name, Edit, a close button (×), the revision navigator and the prompt sections. Figure 4.8 shows Name Screening Alert Summary.

1. Edit opens the prompt for editing (see Edit and publish a prompt).
2. Previous revision.
3. The revision shown: version (v2), status (Active) and publish time (17 Aug, 07:39 PM). Click it to open the revision picker.
4. Next revision.
5. DESCRIPTION: what the prompt is for.
6. TASK: "Analyze this name screening alert and provide a structured summary."
7. ROLE, collapsed. Click to expand.
8. EXPECTED RESPONSE (7 FIELDS), collapsed. Click to expand.

:::

Step 2 Pick a revision

Click the revision in the navigator. A list opens with a search box (1) (Find a version, e.g. 7) and one row per version: v2 (2) (marked Active, 17 Aug, 07:39 PM) and v1 (3) (13 Aug, 03:02 PM). The footer (4) reads 7 of 7 loaded. The arrows either side of the navigator are labelled Previous revision and Next revision.

Step 3 Read the Role

Click ROLE (1). For Name Screening Alert Summary v2, the Role opens with "You are a expert AML compliance analyst assistant." and then two lists. INVESTIGATION RULES (2) has eleven rules, starting with the tie-breaker priority "Name > Date of Birth > Nationality > Government ID > Place of Birth > Gender > Address". DATA INTEGRITY RULES (3) has two rules: "Use only supplied data. Never invent identifiers, allegations, or sources. If unknown, say "Unknown"" and "Every substantive claim must cite its source (watchlist record or customer data); output [source: <field_name>] tags".

Step 4 Read the Expected Response

Click EXPECTED RESPONSE (7 FIELDS), below the Role. It lists the fields of the response, with a list label on list fields, the allowed values where there are any, and a short description. For Name Screening Alert Summary v2 the fields are:

Field	Type shown	Values or description shown
verdict	(none shown)	likely_true_match, likely_false_match, inconclusive, insufficient_data
one_line_summary	(none shown)	"max 10 words, very short verdict reason"
rationale	(none shown)	"2-3 sentence justification suitable for audit trail"
key_findings	list	"3-5 bullet points of the most important findings across all matches"
identity_comparison	list	"bullet points comparing key attributes: name, DOB, nationality, gender, address, ID — state customer vs watchlist values"
risks_and_gaps	list	"bullet points combining active risk flags (PEP, sanctions, adverse categories) AND missing data that limits analysis — keep concise"
recommended_action	(none shown)	"specific recommended next step for the analyst"

Step 5 Close the panel

Click × at the top right of the panel.

Edit and publish a prompt#

Fyscal ARCX→Case Manager→Config→Agentic Workflows→Prompt Config→(prompt)→Edit

Edit a prompt when you need to change its Description, Task or Role; publishing creates a new version. Clicking Edit in a prompt panel switches the panel to an edit form. A banner states which version you are editing from and which version publishing creates, for example "Editing from v2 · publishing creates v3".

Step 1 Open the prompt for editing

Open the prompt's card on Prompt Config, then click Edit.

Step 2 Change the text

Edit Description, Task and Role. Watch the Description counter, which shows the length against 500.

Step 3 Publish or cancel

Click Publish v3 (the button names the version that will be created), or Cancel to leave the form without publishing.

Agentic Workflows: Model Config#

Fyscal ARCX→Case Manager→Config→Agentic Workflows→Model Config

Use Model Config to see which model configuration is active, to update it, or to restore an earlier one. The Model Config tab shows the active model configuration at the top and the earlier ones under Previous configurations.

Step 1 Open Update model

Click Edit model. The Update model dialog opens with the text "Saving publishes a new configuration and retires the current one. The API key cannot be read back, so enter it again." Model, Version and Temperature show the current values (openai/gpt-oss-120b, v3, 1 (Creative)). Agent Key is empty.

Field	Helper text on screen	Required	Options or format
Model (1)	"Give your model a readable, unique name, like openai/gpt-oss-120b. This is how it will display for configuration."	Yes (*)	Text
Version (2)	"Your own label for this configuration. Free text."	Yes (*)	Text
Temperature (3)	(none)	No	0.2 (Server default), 0.5 (Slightly varied wording), 0.7 (Varied), 1 (Creative)
Agent Key (4)	"Stored encrypted. It is never displayed again after saving."	Yes (*)	Secret text; placeholder "Secret key used to call the agent"; an eye icon at the right of the field

Step 2 Complete the fields

Check or change Model and Version, choose a Temperature, and enter the Agent Key. The dialog states that the key cannot be read back, so it must be entered each time.

Step 3 Update or cancel

Click Update (5). As the dialog states, saving publishes a new configuration and retires the current one. Click Cancel or × to close the dialog without saving.

The new configuration becomes the Active one at the top of the tab, and the one it replaces is listed under Previous configurations with the status Inactive.

Team Management: the hierarchy list#

Fyscal ARCX→Case Manager→Config→Team Management

Team Management lists the hierarchy templates. From here you add a hierarchy, view its details, and open the builder where its roles and members are arranged. A warning sits at the top of the page: "Changing these values may impact system stability. Proceed only if you understand the configuration."

Below the list: the row count (for example Showing 1-20 of 89), Rows per page (20), the page indicator (Page 1 of 5) and first, previous, next and last page buttons. The list is ordered by ID, highest first, so the example AML Hierarchy (ID 4) is on the last page.

Step 1 Find a hierarchy

Type a template ID or name into Search by template ID or name.

Step 2 Filter by status

Click Show Filters; the button now reads Hide Filters (1). A Status filter appears above the list. Open Select Status (2) and choose Active, Inactive or Removed (3). Click Hide Filters to hide the filter again.

Step 3 Open a row's actions

Click ⋮ (1) in the Actions column. The Actions menu lists Edit (2), View (3) and Hierarchy Builder (4).

Add a hierarchy#

Fyscal ARCX→Case Manager→Config→Team Management→+ Add Hierarchy

Use this dialog when you need a new hierarchy template. + Add Hierarchy opens the Add New Hierarchy Template dialog: "Create a new hierarchy template to define organizational structures."

Step 1 Open the dialog

Click + Add Hierarchy at the top right of Team Management.

Step 2 Complete the form

Enter a Name, leave Status at Active or choose Inactive, and add a Description if you need one.

Step 3 Add or cancel

Click Add, or Cancel or × to close the dialog without adding.

View a hierarchy's details#

Fyscal ARCX→Case Manager→Config→Team Management→⋮→View

Open a hierarchy's details to check its IDs, description, status and dates without changing anything. Choose View from a row's Actions menu. A details dialog opens, titled View API Key (1), with a two-column table (Name, Value) and a Close button. Figure 4.18 shows the details of AML Hierarchy, ID 4.

Click Close (4) or × to close the dialog.

The hierarchy builder: Template Builder tab#

Fyscal ARCX→Case Manager→Config→Team Management→⋮→Hierarchy Builder→Template Builder

Use the Template Builder tab to see which roles a hierarchy has and the level each role sits at. Choosing Hierarchy Builder from a row's Actions menu opens the builder for that hierarchy. The builder has two tabs, Template Builder and Hierarchy Builder. The Template Builder tab is headed Hierarchy Template Builder: "Create a template, assign roles, and arrange their hierarchy levels."

The hierarchy builder: Hierarchy Builder tab#

Fyscal ARCX→Case Manager→Config→Team Management→⋮→Hierarchy Builder→Hierarchy Builder

Use the Hierarchy Builder tab to see who belongs to each depth of the hierarchy and how the members are connected. The Hierarchy Builder tab shows the hierarchy as a chart on a canvas. Each person is a card labelled with their role (for example AML ADMIN, AML TEAM LEAD) and their name, and lines connect each card to the cards at the next depth below it. On this tab the sidebar is shown as a narrow icon rail.

The customer list#

Fyscal ARCX→Customers→Customer 360

Start from the customer list to find the customer you need. The Customer 360 page shows one row per customer, with a search box, a Refresh button and a Show Filters button above the table.

Below the table, the count line and the page controls show where you are in the list. The list shows 20 customers per page.

Search and filter the list#

Fyscal ARCX→Customers→Customer 360→Show Filters

Use the search box to find one customer, and the filters to narrow the list by KYC level, risk tier or country.

Step 1 Search for a customer

Click the Search by Customer Name / ID box and type the customer's name or Customer ID, for example CUST-FYSCAL-604554.

Step 2 Open the filters

Click Show Filters. Three filters appear below the search box: KYC Level (1), Risk Tier (2) and Country (3), each set to All. The button now reads Hide Filters (4); click it to close the filter bar.

Step 3 Filter by KYC Level

Click the KYC Level box (1) and choose one option. A tick marks the current choice (All (2)). The other options are Advanced, Basic and Complete.

:::

Step 4 Filter by Risk Tier

Click the Risk Tier box. The list has a search box (1), followed by Low, Medium and High. Click the tier to show.

:::

Step 5 Filter by Country

Click the Country box. Type part of a country name in the search box (1) at the top of the list, then click the country. The list (2) is alphabetical and long (243 options), so searching is quicker than scrolling.

Step 6 Reload the list

Click Refresh to reload the list.

The Customer Profile#

Fyscal ARCX→Customers→Customer 360→customer name

Open the Customer Profile to see everything held on one customer: profile tags, financial details, accounts and the tabs described below, starting with the Customer Risk Score. Click a customer in the list to open the Customer Profile. The breadcrumb reads **Fyscal ARCX › Customer 360 ›**customer name; click Customer 360 in it to return to the list. The examples in this chapter use the customer Rafael Serrano Dimaculangan (CUST-FYSCAL-604554).

Step 1 See the full customer details

Click More at the top right of the profile card. Three panels open between the summary cards and Accounts. The button now reads Less (1); click it to close them.

Customer Risk Score tab#

Fyscal ARCX→Customers→Customer 360→customer name→Customer Risk Score

The Customer Risk Score tab shows the result of the customer risk profile (CRP) for one customer: their risk score, its band, and how each attribute adds to it. It is the first tab of the Customer Profile. The same score appears as a coloured tag next to the customer's name, so you see the risk level as soon as you open the profile.

Each row shows the attribute's Weightage and the Score of the customer's value. The total at the top is the sum of score × weightage for all attributes, as described in How the risk score is worked out. For this customer:

Analytics tab#

Customer Profile→Analytics

Use Analytics for a summary of how money moves in and out of the customer's accounts. Analytics is the tab that is open when the profile loads. It summarises the customer's incoming and outgoing transactions, the top counterparties and the transaction types. The panel header shows the customer's name.

In the example, incoming money is shown in PHP, USD, JPY and SGD, and outgoing money in PHP, USD, EUR and JPY. Totals are not converted to a single currency.

Transactions tab#

Customer Profile→Transactions

Use the Transactions tab when you need the individual transactions behind the analytics, or a CSV export of them. The Transactions tab shows charts of the customer's transaction activity and a table of the transactions. The count on the tab (19 in the example) is the number of transactions.

In the example, the charts cover 10 Oct to 14 Oct and show no activity, while the table lists 19 transactions dated 21 Jul. Change the date range above the charts to chart a different period.

Other Cases / Alerts tab#

Customer Profile→Other Cases / Alerts

Check this tab to see whether the customer has been investigated before. The Other Cases / Alerts tab lists the cases and alerts raised for this customer. Cases are managed in Case Manager.

Screening History tab#

Customer Profile→Screening History

Use this tab to see when the customer was screened against the watchlists and with what result. The Screening History tab lists the name-screening runs that included this customer, newest first.

The example shows six runs (RUN IDs 466, 465, 464, 463, 430 and 397), all Delta Screening with No Alerts. Screening runs are described in Name Screening.

STR History tab#

Customer Profile→STR History

Use this tab to check whether STRs have already been filed that involve the customer. The STR History tab lists Suspicious Transaction Reports (STRs) linked to this customer, in the same columns as the STR Listing register.

The case in this row, CASE-2026-0034611, is the case listed under Other Cases / Alerts. For what each column means and how to open a filed STR, see STR Listing.

Review a customer during an investigation#

Fyscal ARCX→Customers→Customer 360→customer name

When

While you work an alert or case for the customer

Where

Customer 360 → the Customer Profile

Edits

None: the profile shows no edit controls

Output

Notes for the case timeline and the rationale

Use the Customer Profile to compare what the customer said they would do with what they actually did, and to check their history. Work through it in the order below and note what you find in the case's Timeline and notes.

1. ProfileTags, More, Accounts
2. Customer Risk ScoreScore, band, attributes scored 0
3. AnalyticsTotals per currency and period
4. TransactionsThe individual records, Export CSV
5. Other Cases / AlertsEarlier investigations
6. Screening HistoryWatchlist screening results
7. STR HistorySTRs already filed

The order goes from what the customer declared, to what they did, to what the institution already knows about them. Each step below matches one box of the diagram.

Step 1 Read the profile

Open the customer (see The Customer Profile). Note RISK, KYC, STATUS and PEP Flag, then click More and note Expected Monthly Spend, Purpose, Expected Txn Frequency and Sanctions. Check the account status under Accounts.

Step 2 Check the risk score

On Customer Risk Score, note the score and its band, which attributes add the most to it, and any attribute scored 0 because of No value provided or Unable to match value to any scoring row.

Step 3 Compare with the Analytics totals

On Analytics, choose the period (1D, 7D, 30D or All) that you want to compare with the profile. Read INCOMING and OUTGOING one currency at a time: totals are not converted to a single currency. Note the largest transaction (MAX) and the top counterparties.

Step 4 Check the individual transactions

On Transactions, find the transactions behind the totals: their dates, types and counterparties. Set the date range above the charts to the period of the transactions, and use Export CSV if you need the list outside the platform.

Step 5 Look for earlier cases and alerts

On Other Cases / Alerts, check the Cases and Alerts counts and the status and disposition of earlier cases.

Step 6 Check the screening results

On Screening History, check when the customer was last screened and the Alert Score of each run.

Step 7 Check for earlier STRs

On STR History, check whether STRs have already been filed and open them in STR Listing if you need the detail.

Worked example: profile against activity

The values below are all on screen for Rafael Serrano Dimaculangan (CUST-FYSCAL-604554), with All selected on Analytics (Figure 5.10) and the profile expanded with More (Figure 5.8). The Transactions tab lists 19 transactions, all dated 21 Jul.

None of these points decides the case on its own. Record them, with the values, in your notes and in the rationale when you dispose the alerts (see Dispose alerts and close a case).

Customer risk profile (CRP)#

Fyscal ARCX→Customers→Risk Score Configuration

The customer risk profile (CRP) gives every customer a risk score from 0 to 100, worked out from their customer data. Administrators decide which customer details count towards the score and how much each one counts; the platform applies the same settings to every customer. The CRP is set up on two pages under Customers, next to Customer 360:

• Risk Score Configuration: the attributes that are scored, the score of each attribute value, and the weightage of each attribute.
• Score Configuration: the score bands, such as Low, Medium and High, that turn a score into a risk level.

Each customer's score, and how each attribute adds to it, is shown on the Customer Risk Score tab of their Customer Profile.

Who

Administrators and compliance heads who own the risk methodology

Where

Fyscal ARCX → Customers → Risk Score Configuration and Score Configuration

Changes

Made in a draft, then activated; every version is kept in the history

Limits

Each value score 0 to 100; weightages 100% in total at most

How the risk score is worked out

The configuration has three parts. Each attribute is a customer detail, such as KYC Level, PEP Status or Nationality. Each attribute has rows that give a Score from 0 to 100 to one or more of its values, for example KYC 1 scores 20 and KYC 0 scores 10. Each attribute also has a Weightage, the share of the total risk score it carries, in per cent.

1. AttributesCustomer details to score, e.g. KYC Level, PEP Status
2. Value scores0 to 100 for each value, e.g. PEP = 80
3. Weightage% per attribute, 100% in total at most
4. Risk score0 to 100 for each customer
5. Score bandLow, Medium or High (Score Configuration)

For each attribute, the platform takes the score of the customer's value and multiplies it by the attribute's weightage. The risk score is the sum of these weighted scores:

Risk score = (score × weightage) for each attribute, added together

The score used for each attribute is the score of the row that matches the customer's value. There is no normalisation, and the scores of the rows within one attribute do not have to add up to 100: each row's score stands on its own.

Because every value score is between 0 and 100 and the weightages add up to 100% at most, the risk score is always between 0 and 100. The score bands in Score Configuration then give the risk level: with the bands of the draft shown in Set the score bands, a score below 71 is Low, 71 to below 80 is Medium, and 80 to 100 is High.

Worked example

These values are from the Customer Risk Score tab of the customer Emiliano Earl Gica Alvarez (Figure 5.9), scored with the active configuration in Figure 5.17.

Occupation adds the most here: 4.8 of the 9 points. If the same customer were a PEP, PEP Status would add 80 × 20% = 16 points and the score would be 25. Raising an attribute's weightage makes its values move the risk score more; lowering it makes them count less.

When the customer data has no value for an attribute, the Customer Risk Score tab shows No value provided. Scored 0. for it.

Set up the risk score attributes#

Fyscal ARCX→Customers→Risk Score Configuration

Open Risk Score Configuration to see the attributes, scores and weightages in use. The page has two tabs: Active Configuration, the configuration in force, and Configuration History, every version saved (see Configuration history).

Step 1 Start when no attributes are configured

Before any attribute is added, the page shows 0 Attributes and the message No attributes configured yet, and Total Weightage is 0%. Click Add Attributes, tick the attributes to score, and click Add. Edit and Activate stay unavailable until there is something to activate.

Step 2 Read the active configuration

When a configuration is active, the page shows who created it and when, its Config version and the status ACTIVE. The Total Weightage panel shows each attribute's weightage as a bar, and each attribute below lists its values and their scores.

Step 3 Edit: work in a draft

Click Edit. The page opens a draft with the status DRAFT and its own Config version; the active configuration stays in force until you activate the draft. Each attribute now has a Weightage box, a delete icon and an arrow that opens its values.

Step 4 Add attributes

Click Add Attribute below the last attribute. In the dialog, tick each customer attribute to score, or Select All, and click Add. The attributes are added to the draft, each with a weightage to fill in.

Step 5 Give each value a score

Open an attribute with its arrow. Each row links one or more values of the attribute to a score: choose the values in the row's list (they appear as tags, such as KYC 1), then type the Score, from 0 to 100. Click Add Row for another value, and the delete icon at the end of a row to remove it.

Step 6 Set the weightages

Type a Weightage for each attribute. Watch Total Weightage at the top: the weightages of all attributes together must not exceed 100%. When they add up to exactly 100%, the tag reads Totals 100% and the risk score can use the full range from 0 to 100.

Step 7 Save or activate

Click Save Draft to keep the draft and come back to it later, or Activate to put it in force. The activated version becomes ACTIVE in Configuration history, and the version that was active before becomes INACTIVE. To drop the draft, click Discard draft.

Rules the configuration follows

Set the score bands#

Fyscal ARCX→Customers→Score Configuration

Score Configuration sets the bands that turn a risk score into a risk level. Each band has a name, a colour and a score range; together the bands cover the whole range from 0 to 100. Like the risk score configuration, the bands are changed in a draft and then activated, and every version is kept under Score Configuration History.

The bands of the draft in Figure 5.21, which is not the active configuration:

Step 1 Change the bands

Open the draft and edit a band's Name, Color or Max score. You only type the maximum. Min score cannot be edited: each band's Min score follows the previous band's Max score automatically (here Medium starts at 71 because Low ends below 71). The first band starts at 0 and the last band ends at ≤ 100.

Step 2 Add or remove a band

Click Add band to add a band, or the delete icon to remove one. Check that the bands still run from 0 to 100 without a gap.

Step 3 Activate

Click Activate to put the bands in force, or Save Draft to finish later.

Configuration history#

Fyscal ARCX→Customers→Risk Score Configuration→Configuration History

Every version of the risk score configuration is kept. Open the Configuration History tab to see which version is in force, who created each version and when. Score Configuration has the same list under Score Configuration History.

Use the history to answer an auditor's question about which risk methodology applied on a given date: find the version that was ACTIVE at that time, by its Created date and the date of the next activation.

1. CaseFile STR, or Preview STR for a draft
2. STR wizardSix steps, Select Alerts to Narratives
3. STR Created caseDownload STR on the case
4. STR ListingDownload CSV; open read-only
5. Customer 360STR History tab of the customer

An STR is prepared from a case in Case Manager with the six-step STR wizard. A filed STR appears as a row in this register. In the examples, the case then shows the status STR Created with Download STR, and STRs are also listed on the STR History tab of a customer in Customer 360. The field-by-field reference for the six steps is in Case Manager (Step 1 to Step 6); this chapter shows what a filed STR looks like, using STR 694.

The STR register#

Fyscal ARCX→STR Listing

Use the register to see the filed STRs and pick the one you need. The STR Listing page shows the filed STRs, newest first, with a search box, a Refresh button and a Show Filters button above the table.

Search and filter the register#

Fyscal ARCX→STR Listing→Show Filters

Use the search box when you know the case title, case ID or STR ID, and the filters to narrow the register by creation date or by the user who created the STR.

Step 1 Search for an STR

Click the Search by Case Title / Case ID / STR ID box and type a case title (for example Harish Sinha), a case ID (for example CASE-2026-0000075) or an STR ID (for example 694).

Step 2 Open the filters

Click Show Filters. The Creation Period (1) and Created By (2) filters appear below the search box, and the button reads Hide Filters (3). Click Hide Filters to close them.

Step 3 Filter by the user who created the STR

Click the Created By box (1) (it shows All Assignees) and click a user in the list (2). In testing, the list showed one entry, the signed-in user, marked (You).

Step 4 Filter by creation date

Click the Creation Period box (it shows Pick a date range). A two-month calendar opens. Pick the start and end dates of the range. Use the arrows (1, 2) beside the month names to change month. Today's date is highlighted (3).

Step 5 Download an STR's CSV

In the row of the STR, click the download icon in the Download CSV column (5 in Figure 6.1).

Open a filed STR#

Fyscal ARCX→STR Listing→STR row

Where

STR Listing → click a row

Mode

Read-only: no save or submit button

Steps

The same six steps as the STR wizard

Field reference

File an STR in Case Manager

Open a filed STR to read exactly what was reported, step by step. Click an STR row to open it. The STR opens in a dialog over the page, titled Suspicious Transaction Report (STR), with the subtitle GoTRACS-compliant STR filing for AMLC and the case ID. The dialog has six steps, the same steps used to file an STR from a case: Select Alerts, Report Type, Reason for suspicion, Transaction, Subject parties and Narratives. A filed STR opens read-only: its values are shown in greyed fields and ticked or unticked boxes, and there is no save or submit button. Behind the dialog, the sidebar is shown collapsed to a narrow strip of icons.

The figures below show STR 694, filed from case CASE-2026-0000075 (Harish Sinha).

Step 1: Select Alerts#

This step shows which of the case's alerts the STR covers. It lists the case's alerts under the heading Alerts to include in STR, with the instruction Transactions and parties from selected alerts appear in subsequent steps. A ticked box marks each alert included in the STR.

Each alert shows the customer name, the alert's disposition (for example False Match or True Match; none when the alert has no disposition), its alert ID (for example ALT-TMS-20260626072003.357618915-d24534), the customer ID (for example TEM-CUST-10L847), the rule (for example Rule: TMR-26062026-000367) and, for transaction-monitoring alerts, the number of transactions (for example 1 transactions). Name-screening alerts (IDs starting ALT-NS) show Rule: with no value.

Step 2: Report Type#

This step shows the type of report and its filing details, including the date of determination from which the filing deadline is worked out.

For each field's options, required marker and help text, see Step 2: Report Type in Case Manager. The five STR types are compared in STR types compared.

Next to the date, a message shows the filing deadline worked out from it: in the example, Filing deadline: August 31, 2026 (Overdue by 44 days) on 14 October 2026, in red (7 in the figure). The number of days overdue grows each day. The codes after each label (H-3, D-SD-2 and so on) are the field codes shown on screen for the AMLC GoTRACS report.

Step 3: Reason for suspicion#

This step shows the reason codes the STR cites, as primary codes and as additional codes.

A filed STR shows no selection counter on this step.

Each section has three groups, which scroll inside the dialog: Suspicious circumstances — SC1-SC6, Predicate crimes — PC1-PC36 and Transnational organized crime — MC1.

The description of every code, and which predicate-crime codes carry a KYC REQ tag, is listed once in Step 3: Reason for suspicion in Case Manager.

Step 4: Transaction#

This step shows which of the case's transactions are included in the STR, their total amount, and the role of each party in them.

The party-role letters next to each sender and receiver (S, B, C, T, O) are explained in the Party Role table in Step 4: Transaction.

The note below the legend reads: "MOT, Product Type, Purpose of Remittance, and Transaction Code are sourced from ingested data and included automatically in the Format X CSV per selected transaction. Total amount can be manually overridden below."

Step 5: Subject parties#

This step shows the parties named in the STR and their identity details. It lists the parties under the heading Subject parties: "Auto-derived from selected transactions. Click a row to expand and edit." Each party row shows a tag (AH), the name in the form Last, First (or Last, First, Middle) and the customer ID. Click a row to expand it.

For each field's required marker and placeholder, see Step 5: Subject parties in Case Manager.

STR 694 lists 11 parties: Sinha, Harish; Banerjee, Leena; Agarwal, Girish; Dubey, Kunal; Mishra, Smita; Villacorta, Rodolfo, Aguilar; Halili, Cristina, Garcia; Domingo, Benedict, Abella; Valdez, Ella, Fajardo; Singh, Aman; Joshi, Neha. These are the parties behind the +8 tag in the register's Subjects column (three names shown plus eight more).

Step 6: Narratives#

This last step shows the written narrative of the STR and the alerts it covers.

Close the dialog with the × at its top right to return to the register.

Where STRs come from#

Read this if you want to file a new STR. STR Listing has no button to create an STR. An STR is filed from a case in Case Manager, using the same six steps shown above; see that chapter for how to file one, and Diagram 6.1 at the top of this chapter for the path an STR takes. A case whose STR has been filed shows the status STR Created, as in Figure 5.12. To see the STRs linked to one customer, open the customer's STR History tab in Customer 360.

1. Watchlist loadedLSEG and Internal Watchlist files, in Data Ingestion
2. Customers screenedBatch Screening and Delta Screening runs
3. Matches scoredEach watchlist candidate gets a band and a percentage
4. Alert raisedFor example LOW 84.29%
5. Analyst decidesTrue Match, False Match or Potential Match, in Case Manager

Diagram 7.1 shows where each part of this chapter fits. Watchlist files are loaded in Watchlist Ingestion and can be looked up in Watchlist Search. Batch Screening and Delta Screening list the runs and the alerts each one created. Each alert shows its band and percentage, and the bands are set in Alert Configuration. The analyst reviews the matches and records a disposition in Case Manager; Review a name-screening match explains how to decide.

Watchlist Search#

Fyscal ARCX→Name Screening→Watchlist Search

Use Watchlist Search to look up records on the watchlist by name, narrow them with filters and open any record's details. The table stays empty until you search.

Filters

Each filter opens a list with a search box at the top, so you can type to find an option.

Results columns

Step 1 Search by name

Type the name in Search by Name, for example John Smith. The table fills with matching records and a Name: John Smith tag appears under the filters. A common name returns many records: this search returns 20, and the footer reads Showing 20 results.

Step 2 Narrow the results with a filter

Click a filter, for example PEP Status (1), and choose an option from the list (3). You can type in the list's search box (2) to find an option.

Step 3 Read the results

Compare UID, PEP Status, Country, Category and Date of Birth to tell records with the same name apart (dates of birth are hidden in the figure). Use the arrows at the bottom right to move between pages.

Step 4 Clear the search

Click the × on the Name tag to remove that one filter, or click RESET FILTERS to clear them all.

Watchlist Entity Details#

Fyscal ARCX→Name Screening→Watchlist Search→a result row

Open a record's details when you need more than the results table shows: its identity, risk background, network and sources. Click a row in the results to open the Watchlist Entity Details dialog for that record. The dialog's heading is the entity name. Below it, two summary cards show Entity Name, UID, PEP Status and Category. These cards stay in place while you move between the four tabs: Profile & Identity, Risk & Background, Network & Locations and Source. A field shows -- when the record has no value for it. Click × at the top right to close the dialog.

The figures below show record 3601955, JOHN SMITH, with PEP Status PEP and Category LEGAL. Third-party details from the watchlist (date and place of birth, address, associates, biography, identification, reports and source links) are hidden in the figures.

Manual Screening#

Fyscal ARCX→Name Screening→Manual Screening

Use Manual Screening to screen one person or company by entering their details yourself. Next to each field the form shows the weightage it carries, taken from the active Screening Configuration.

Step 1 Enter the name

Type the customer's name in Customer Name. This is the only field marked as required (*).

Step 2 Choose the entity type

Open Entity Type (1) and choose Individual or Company (2).

Step 3 Choose the gender

Open Gender and choose Male, Female or Other.

Step 4 Pick the date of birth

Click Date of Birth. In the calendar, choose the month and year from the two lists at the top (2), or move with the arrows (1, 3), then click the day. Today's date is highlighted (4) and dates after it are greyed out.

Step 5 Add citizenship and address

Type Citizenship, then fill in whichever address fields you have: Street, City, Province/Region and Address Country.

Step 6 Screen, or start again

Click Proceed to screen to run the screening. To clear the form instead, click Reset.

Batch Screening#

Fyscal ARCX→Name Screening→Batch Screening

Use Batch Screening to check whether batch runs succeeded and how many alerts they created. Batch Screening lists the batch screening runs. For each run it shows how many customers were scanned, how many alerts were created, and the run's status and duration. The page has no Change Schedule button, and clicking a row does not open a detail view.

Step 1 Filter runs by status

Click Status (1) and choose Screening In Progress, Screening Success or Screening Failed (3). You can type in the list's search box (2) to find a status.

Step 2 Filter runs by date

Click Run Date ("Pick a date range") and choose the first and last day of the period.

Step 3 Refresh the list

Click Refresh to reload the table.

Delta Screening#

Fyscal ARCX→Name Screening→Delta Screening

Use Delta Screening to follow the delta runs and to change when they run. Delta Screening shows the delta screening schedule and lists its runs, including the next scheduled run. Unlike Batch Screening, this page has Resume and Change Schedule buttons.

The two screening pages differ as follows:

The Watchlist Count also differs in size: 6,792,763 on the batch runs of 05 Oct, and 12,396 on the delta runs of 23 Sep.

The table shows 20 runs per page (Showing 1-20 of 30, Page 1 of 2).

Step 1 Filter runs by status

Click Status (1) and choose All Status, Scheduled, In Progress, Completed, Failed or Paused (3). A tick marks the current choice (2).

Step 2 Filter runs by date

Click Date Range. A two-month calendar opens. Click the first and last day of the period, then click Apply. Clear removes the range.

Step 3 Open Change Schedule

Click Change Schedule. The Change Screening Schedule dialog opens, headed "Select the new frequency and run time, add a reason, then review before confirming."

Area or field	What it shows or expects
1. Current schedule	Current Frequency: Daily at 05:00 UTC, followed by "Any schedule change — whether frequency or time — takes effect after the next scheduled run on Thu, 08 Oct 2026 at 05:00 UTC."
2. New Frequency	A list. Here it shows Daily.
3. Run Time - UTC	A list of times in UTC. Here it shows 05:00 AM.
4. Reason	Free text. Placeholder "Describe why the schedule is changing."
5. Next Run Preview	The next run and a summary of the schedule, for example Thu, 08 Oct 2026 at 05:00 UTC and "Runs every day at 05:00 UTC."
6. Buttons	Cancel and Review Changes. × at the top right also closes the dialog.

Step 4 Set the new schedule

Choose the New Frequency and the Run Time. Type the Reason for the change. Check the Next Run Preview, then click Review Changes. To leave without changing anything, click Cancel.

Alert Configuration#

Fyscal ARCX→Name Screening→Configuration→Alerts

Use Alert Configuration to review or change the alert bands that screening uses. Each band has a name, a colour, a Min % to Max % range, a No Alert setting, an SLA Deadline and an Auto Hibernate setting. The page has two tabs: Active Alert Configuration and Alert Configuration History.

The active configuration in Figure 7.16 (saved on 13 Oct 2026):

The SLA does not rise with the band in this configuration: Medium has 5 days, while Low and HIGH have 3 days each. The values are set per band, so check them when you change the bands.

A Name Screening alert shows its band and percentage in its header, for example LOW 84.29% on ALT-NS-05102026-000115, and the same band on each match candidate (see Alert Details: Name Screening). The header also shows Config: with an Alert Configuration version ID. On that alert it is 6ab3c6efe9d518f3fc6b21d9. That version is not among the 10 listed in Alert Configuration History on 14 October 2026. The alert still shows LOW 84.29%, although 84.29% falls in the current very low band (0% to 85%).

Edit the alert configuration

Step 1 Open the edit form

On the Active Alert Configuration tab, click Edit.

Step 2 Change the bands

For each band, set the Name, the Color, Min % and Max %, the No Alert switch, the SLA Deadline (DD : HH : MM) and the Auto Hibernate switch. Click Add More Threshold to add a band, or a band's delete icon to remove it.

Step 3 Save or cancel

Click Save to keep your changes, or Cancel to discard them.

Alert Configuration History

Open the Alert Configuration History tab to see every saved version. The table has the columns Config Version ID (with a copy icon), Status, Created and Created by. One version is ACTIVE and the rest are INACTIVE. In Figure 7.18 there are 10 versions (Showing 1-10 of 10), newest first.

Screening Configuration#

Fyscal ARCX→Name Screening→Configuration→Screening

Use Screening Configuration to review or change how much weight each field and sub-field carries in screening. Screening Configuration holds the weightages of the screening fields and of their sub-fields. The Manual Screening form shows the active version's ID and weightages. The page has two tabs: Active Configuration and Configuration History.

The active configuration in Figure 7.19:

In this configuration, the field weightages add up to 100%. Within each of Address, Name and DOB, the sub-field weightages also add up to 100%.

Edit the screening configuration

Step 1 Open the edit form

On the Active Configuration tab, click Edit.

Step 2 Change the weightages

Type the new percentages for Address, Name, Citizenship, Gender and DOB, and for the sub-fields of Address (Country, City, Street Address, Region), Name (Fuzzy, Phonetic) and DOB (Year, Month, Day).

Step 3 Save or cancel

Click Save to keep your changes, or Cancel to discard them.

Configuration History

Open the Configuration History tab to see every saved version. The table has the columns Config Version ID (with a copy icon), Status (ACTIVE or INACTIVE), Created and Created by, newest first. The example environment holds 105 versions, 20 per page (Showing 1-20 of 105, Page 1 of 6).

Review a name-screening match#

Fyscal ARCX→Case Manager→Alerts→a Name Screening alert→Matches

Who

The analyst working the alert or case

Where

Alert Details or Case Details → Matches

Decision

True Match, False Match or Potential Match

Recorded with

A Rationale Code and Rationale Details (at least 10 characters)

Screening finds watchlist records that may be your customer. The analyst decides whether each one is. The Matches panel puts the customer's values next to each watchlist candidate's values, field by field, with a Weightage and a Score for each field and a band and percentage for the candidate. The panel is described in Customer, accounts and matches, and the decision is recorded with Dispose Alert (see Dispose alerts and close a case).

What the dispositions mean for you

The Disposition list offers three values. The screen does not define them; the table gives their usual meaning in screening review. Your institution's procedures set what each one requires.

Decide on a match

Is the watchlist name the customer's name, allowing for spelling variants, transliteration and word order?

• Yes

  Do date of birth, nationality, ID number and address agree?

  • They agree

    True Match

  • One clearly conflicts

    False Match

  • Missing or unclear

    Potential Match

• No

  False Match

Diagram 7.2 is a general review aid, not product logic. Start with the name. If it is not the customer's name, the candidate is a False Match. If it is, compare the secondary identifiers. Agreement points to a True Match and a clear conflict to a False Match. When identifiers are missing on either side, look for more evidence in the Identity and Additional Information tabs, such as aliases and ID numbers, before you settle on Potential Match.

Example: reading a candidate

Alert ALT-NS-05102026-000115 for Ramon Michael Castillo Tan is banded LOW 84.29% and has two candidates (see Alert Details: Name Screening). The first candidate, UID 4880431, shows:

Read with Diagram 7.2: the name is close and the nationality agrees, but the record has no date of birth to compare and the address is in a different city. The identifiers are partly missing and partly different, so this candidate cannot be confirmed from the Matches panel alone. The second candidate, RAMON TAN (UID 7134045, LOW 82.6%), needs the same review. The alert in the example is Not Started and has no disposition yet.