This guide describes how to create and handle a customer identification event when the CSI software is not integrated with a separate KYC (Know Your Customer) service. The process is slightly different if DOKS or Due AML integration is in use.

Customer identification is usually relevant only when a matter request is created for the customer or a new matter is opened. When saving a matter request or matter, the software automatically creates new identification events for both the principal and the parties marked as payers.

If identification is needed for the customer, for example, for advance invoicing before opening a matter, you can manually initiate customer identification by opening the customer’s information, going to the “Customer Identifications” folder, and selecting the “New” button.

Regardless of whether the customer identification event was created manually or automatically, the identification process starts by completing and correcting the information in the identification window. If the customer already has a suitable and valid identification event, you may be able to use its information. Alternatively, the identification is progressed outside the CSI software and finalized in the software only after the necessary documents have been obtained from the customer.

Creating a matter saves the identification event for the party in the matter, which can be found in the software in both the “Customer Identifications” folder in the customer window and in the Workspace area. 

If the identification event was created when opening a matter, the Customer and Matter fields are pre-filled. The identification start date is the matter creation date, the status is “not started,” and the identification level defaults to “standard.” 

Complete or correct the following information:

• Set the required identification level (standard/simplified/enhanced/not required). The information is inherited from the customer’s settings but can be modified as needed based on the matter’s risk level. You can add the reason for the chosen level in the “Identification Level Reason” field.
• Select a suitable risk assessment for the identification, which determines how long the identification is valid. The power user can create risk assessment options with appropriate review intervals in the settings.
• Change the identification event’s status to “started.”
• Complete or correct other information as needed (customer contact, identification start date, responsible person, assistant).
• Board members, beneficiaries, and owners are generally not stored in the CSI software, as this information must be determined during the identification process. 
  • However, if necessary, you can add the company’s board members in the “Board Members” folder by selecting a person already stored in the software or creating a new one. For board members, fill in nationality and check the “Power of Attorney" field if the person has signing authority. The “Set as Chairman” button marks the chairperson with a red check in the board members list.
  • You can also add the company’s beneficiaries and owners in the “Beneficiaries and Owners” folder. Both companies and individuals can be added to the list, and ownership shares can be defined for owners.

The identifier and identification date are only saved in the window once identification is completed. When these are filled in and the identification event is saved, the “Attached To” section fields are also updated.