How to add a note
Select Case on the left menu (Listings/Matters.
Open the relevant case from the list.
Select the Notes tab inside the case workspace.
Click Add Note.
Type your note in the text field. Be specific — include dates, names, and the reasoning behind any decision.
Click Save. The note is saved immediately and timestamped with your name.
Why notes matter for compliance
Notes are more than a communication tool. They are part of your audit trail.
If you override a PEP flag, make a judgment call on a risk rating, or decide to proceed despite an elevated risk, the note explaining that decision is what demonstrates to an auditor that you acted responsibly. Undocumented decisions look like no decisions were made.
Write a note whenever you:
Override or dismiss a PEP (Politically Exposed Person) flag
Adjust a risk rating and want to record your reasoning
Note a client conversation relevant to the case
Pass or fail a KYC check on a client
Document a decision to proceed (or not proceed) with a transaction
Record information that doesn't fit neatly into a form field
What a good compliance note looks like
Vague notes don't help you in an audit. Specific notes do.
Less useful: Checked client. Looks fine.
More useful: Client returned a PEP flag due to a prior local government role (2019–2022). After review, assessed as low risk as the role was not senior, no current political exposure, and transaction value is within normal range. Decision made to proceed. [Your name], [date].
The more context you provide, the more clearly you demonstrate a deliberate, documented compliance process.
Viewing notes left by your team
All notes on a case are visible to team members with access to that case. Notes appear in chronological order in the Notes tab, each showing who wrote them and when.
You can edit or delete a note once saved.
Notes vs. case history
Notes are things you write. The History tab is an automatic record of every action taken on the case. History captures things like when a case was created, when a check was run, and when a status changed.
Both tabs contribute to your audit trail. Use notes to add context and reasoning; the history tab captures the facts automatically.
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