Running A Screening On A Client

Running a screening is a single dialog. Fill in the risk rating checklist, capture the PEP attestation, submit. We handle the rest.

Opening The Dialog

1. Go to AML Screening in the sidebar.
2. Click + New Screening.
3. Pick the client (search by name).

You can also start straight from a client profile: open the client from the refinance or renewals page, go to their Screening tab, and click Screen Now (or Screen Again). The same dialog opens with the client's name, email, and date of birth already filled in and the screening linked to their profile - every field stays editable before you submit.

Filling In The Checklist

The dialog walks you through the risk rating checklist. Tick the relevant risk and mitigation factors. As you tick, the computed risk level (High / Medium / Low / None) updates on the right.

Capturing The PEP Attestation

If the checklist flags PEP attestation as required (mandatory under FINTRAC for any politically exposed person), you have two paths:

• Fill in now - complete the PEP form in BrokerPlus after verifying the details with the client. This in-app process has not changed.
• Email to client - the client completes the form through a secure link. When you continue, BrokerPlus opens a rendered preview of the email before creating the screening or sending anything.

In the preview, confirm the recipient, subject, and email content. Run screening and send stays disabled until the preview finishes loading. Full details: PEP Attestation.

Submitting

If you captured the PEP attestation yourself, click Run Screening. If you selected Email to client, click Run Screening, review the email preview, then click Run screening and send inside the preview.

BrokerPlus then:

1. Calls the screening provider with the client's identity information.
2. Waits for results, usually for a few seconds.
3. Saves the screening, checklist snapshot, and any in-app PEP attestation.
4. Emails the secure PEP form when you chose Email to client.
5. Sets the re-screening date based on the assigned risk level.
6. Auto-opens an EDD case if the screening returned a high-risk PEP, foreign PEP, or family/associate match. See Managing EDD Cases.

Standard Vs Extensive Checks

We run two screening tiers:

• Standard - used for low/medium risk clients. Core lists.
• Extensive - used automatically for high-risk clients. Broader scope.

You don't pick the tier - it's set by the computed risk level.

What To Watch Out For

If the PEP email preview cannot load, check the client's name and email address, then try again. The final send button remains unavailable until the preview is ready.

If screening creation or email delivery fails after you confirm, the preview stays open so you can retry. BrokerPlus keeps the screening created by the first attempt and does not create a duplicate screening when you retry.

What You See After

The completed screening shows up in the AML Screening table with:

• Result (Clear / Attention / Match).
• Risk level.
• Re-screening date.
• A button to view the full result and download the report.

See Downloading The Risk Rating Checklist And Screening Report.

What To Do Next

• Understand the result categories: The Risk Rating Checklist.
• If an EDD case was auto-opened: Managing EDD Cases.
• See your re-screening schedule: Re-Screening Frequency.