When a screening hits a sanctions list, BrokerPlus creates a Sanctions Incident. Incident handling is admin-only - agents don't see the incident detail.
When A Sanctions Incident Is Created
An incident is auto-created when a screening returns a confirmed match against a sanctions list:
- OFAC.
- UN Security Council Consolidated List.
- EU Consolidated List.
- UK HMT sanctions.
- Canadian sanctions.
A potential/fuzzy match doesn't create an incident - those show up as Attention results that need broker review. A confirmed sanctions match goes straight to incident.
What Happens Immediately
- The incident is created and surfaced on the Sanctions Incidents page (admin-only).
- The broker who ran the screening is notified that a serious result was returned.
- The client's record is flagged.
- Further interaction with the client requires admin sign-off. Brokers cannot send outreach, reports, or do meaningful work with the client until the incident is resolved.
Admin-Only Visibility
Only brokerage admins can see the incident detail page. This is intentional - sanctions handling is a regulated activity that should be centralized with the principal broker (and any assigned compliance officer).
If you're an agent and a client of yours hit a sanctions incident, your admin will handle it. You'll be notified once it's resolved.
The Incident Detail Page (Admin View)
For admins, the incident page shows:
- Full match details (which list, what the matched name/identity is).
- The client's submitted info that triggered the match.
- Recommended next steps.
- A space to document the resolution.
Resolution Paths
Depending on the match, resolution typically involves one of:
- Confirm the match and terminate the relationship - required if the sanction is binding.
- Document a false positive - if the match is a different person with a similar name.
- Document mitigation - for certain license-permissive scenarios (rare).
All resolutions are logged so you have a paper trail for FINTRAC.
What To Do Next
- Admin walkthrough of resolution: Sanctions Incident Handling (Admin).
- Brokerage admins activating compliance for the first time: Activating Your Compliance Program.