goAML PILOT STAKEHOLDER USER GUIDE ... - gostage.fic.gov.za

goAML PILOT

STAKEHOLDER USER

GUIDE –

REGISTRATION

Guideline for reporting entities on the registration process for testing purposes

Page 2 of 32 version 1.3

FINANCIAL INTELLIGENCE CENTRE

REPUBLIC OF SOUTH AFRICA

Private Bag X177, Centurion, 0046

https://goStage.fic.gov.za/goAMLWeb_UAT

www.fic.gov.za/Secure/Queries.aspx


Objective of this guideline

The objective of this guideline is to define and outline in detail the steps to be followed when

registering with the Financial Intelligence Centre (the Centre). To access the registration web form,

the reporter must first register with the Centre at https://goStage.fic.gov.za/goAMLWeb_UAT.

Legal Disclaimer

The FIC reserve the right to amend, modify or change the contents of this document during the

testing.

Definitions

The guideline must be read in conjunction with the FIC Act and the Regulations for definitions of

terms used in the guideline. In this guideline, unless the context indicates otherwise:

‘‘FIC Act’’ refers to the Financial Intelligence Centre Act, 2001 (Act No 38 of 2001), as amended.

“Regulations” refer to the Money Laundering and Terrorist Financing Control Regulations made in

terms of section 77 of the FIC Act and promulgated in Government Notice 1595 of 20 December

2002 as amended.

A “Compliance Officer” (S43CO) refers to the person who is, in terms of section 43(b) of the FIC

Act appointed by an accountable institution with the purpose of overseeing compliance with the FIC

Act by the institution and its employees. In the registration process, the S43CO is tasked with the

duty to ensure that the details of the accountable institutions are correctly submitted on the Centre’s

website.

A “money laundering reporting officer” (MLRO) is envisaged to be a person, other than the

S43CO, with the responsibility and authority to submit intelligence reports to the Centre on behalf of

http://www.fic.gov.za/Secure/Queries.aspx

http://www.fic.gov.za/Secure/Queries.aspx



the accountable or reporting institution. MLRO will have his/her own login credentials, he/she

will/should not be using the S43CO’s credentials to fulfil this role.

“AI/RI” refers to Accountable and Reporting Institutions.

Important information to remember when registering on the Centre’s goAML system:

An organisation must register one Compliance Officer (S43CO) only; there is no restriction on

the number of money laundering reporting officers (MLRO’s) an institution can register;

The first person to register on the entity’s behalf should be the Compliance Officer (S43CO);

All fields with an asterisk (*) are mandatory and should be completed as part of the

registration process;

All registrations will have to be approved by the Centre prior to activation;

The Compliance Officer (S43CO) will have to approve all MLRO registrations prior to the

Centre’s final approval;

Supporting documents such as an identity document and authorisation letter will have to be

attached as part of the registration process.

Every AI/RI must register in the prescribed manner as previously communicated in PCC 05

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Table of Contents

1. Introduction ......................................................................................................................................... 5

1.1 Prerequisites ................................................................................................................................. 5

1.2 Adding goAML URL to the trusted sites ........................................................................................ 5

1.3 Enabling Pop Ups ......................................................................................................................... 6

1.4 Adding goAML to Favourites ......................................................................................................... 7

1.5 Add a Shortcut for goAML to Desktop .......................................................................................... 7

1.6 goAML Web Icons ......................................................................................................................... 8

2. goAML Web ........................................................................................................................................ 9

3. Registration on goAML ...................................................................................................................... 10

3.1 Register An Organisation ............................................................................................................ 10

3.2 Registration Type ........................................................................................................................ 11

3.3 Registering An Organisation Details ........................................................................................... 11

3.3.1 Registering organisation details are added as follow .......................................................... 12

3.3.2 Phones – organisational phone numbers ............................................................................ 12

3.3.3 Address – The entity address .............................................................................................. 13

3.3.4 Reporting Obligation – select the relevant Supervisory Body for the registering AI/RI ....... 13

3.4 Registering Person Details ......................................................................................................... 14

3.5 Attachments ................................................................................................................................ 15

3.6 Approving an Organisation ......................................................................................................... 16

4. Registering As A Person ................................................................................................................... 17

4.1 Registration Type ........................................................................................................................ 18

5. User Request Management (Register As A Person Approval) ...................................................... 19

6. Email Notifications .......................................................................................................................... 22

7. Logging onto goAML Web................................................................................................................. 23

7.1 Forgot Password ......................................................................................................................... 23

8. Delegation goAML Web .................................................................................................................... 25

8.1 Create New Delegating Organisation ......................................................................................... 25

8.2 Change Selected Delegating Organisation ................................................................................. 28

8.3 Recall Delegation ........................................................................................................................ 30

9. Accountable / Reporting Institution Process Flow ............................................................................ 31

10. goAML Support ............................................................................................................................... 32

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1. Introduction

goAML is an integrated software solution developed and maintained by the United Nations Office on

Drugs and Crime (UNODC) specifically for use by Financial Intelligence Units (FIUs) around the

world. The Centre has chosen goAML as its preferred IT platform to handle all its reporting, data

collection, analysis, case management and secure communications required for the Centre’s daily

operational functions and requirements. In terms of Section 43B of the FIC Act, Accountable

Institutions and Reporting Institutions are required to register with the Centre.

1.1 Prerequisites

goAML runs within Internet Explorer version 9 and up, Firefox, Google Chrome but not on Safari. The

URL https://goStage.fic.gov.za/goAMLWeb_UAT must be added to the trusted sites and pop ups

must be enabled to avoid the site being blocked.

1.2 Adding goAML URL to the trusted sites

Open Internet Explorer

On the top Menu Bar, Select Tools > Internet Options

Select the Security Tab

http://www.google.co.za/imgres?imgurl=http://scrapetv.com/News/News%20Pages/Technology/images/internet-explorer-6-logo.jpg&imgrefurl=http://scrapetv.com/News/News%20Pages/Technology/pages/Internet-Explorer-6-in-for-the-fight-of-its-life-Scrape-TV-The-World-on-your-side.html&usg=__X4VHlfCtOGz34PA-yEntNpdzlDo=&h=341&w=323&sz=30&hl=en&start=3&zoom=1&tbnid=H2U-L2ThRcMBaM:&tbnh=120&tbnw=114&ei=MfhQTdLNOomaOpul1bMH&prev=/images?q=internet+explorer+6+logo&hl=en&sa=X&gbv=2&tbs=isch:1&itbs=1

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Select the Local intranet Icon > Click on sites

Add website to the zone > click on Add > click on Close

1.3 Enabling Pop Ups

On the top Menu Bar > Select Tools > Internet Options

Click the Privacy Tab > Click on the Settings button

Add https://goStage.fic.gov.za/goAMLWeb_UAT to the Address of website to allow >

click on Add > click on Close

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1.4 Adding goAML to Favourites

Type in https://goStage.fic.gov.za/goAMLWeb_UAT web address box

Click on the Menu bar > Favourites > “Add to Favourites”

The Add Favourite pop up will display > click on the Add button and goAML will added to

the Favourite list.

1.5 Add a Shortcut for goAML to Desktop

On the Menu bar > Click Favourites > Right click goAML > Send To > Desktop (create

shortcut)

The goAML icon as shown will then be available from the desktop

https://gostage.fic.gov.za/goAMLWeb_UAT

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1.6 goAML Web Icons

Icons Description

Add

Add the captured detail

Instructs goAML to cancel the capturing of the details

Close

Preview

Print

Remove the uploaded document

Refresh

Upload a document

Approve a registration

Reject a registration

Verify registration details

Finalise approval of the registration

Recall to reverse delegation

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2. goAML Web

The goAML URL for the pilot testing is https://goStage.fic.gov.za/goAMLWeb_UAT. When you

enter the URL into your Web browser window, the goAML stage page is launched.

If the user already has user credentials, the user can just log in with credentials. If not, the user must

register in order to be able to use the application.

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3. Registration on goAML

All AI/RI’s are required to register with the Centre in order to gain access to the system. The AI/RI is

required to register their organisations and the associated users who need to access the goAML

system.

3.1 Register An Organisation

Organisations are required to register on the goAML to gain access to the system and to acquire an

organisational identity (goAML Org ID). An organisational ID will be used by an organisation as the

unique identifier for that organisation and allows goAML users belonging to that particular

organisation to have access to information relating to that organisation.

On the Navigation bar > Hover (move) the mouse pointer on the Register link > Click

Register As Organisation > The registration screen is loaded and displayed.

The “Register As Organisation” page will display with the Headings to be captured. The headings are

Registration Type

Registering Organisation

Registering Person

Attachments

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3.2 Registration Type

The registration type gives the goAML users three entity types to select from; Users can select one of

the following registration types:

Reporting Entity – Accountable / Reporting Institutions such as banks, attorneys etc.

Stakeholder – Entities such as Law Enforcement Agencies and other FIU’s

Supervisory Bodies – Supervisory bodies such as South African Reserve Bank (SARB) and

Financial Services Board (FSB)

3.3 Registering An Organisation Details

The registering organisation section is for completing the information of the organisation

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3.3.1 Registering organisation details are added as follow

3.3.2 Phones – organisational phone numbers

Contact Type – It can be Business, Operational,

Private, Public, Unknown

Country Prefix – e.g. +27

Extension – Numeric (e.g. 5425)

Organisation Business Type – List of business

types (e.g. bank)

Name – The name of the registered organisation

Incorp./Reg. Number – Company Registration

Number (CIPC)

Incorporation City – e.g. Pretoria

Incorporation Country – e.g. South Africa

Contact Person – Full Name and Surname of the

Compliance Officer (S43CO)

URL - Organisational Website

is financial – Is it a financial institution (banks,

money remitters etc.)

Trading As – If there is no acronym, re-enter

organisation’s name

Swift /Bic – Unique swift code, only mandatory for

financial institutions

Incorporation State / Province – Province

Name of holding company – Only if associated

with holding company

E-mail – Preferably a group Email account which

will be accessible by all authorised users of the

goAML EE system or alternatively the Compliance

Officer’s email address (S43CO)

Comm. Type – It can be Landline, Mobile,

Satellite,

Number – Numeric, digits (e.g. 0128012556)

Comments – if any

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3.3.3 Address – The entity address

3.3.4 Reporting Obligation – select the relevant Supervisory Body for the registering AI/RI

Please Note: Only one reporting obligation per registration is allowed and should correspond with the

business types as per Schedule 1 and Schedule 3 of the FIC Act.

Type – It can be Business, Operational,

Private, Public, Unknown

Town – Name of town / district as part of a city

Postal / Zip – The postal code of the city (e.g.

0122)

Province / State – Name of the province

(e.g. Gauteng)

Address – Physical Address- details like

street name, house number etc.

City – Name of the city

Country – Name of the country

Comments – If any

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3.4 Registering Person Details

The registration details of the Compliance Officer (S43CO) must be completed. This section registers

the individual on the system and goAML saves the username and password during this phase.

RSA Passport Number – South African passport number

Non RSA ID/Passport? – If not a South African citizen / resident with RSA ID or Passport

Foreign Passport / Foreign ID/ Permit/ Refugee / Residence number – Non South African passport

/ identity number

Issuing Country – Country where non South African passport / ID document was issued

User Name – Is for logging into the system, no

duplicates allowed

Password – Password must be between 5-10

characters, include capital alpha, alphanumeric and

special characters (e.g. Goaml321#)

Gender – Male / Female

First Name – First name of the user

Birth Date – Date of birth/ can be typed in from

calendar in ccyy/mm/dd format

Nationality - The status of belonging to a particular

nation, whether by birth or naturalisation

Email – Unique business Email of the user

Confirm Password – Retype the password

Title – e.g. Ms / Dr / Mrs

Surname / Last Name – Surname of the

user

RSA ID Number – 13 digit South African ID

Number (e.g. 7404080408069)

Occupation – Official job title of the user, i.e.

Compliance Officer (S43CO), MLRO,

Director etc.

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Please Note: The contact details provided for the Entity and the Compliance Officer (S43CO) must

be the business contact details.

3.5 Attachments

Users are required to attach an authorization letter from the entity and a certified copy of the

applicable identity document (copy of ID document and/or passport document).

To Upload a document > Click Browse button

The Choose file to Upload window will display > Select the document to attach from the

desired location and click Open

The file name will be ready for upload > click Upload.

To delete an already loaded document, click the X button.

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Before submitting the request the user has to type the Captcha (sequence of digits that appears on

the screen in this case) into the box without making any errors.

Please Note: Refresh the captcha code by clicking the arrow, if the registration screen has been

opened for a long time amount of time.

Type in the numbers as it appears > click Submit Request

Once the registration form has been submitted, a notification email will be sent to the

Compliance Officer (S43CO) informing them of the submitted registration request. The

email is only confirmation of the registration, the compliance Officer (S43CO) will receive a

second notification email once the FIC has approved the registration

3.6 Approving an Organisation

Once the request has been submitted the FIC will be responsible for authenticating and verifying

the registration captured along with the required document attachments and approve/reject

accordingly. The Compliance Officer (S43CO) will receive an email stating the approval or rejection

of the registration. Once the registration has been approved, the Compliance Officer (S43CO) is

required to communicate the Organisational ID to users within their own organisation who are

permitted to use the system. These users (MLRO’s) will be required to register as a person, which

is discussed next

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4. Registering As A Person

Individuals (refers to all registering users on goAML) will be required to register to get access to

goAML web. Users will be linked to organisation by using the organisation id.

On the Navigation bar > Hover (move) the mouse pointer on the Register buttons > Click

Register As Person > The registration screen is loaded and displayed.

The register as organisation page will display with the Headings to be captured. The headings are

Registration Type

Registering Person

Attachments

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4.1 Registration Type

If a user is linked to an organisation that is not required to register with the Centre in terms of

the FIC Act (i.e. an organisation that is not an AI/RI) but that user is required to submit a report

in terms of Section 29 of the FIC Act (e.g. Suspicious Transaction Report (STR) or a

Suspicious Activity Report (SAR), then that user must select the Individual User check box so

that they can acquire login credentials to be able to report.

If a user belongs to an AI/RI then that user must obtain the applicable goAML Org ID from

their Compliance Officer (S43CO) and the goAML Org ID must be listed in the applicable field.

For Registering Person and Attachment refer to page 14 and 15

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5. User Request Management (Register As A Person Approval)

After logging in, the Compliance Officer (S43CO) will have goAML home page displayed on

the information bar

On the Menu bar click on the Admin > User Request Management from the drop down

list

The User Change Requests page will be displayed with the following field

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User Change Requests fields can be searched using the dates fields > Click the Refresh button to load user request for the date specified

Requests View Type can be used to search by type of request

User Change Requests fields can be dragged by header to group by column

The icons, as displayed below, refer

All – includes all requests irrespective of status; the different statuses are Active, Pending

my actions and In progress

Active – Active on the system

Pending my action – Request waiting to be actioned

In progress – Requests that are in progress

Start Date – Initial date of the user change request

End Date – End date of the user change request

Change Request Ref – Used as a referral whilst requesting assistance to the FIC, the

number is sent to users by a notification email

Type – New User / Existing User

Request Status – Options provided are Waiting for Verification / Activated / Rejected /

Waiting for Supervisory Body Approval

Org Name – Name of the organisation linked to the requester

Org ID – Organisation ID linked to the requester

User Name – Requester’s login user name

Created On – Date of the request

Create new change request (available after activation)

Preview used to populate the action page

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Clicking Preview > generates and displays the report form

Click the Expand All link to display the complete report, or click the Collapse All link to see

the abridged form

The information diplayed on the report form must be verified, as well as the attachments (ID

and authorisation letter)

After verification action must be taken to either Reject / Verify / Approve / Finalize the

request and ensure to add Comments

The Compliance Officer (S43CO) will be able to Reject / Verify / Approve the request and

must ensure to add Comments for each action

After the Request has been finalised the user will receive an email informing them of the status

of the request.

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6. Email Notifications

Emails will be sent to users for different reasons during registration, users will receive notifications

about received registration (refer to page 16) by FIC, acceptance and rejection of the registration.

When the FIC is satisfied with the captured registration details and attached documents, the

user will be notified by email about the acceptance of the registration and the goAML Org ID will

be found on the mail

When the FIC is not satisfied with the captured registration details and attached documents, the

user will be notified by email about the rejected registration

Registrations will be rejected on goAML for the following reasons:

If the reporting entity registers an account without linking a user to the account (i.e. IT

reporting accounts)

If there is more than one schedule item, as each schedule must be registered individually

If the organisation provided incomplete registration forms, or complete the forms with

inaccurate information

No attachments required to verify registration are included

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7. Logging onto goAML Web

Authentication will always be required before gaining access to goAML. The goAML support team is

available at [email protected] should you need any assistance.

Enter your user name in the standard format captured during registration

Enter your password in the standard format of Case sensitive, Alpha Caps, Alphanumeric,

numeric & Char e.g. Test12345@ and click Log In button to proceed.

7.1 Forgot Password

Before contacting the goAML support team for a password reset, the goAML system provides users

with the Forgot Password link.

Click Forgot Password link

The Reset Password Request window populates, enter User Name > Email >Submit

mailto:[email protected]

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goAML user will receive an email with a link. Click on the link

Reset Password Request page will populate

Enter User Name / Email / New Password / Confirm New Password and Click Change

Password. New password will be reset.

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8. Delegation goAML Web

Delegation on goAML refers to delegating reporting and other compliance functions to another

reporting entity. Delegation can be done in two methods namely, a branch/ business unit/ franchise

handing over to the head office / group structure or registered organisation handing over their

reporting and other compliance functions to another organisation

8.1 Create New Delegating Organisation

A large organisation that needs to register different branches/ business units / franchises in terms of

PCC05 may opt to utilise the delegation functionality. The decision to delegate will be impacted by

the decision of whether or not, the Compliance Officer (S43CO) and Money Laundering Officer

(MLRO) will be registered at a head office / group structure level and report and manage

compliance functions on behalf of multiple AI/RIs registered as per the FIC requirements. Though

the system allows delegation from the head office/group structure, it is possible to register a

different Compliance Officer (S43CO) and Money Laundering Reporting Officer (MLRO) at the head

office/group level as well as at the respective AI/RI level

Please Note: The user must ensure that, they are logged in as the user for the main head office /

group account already registered on goAML EE (hence the user needs to logon with the credentials

from the first goAML registration which had been approved).

After logging in, the Compliance Officer (S43CO) will have goAML home page displayed

on the information bar

On the Menu bar click on the Admin > Active Organisations from the drop down list

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The Active Organisations page will be displayed with the following field > click the Create

New Delegating Organisation

Please Note: Create New Delegating Organisation is used to register reporting entities that are not

registered already on goAML

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Registration Type window populates > complete the form for the respective reporting

entity you wish to register > attach the necessary documents > the FIC will approve / reject

the request > Email notification of the status of the request will be send to the user

Please Note: Use unique information for the following fields, Name, Trading As, Incorp. / Reg.

Number and Email. The fields may not have been used previously

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8.2 Change Selected Delegating Organisation

A registered organisation on goAML can delegate to another registered organisation, both the

delegated organisation and the delegating organisation will be able to report and manage the

related compliance functions. This method of delegation will also be used for the following:

A already registered branch/ business unit / franchise can delegate its reporting

responsibility to the head office/ group organisation

Branches/ business units / franchises that are linked to an organisation needs to be

delegated to another organisation in the instance of a sale of business or merger for

example

After logging in, the Compliance Officer (S43CO) will have goAML home page displayed on the

information bar.

On the Menu bar click on the Admin > Active Organisations from the drop down list

The Active Organisations page will be displayed with the following field > click the

Change Selected Delegating Organisation

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Please Note: Change Selected Delegating Organisation is used to register reporting entities that

are registered

Registration Type window populates > select the Change Delegation Organisation ID by

clicking the checkbox

The Change Delegation dialog box populate > click OK

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The Delegate Organisational ID is populated > Capture the Organisational ID > Attach

the necessary documents > Submit Request > The FIC will approve / reject the request >

Email notification of the status of the request will be send to the user

8.3 Recall Delegation

After clicking the Submit Request button, the action window populates this window allows the user

to recall the delegation > click Recall to reverse the delegation

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9. Accountable / Reporting Institution Process Flow

Verify and Finalise Individual

Registered Individual User

FIC - Finalise the Organisation

Approve Individual

Verify Individual

Register As Individual

FIC - Approve the Organisation

FIC - Verify the Organisation

Register As Organisation

Accountable / Reporting Institution

Compliance Officer sends Org ID

Compliance Officer(Super User )

FIC Official

Money Laundering Reporting Official

(MLRO)

Compliance Officer

FIC Official

Provide group email address, letter of

appointment and ID copy.

Verify and validate

against third party

source

Verify and validate

against third party

source

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10. goAML Support

For goAML Support Contact us on:

e-mail: [email protected]

Log a web query: www.fic.gov.za

Compliance Contact Centre: +27 860 222 200

Documents

goAML PILOT STAKEHOLDER USER GUIDE ... - gostage.fic.gov.za