goAML PILOT STAKEHOLDER USER GUIDE - REGISTRATION - FIC

goAML PILOT

STAKEHOLDER USER

GUIDE - REGISTRATION

Guideline for reporting entities on the registration process for pilot and non-pilot testing purposes - Confidential

Page 2 of 33 version 1.0

FINANCIAL INTELLIGENCE CENTRE

REPUBLIC OF SOUTH AFRICA

Private Bag X177, Centurion, 0046

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

[email protected]

Guideline for reporting entities on the registration process for Pilot and Non Pilot Testing

Purposes

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

Unless specific written consent is obtained from the Centre the information contained in this

document may not be shared with third parties.

By reading this document you acknowledge the confidentiality of such and agree to be bound by the

copyright that subsists in the Centre’s intellectual ideas, views and their representation as

expressed in this material.

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 by Government Notice R456 of 20 May 2005.

mailto:[email protected]



“The Centre” refers to the Financial Intelligence Centre.

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

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 on PCC 05

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financial intelligence centre REPUBLIC OF SOUTH AFRICA


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 Delegating to the Head Office ................................................................................................................ 25

8.2 Organisation to Organisation Delegation ............................................................................................... 28

8.3 Recall Delegation ................................................................................................................................... 31

9. Accountable / Reporting Institution Process Flow ....................................................................................... 32

10. goAML Support .......................................................................................................................................... 33

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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 Pages/Technology/images/internet-explorer-6-logo.jpg&imgrefurl=http://scrapetv.com/News/News Pages/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

Final approval of the registration

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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 (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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Please Note: You may see a warning if you have not taken any action within a 60 minute period. The

system will require the user to log back in.

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 as per Schedule 1 and Schedule 3 of the

FIC Act

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

Trading As – e.g. SARB. If there

is no acronym, re-enter organisation’s name

Swift /Bic – Banks unique swift code, if no swift

code re-enter incorp./ Reg Number

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

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.

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

the business contact details.

User Name – Is for logging into the system,

no duplicates allowed

Password – Case sensitive, Alpha,

Alphanumeric, numeric & Char e.g.

Test12345@

Gender – Male / Female

First Name – Name of the user

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

from calendar

Nationality – Country of birth / current country

Email – Email of the Compliance Officer (S43CO)

Confirm Password – Retype the password

Title – Ms / Dr / Mrs

Surname / Last Name – Surname of the

Compliance Officer (S43CO)

RSA ID Number – 13 digit South African ID

Number (e.g. 7404080408069)

Occupation – Official job title of the Compliance

Officer (S43CO)

RSA Passport Number – South African passport number or Non South African Identity Number

(mandatory only if user does not have an RSA ID No)

Non RSA ID/Passport? – If not a South African

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

Issuing Country – Country where non South African document was issued

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3.5 Attachments

Users are required to attach an authorization letter from the entity and an identity document (for

pilot testing purposes users are required to only attach the completed access form provided by the

Centre).

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. This is to determine whether or not

the user is human.

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.

3.6 Approving an Organisation

Once the request has been submitted the FIC will be responsible for approval, 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 wants to submit a

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 that user must obtain the organisational ID from their

Compliance Officer (S43CO) and use it to register.

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 to:

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

Display the Expand All link to displays 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.

After the Request has been approved 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 organisational 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 a IT account

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

If the organisation registers dummy data

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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


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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 handing over reporting responsibility to another reporting entity.

Delegation can be done in two methods namely, a branch handing over to the head office or

registered organisation handing over their access to goAML to another organisation.

8.1 Delegating to the Head Office

A branch can hand over its reporting responsibility to the head office. 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 level and report on behalf of multiple

AIs registered as per the FIC schedule items. Though the system allows delegation to the head

office, it is possible to register a different Compliance Officer (S43CO) at the head office/group level

as well as another at the respective AI level (same applies for MLRO).

Head Office Delegation Structure

Head Office

Branch 3Branch 2Branch 1

Responsible for branch Registrations Must ensure correct capturing of branch information

Responsible for branch information

Use: Create New Delegating Organisation

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

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

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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

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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.

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8.2 Organisation to Organisation Delegation

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

organisation to organisation means that the delegated reporting, will have access to the delegating

organisation information.

Organisation to Organisation Delegation Structure

Organisation 1 Organisation 2

Both Organisations must be registered on goAML

Will have access to the delegated organisation information on goAML

Use: Change Selected Delegating Organisation

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

Change Selected Delegating Organisation

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

are registered

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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 Finalize Individual

Registered Individual User

FIC - Finalize 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.

Check against AI/ RI database, CIPC / NPR

Check against AI/ RI database, CIPC / NPR

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10. goAML Support

For goAML Support Contact us on:

e-mail: [email protected]


Documents

goAML PILOT STAKEHOLDER USER GUIDE - REGISTRATION - FIC