Every enhanced due diligence case starts the same way: a screening flagged a client, and now someone has to document why the relationship still holds up and put evidence behind it before a thirty-day clock runs out. Manage Enhanced Due Diligence Cases covers the case from the day it opens to the day it closes.
When You'd Use This
Open a case whenever you're the broker who owns a flagged client's file, or you're a compliance officer or admin working the review queue. Cases are reached from the screening that raised one, or from the Queue tab on Brokerage > Compliance. A case appears the moment a screening trips a high-risk PEP, domestic PEP, family-or-associate, head-of-international-organization, sanctions-match or adverse-media trigger, or when someone opens one by hand for a discretionary risk upgrade.
The Six Measures and Supporting Documents
Every case asks for the same six write-ups: source of funds, source of wealth, additional ID verification, an enhanced monitoring plan, reasonable measures documentation, and an optional note on any other mitigating measures. Only the broker who opened the case can edit these fields or attach files; reviewers work from a separate approve-or-reject view instead. Supporting documents attach as PDF, JPG, PNG or WEBP, up to 50MB each and twenty per case, and each one opens in a preview before anyone acts on it.
Submitting, Reviewing and Closing a Case
Submit once the five required measures are filled in - the sixth is optional and only blocks approval if you write something in it and a reviewer rejects it. Submitting also needs at least one active compliance officer or admin in the brokerage to route to; without one you'll see a no-reviewer error rather than a submission that vanishes into a queue nobody can act on. A reviewer can't approve or send back their own submission - another compliance or admin user has to pick it up. They step through each measure and attachment, approving or rejecting with a comment, and can only approve once everything required has been reviewed with nothing left rejected. A single rejection blocks approval and points toward sending the case back instead, which returns it to the broker with the reviewer's notes for a revision and resubmission. An approved or closed case is read-only; reopening one needs a written rationale and puts it back into progress.
Deadlines and Overdue Cases
The clock runs thirty days from the transaction date that triggered the case, and it keeps running while the case sits in review. Active cases sort by deadline with overdue ones pinned to the top and marked clearly rather than left to blend in. The brokerage-wide queue at Brokerage > Compliance shows the same cases across every team, with a shortcut into the full record from there.
Common Gotchas
- Only the case's creator can fill in its measures or attach documents - a compliance officer reviewing someone else's case works from the review view, not the edit form, even if they also hold the compliance role.
- Leaving a comment as a reviewer without picking approved or rejected doesn't record a decision. The approval gate checks the decision, not whether a comment exists.
- Reopening a case doesn't reset its deadline. The original thirty-day date stays attached to the case.
What to Do Next
- Review Compliance Across the Brokerage for the brokerage-wide view of every open and closed EDD case.
- Record a PEP Attestation for the check that most often opens one of these cases.
- Handle a Sanctions Incident for what happens when the trigger is a sanctions match instead of a PEP result.