Monitoring, Alerts & AML Case Management

Restricted investigation workspace: alerts from approved rules become cases with events, immutable evidence, collaborators, decisions and escalation. Case access is strictly separated from ordinary CRM access.

UX-24 CMP-05

Report packs

Alerts (7 days)

18 auto-closed by rule tuning review

Open cases

2 escalated · 1 hold on deal

Case aging > 30 days

AML-2026-0139 · 34 days

STR packs in draft

RPK-2026-0021

Rule set

TM v9

Approved 2026-05-20 · 14 active rules

Alert inbox (approved rules)

5 pending triage

Alert	Rule	Status
ALR-3411 Falcon Trading · cash-like structuring pattern	`TM-R-08`	Escalated → AML-2026-0147
ALR-3418 Rapid resale attempt PR-A-905 < 90 days	`TM-R-11`	Triage
ALR-3419 Third-party receipt on lease L-2026-118	`TM-R-03`	Triage
ALR-3420 PDC swap ×3 on same invoice	`TM-R-06`	Assigned — L. Hassan
ALR-3422 Overpayment + refund-to-other-account request	`TM-R-04`	Triage
ALR-3406 Unrelated-party allocation, receipt RCT-2026-2291	`TM-R-03`	Closed — merged into AML-2026-0147

Open cases

Case	Age	Status
AML-2026-0147 Falcon Trading FZ-LLC · structuring + screening hit	3d	Investigating · hold
AML-2026-0144 Masked party ●●●●● (need-to-know)	9d	Evidence gathering
AML-2026-0143 Masked party ●●●●●	11d	Awaiting bank response
AML-2026-0141 Masked party ●●●●●	18d	MLRO review
AML-2026-0139 Masked party ●●●●●	34d	Aging breach — daily RPT-22

Case AML-2026-0147 — Falcon Trading FZ-LLC

Priority: High Restricted · 4 collaborators

Alert escalated Case opened Investigating MLRO decision Report / closure

Alert origin: ALR-3411 · rule TM-R-08 (structuring) · fired 14 Jul 02:10
Merged alerts: ALR-3406 (third-party receipt)
Linked screening: SCR-2026-1183 · score 87 · hold
Risk profile: RSK-2026-0977 · High 72.0
Case owner: Layla Hassan (Compliance Investigator)
Opened: 14 Jul 2026 09:05 by Ahmed Al Blooshi

Case record

When	Event	Detail	Amount
28 Jun 14:02	Receipt	Cash-equivalent manager's cheque #MC-33121 (below reporting threshold)	AED 48,500.00
30 Jun 10:16	Receipt	Manager's cheque #MC-33176, same drawer bank	AED 49,000.00
01 Jul 16:47	Receipt	Manager's cheque #MC-33190	AED 47,750.00
02 Jul 09:31	Rejected receipt	Third-party transfer from unrelated account (RCT-2026-2291, declined by policy)	AED 145,000.00
14 Jul 02:10	Alert	Rule TM-R-08: ≥ 3 sub-threshold instruments / 5 business days	AED 145,250.00
14 Jul 11:26	Screening hit	UBO potential match SCR-2026-1183 · hold applied to DEAL-2214	—

Evidence	Source	Linked	Integrity
Receipt records RCT-2026-2214/2251/2263	Receipts & allocation	14 Jul 09:06 · immutable link	`SHA-256 7d21…c4` Verified
Rejected receipt RCT-2026-2291 + decline reason	Receipts & allocation	14 Jul 09:06 · immutable link	`SHA-256 b6f0…9a` Verified
Screening evidence snapshot SCR-2026-1183	Screening review	14 Jul 11:30 · immutable link	`SHA-256 c4a9…e2` Verified
KYC profile snapshot KYC-ENT-2026-0412	KYC workspace	14 Jul 11:32 · immutable link	`SHA-256 1e8d…55` Verified
Deal file DEAL-2214 (terms, parties, unit)	Deal workspace	14 Jul 11:35 · immutable link	`SHA-256 90ab…17` Verified
Bank statement extracts ENBD Mar–Jun 2026	DMS upload · L. Hassan	15 Jul 10:12 · original preserved	`SHA-256 4c77…d0` Verified
Ownership graph extract (UBO overlap)	Relationship graph	16 Jul 15:20 · advisory evidence	`SHA-256 fa02…31` Verified

Evidence links are append-only; removal is impossible. Supersession adds a new version with reason.

Collaborator	Role on case	Granted	Access
ABAhmed Al Blooshi	MLRO — decision authority	14 Jul · self (case creator)	Full + decide
LHLayla Hassan	Investigator — case owner	14 Jul · by MLRO	Full
MSMariam Al Suwaidi	Legal counsel	15 Jul · by MLRO, reason logged	Read + comment
GOGrace Okafor	Auditor (oversight)	16 Jul · audit mandate	Read-only, watermark export

Omar Haddad (deal agent) has no access and sees only "Compliance gate pending" on the deal. Adding a collaborator requires MLRO approval + reason.

16 Jul 2026 15:40 · Ahmed Al Blooshi
Escalation confirmed — STR pack drafting authorized
Draft pack RPK-2026-0021 opened in regulatory reporting · confidential
15 Jul 2026 11:05 · Ahmed Al Blooshi
Hold scope extended to refunds and reallocation
Consequence shown: blocks RFND flow on DEAL-2214 · reason: preserve funds pending decision
14 Jul 2026 11:35 · Layla Hassan
Evidence set linked (receipts, screening, KYC, deal)
5 immutable links created · corr. c-8d13-a7
14 Jul 2026 09:05 · Ahmed Al Blooshi
Case opened from escalated alert ALR-3411
Source evidence auto-linked immutably; access restricted to named collaborators

Pack: RPK-2026-0021 — STR draft
Status: Draft — MLRO only
Contents: Case narrative v0.3 · 7 evidence exhibits · party annex
Submission mode: goAML portal handoff (configured; no API assumed)
Confidentiality: Reporter identity restricted to MLRO; pack hidden from all non-MLRO collaborators

Final submission and any suspicious-transaction decision remain human responsibilities of the MLRO (CMP-08).

Close case AML-2026-0147

Consequence: closing releases hold HOLD-SCR-0079 on DEAL-2214 (AED 2,890,000.00) and freezes the case record. Reopening requires a new case referencing this one.

Closure outcome *

Supporting evidence *

Closure reason *

Requires authorized review: MLRO decision + independent reviewer (Grace Okafor) acknowledgement.

Static render mockup — no live data. Source: ERP Modern Development Specification v2.0 · Covers: UX-24, CMP-05 (monitoring, alerts and AML case management; immutable evidence, restricted access, authorized closure).