3.3.6 Case Management

Status: Draft | Owner: info@managed-trust.com | Managed-by: Maya (agent) | Last Edited: 2026-02-14

Purpose

This section contains COOWN's compliance case management procedures including suspicious activity report (SAR) workflows, investigation tracking, evidence documentation, regulatory reporting timelines, and case closure criteria. Supports systematic handling of AML/fraud alerts and regulatory obligations.

Business Process Relevance: Compliance Investigation, SAR Filing, Alert Management, Regulatory Reporting, Audit Trail
Cross-References: AML/CFT Policies, KYT, Fraud Prevention, Risk Management
Review Triggers: Regulatory reporting deadlines, case escalations, audit findings, system updates

Documents

Case management procedures, SAR workflows, investigation templates, evidence documentation standards, and reporting guidelines to be developed.