FT01.03 - Online gateway for receipt of reports

Description	Online gateway provide a secure online communication channel between the reporting entities and the FIU
List of functionalities	FT01.03.01 - Allow registration of reporting entities and authorized persons FT01.03.02 - Allow authentication of authorized users FT01.03.03 - Allow upload of prescribed report data by authorized users FT01.03.04 - Issue an acknowledgement after successful upload of data FT01.03.05 - Display history of uploads by the reporting entity FT01.03.06 - Display list of reports requiring actionFT01.03.07 - Provide a secure two - way communication channel for communication between reporting entity and FIU FT01.03.08 - Provide console to the authorized person of the reporting entity for management of users and their rights FT01.03.09 - Provide console to the authorized person at FIU for management of the gateway FT01.03.10 - Provide on line help for the users
Implementation Notes	During registration of reporting entities, relevant information (e.g. types of products/services offered, number of branches etc.) can be captured to enable effective compliance management During registration of authorized persons, appropriate roles (nodal officer, technical staff, training staff etc.) can be assigned to enable access to designated information The data quality feedback can be linked to the submitted report for easy reference HTTPS protocol on Secure Socket Layer (SSL) and/or two factor authentication can must be used to enhance security of the communication channel The online portal can be used for providing a secure messaging solution and collaboration platform for authorized users

FT01.04 – Relational database management system (RDBMS)

Description	Relational database management system (RDBMS) stores data and the relationships among the data in tables. The data can be accessed or reassembled in many different ways without having to change the table forms.
List of functionalities	FT01.04.01 - Ability to store large amount of data and relationships FT01.04.02 - Support for SQL Language FT01.04.03 - Basic extraction transformation and loading (ETL) functions FT01.04.04 - Basic online analytical processing (OLAP) functions FT01.04.05 - Basic reporting functions FT01.04.06 - Built-In Web Based Development Environment
Implementation Notes	Popular RDBMS are Oracle, MS SQL Server, IBM DB2, MySQL, PostgreSQL.

FD02 – Access to Information

Description	Timely access to the financial, administrative and law enforcement information
Goals	· Access relevant financial, administrative and law enforcement information · Ensure adequacy and accuracy of information sources · Use a wide range of search functionality to locate relevant information · Ensure timeliness of response
Goal Indicators	FG02.01 – Sources of financial information where FIU has timely access FG02.02 – Sources of administrative information where FIU has timely access FG02.03 – Sources of law enforcement information where FIU has timely access FG02.04 - Adequacy and accuracy rating of information sources FG02.05 – Type of search functionality available to FIU to locate relevant information FG02.06 – Timeliness of response
Base Practices List	FD02.01- Timely access to financial information FD02.02- Timely access to administrative information FD02.03- Timely access to law enforcement information
Related Technology List	FT02.01 - Database integration FT02.02 - Direct access to third partyexternal databases FT02.03 - Service oriented architecture
Notes	Criteria 26.3 requires FIU shouldto have access, directly or indirectly, on a timely basis to the financial, administrative and law enforcement information that it requires to properly undertake its functions, including the analysis of STR. Access to information in other databases enables linkage and interpretation of information relevant to the analysis. Type of access available to FIU can broadly be categorised into following types: Database Integration (refer FT02.01) Direct access to external databases (refer FT02.02) Service Oriented Architecture (refer FT02.03) Indirect access through nodal officer Timely access to relevant information sources is dependent on the following: Sources of financial (refer FD02.01), administrative (refer FD02.02) and law enforcement (refer FD02.03) information where FIU has access Adequacy (sufficiency, regular updation) and accuracy of information sources Type of search functionality available to FIU to locate relevant information: Ability to search for specific account or transaction (e.g. account with same account number) Ability to search only on the basis of personal information (e.g. persons with matching name, address, identity parameters) Ability to search other information related to the subject (e.g. person at same address, account relationship) Ability to locate the information source (who should be requested?) Ability to access information matching a scenario (e.g. persons of a country, persons doing transactions exceeding threshold) Timeliness of response

Дата добавления: 2015-11-14