Internal notes and the audit trail

Next to the chat and the mail history, every client has a place for written notes and a complete, automatic history: the Internal notes and Audit trail tabs. Both are strictly internal: your client and their parties never see anything of them.

Internal notes

The Internal notes tab is a chronological list of notes your team keeps about this client. Use it for what has to stay in the file and shouldn’t get lost in a chat: an agreement made by phone, why a document was accepted despite a remark, the background to a decision, or the reasoning behind a risk classification.

To add a note:

1. Open the client and go to Internal notes.
2. Press Create internal note.
3. Write the note, and optionally pick the party it is about. The note is then filed on that person or company as well.
4. Save.

Notes are visible to every team member with access to this client. There is no separate visibility setting, so assume the whole team reads along.

Which note goes where?

• Internal notes: about the client, for the long term.
• Chat: discussion and questions between colleagues, with mentions and email notifications.
• Risk profile remarks: the compliance reasoning itself belongs in the Risk mitigation, Risk remarks and Additional information / Remarks fields of the risk profile, so it travels with the dossier when you export it.

An internal note can also be entered right when creating a client: the Internal notes field in the create form ends up in this same list.

The audit trail

The Audit trail tab is the complete history of the client, and it fills itself. Recorded automatically:

• the creation of the client and every change of the assigned team member or point of contact;
• every status change of the client and of each party;
• every screening started and completed, with a link to view it in Stracket;
• every email sent;
• every document uploaded or removed;
• every form signed and unlocked;
• every change a party makes via the client portal, with old and new values;
• every FIU export, with the indicator code used;
• the internal notes described above.

Each entry shows who did it: a team member by name, the Client, or the System. You cannot change or remove anything here. Together with the exported dossier, the audit trail shows how a file was built up and why a decision was made.