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Create a New DocFox Application

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Create a New DocFox Application

How to create a new application in DocFox #

In order to create an application, please see the below steps:

  1. Click ‘Add Customer’.
  2. Select the Client/Entity Type you would like to add.
  3. Enter the Client’s profile details.
  4. Click ‘Create Profile’ to complete the application creation.

Once the application has been created you will land on the application Profile page. On this page, you will see an overview of the application. Once an application has been created, the following actions will automatically run in the background:

  • If applicable the 3rd Party Data will be returned.
  • If applicable the Watchlist Screening Hits and Media Articles will be updated.

Note: The profile fields will vary depending on your configuration. If there is an Entity Type or Profile field that you would like to add, remove, make optional or required, please contact or use the Live Chat button in the software to get in touch with our Customer Support Team.

Related Parties / UBO’s #

Related Parties are natural persons who play a key role in an organisation through their management or control. They may have an impact on the potential risk an entity poses and so it is important that these individuals have their identity established and are then linked to a Legal/ Juristic entity.

These roles would include:

  • Directors.
  • Shareholders.
  • Partners.
  • Members.
  • Trustees.
  • Beneficiaries.
  • Authorised Signatories / Person acting on behalf of the entity.
  • Ultimate Beneficial Owners.

Linking a Related Party to an entity #

  1. Click ‘Related parties’ found on the navigation panel.
  2. Click ‘Add New Link’.
  3. At this point you can either search for the application if it has been loaded already or click on ‘Add Customer’ to create the new application.
  4. Once you have clicked ‘Link’ you can then select ‘I’m done linking’ and you will be able to view the Related Parties assigned to that Legal Entity.

Designations for Related Parties #

Designations allows you to add a Related Party role to the individuals you have linked to a Legal Entity. Please see the following steps on how to apply designations to a Related Party:

  1. Once you have linked a Related Party to the Legal Entity you will then see the option to ‘Manage’.
  2. Click ‘Manage’ and select the designation/s you would like to add to the individual.
  3. Click ‘Save’ and see the designation/s appear.

If you would like to find out more about this free add-on feature then please contact or use the Live Chat button in the software to get in touch with our Customer Support Team.

Who are Ultimate Beneficial Owners (UBO) of a client? #

A UBO is the Related Party natural person or natural persons who own a legal person or exercises effective control over it.

The steps set out below must be followed:

  • Determine who the natural person is who independently or together with another person has a controlling ownership interest in the legal person. Any person with ownership of generally accepted 25% or more of the shares with voting rights in a legal person, will have sufficient control of the entity. This could be reduced if the customer wants to, for example, 10% or 5%.
  • If the ownership interests do not indicate a beneficial owner, or if there is doubt as to whether the person with the controlling ownership interest is the beneficial owner, then the natural person who exercises control of the legal person through other means will be identified. For example, natural persons who exercise control through voting rights attaching to different classes of shares or through shareholder agreements.
  • If no natural person can be identified who exercises control through other means, then the natural person who exercises control over the management of the legal person will be identified, which can include an Executive Officer, Non-executive Director, Independent Non-executive Director, Director or Manager.

Note: A UBO in terms of CIPC is any person holding 25% or greater of a shareholding of a company.

Why are Related Parties and UBO’s important? #

It is important to perform identity verification for related parties and UBO’s of your client because criminals will try to use complex entities or business structures to try to hide themselves or provide a level of cover, or legitimacy to their transactions or source of funds.

This has led to the concept of related parties which aims to mitigate the risk of the use of legal persons or complex structures to hide behind.

Navigating around an Application #

The Application status #

In order to see what steps are outstanding for a client application, please hover over the status bar which is found on the top left-hand side of an application. The modules that have been completed will be highlighted in green with a tick next to it and modules that are outstanding will be highlighted in blue with no tick next to the line item. 

Application Status explained:

  1. Pending Upload: There are outstanding documents that are required to be uploaded.
  2. Being Processed by DocFox: The documents that you have uploaded are being reviewed by DocFox. The document goes through a validation process whereby a series of qualitative checks, data extraction and data comparison is done on the document/s.
  3. Ready for Review: The documents have been processed by DocFox and you may now ‘Accept’ or ‘Reject’ the documents. The Watchlist Screening, Media Articles and Risk Rating require reviewing/completion. Bank Account Verification can be performed before or after the application has been Approved.
  4. Ready for Approval: All the modules have been completed on the application. The Reporting Officer has now been notified via email that the application is Ready for Approval. An Officer will need to go into the application and click on the Approve button.
  5. Approved on {Date, time}: The application has now been approved by an Officer. Once an application has been approved, you will see when the application is due for a renewal which is determined by the Risk Rating status of your client.

Edit an application #

Once the application has been created you will have the option to edit the profile information. 

How to edit an application #

  • Click the pencil icon for the section that you would like to edit. 
  • Enter extra information or amend the existing information and click ‘Save Changes’.

When you update information on the profile please take note:

  1. A change in the application name will result in:
  • Watchlist Screening with the updated name – you will be prompted to investigate any new watchlist hits that may be returned.
  • Perform a Media Search with the updated name – you will be prompted to investigate any new results that have been returned.
  1. Changes made to the Identity or Registration numbers:
  • The 3rd party data will be recalled and will reflect the most up to date information taking into account the new identifying numbers.

Application Comments #

The comments created on the Profile page allows you to leave a comment that other users can view.

How to add an Application Comment #

  1. Simply click ‘+ Add Comment’, and then click ‘Save’
  2. You will not be able to delete the comment 
  3. These comments appear at the bottom of the profile page and on the PDF summary

How to duplicate an application from one Accountable Institution to another #

Application Duplication will need to be enabled in order for you to use this feature. It allows you to copy client applications from one Affiliated Accountable institution instance to another. 

Please see the below steps on how to duplicate an application:

  1. Once the feature is enabled, click on the ‘More’ button.
  2. Select ‘Copy Application to Affiliated Institution’ on the dropdown.
  3. Choose the user you would like to transfer the application to.
  4. The application will then appear on the other Affiliated Institution dashboard.

The information that is copied over:

  • Profile Information.
  • Uploaded Documents.
  • Watchlist hits.
  • Media search results.
  • Automatically generated DocFox tasks.
  • All related entities.

The information that is NOT copied over:

  • Risk rating and EDD documents.
  • PDF Summaries.
  • Audit trail events and comments.

If you would like to find out more about this free add-on feature then please contact or use the Live Chat button in the software to get in touch with our Customer Support Team.

How to Delete an Application #

An application will need to be in an unapproved status in order to delete it.

Navigate to the ‘More’ button which is found on the top right-hand corner of the application. As an Officer you will see the option on the dropdown to ‘Delete’. Please add a reason for deleting the application.

Note: Only users with the Officer role have the ability to delete an application, and applications can only be deleted before the final approval status. If you are an Inviter/ Super Inviter, you would need to ask your Officer to action this for you. 

To un-approve an application, an Officer would need to update information on the application (Screening or Risk Rating) to take it into an unapproved status. Thereafter you will have the option to delete an application.

How to Archive or Unarchive an Application #

Archiving is used when the application is no longer active but you still want to keep the application on file. When you Archive an application, the ongoing Watchlist Screening will be paused.

Un-archiving an application will allow for the ongoing Watchlist Screening to continue. A ‘user’ with Officer access will be able to unarchive an application.

How to Transfer an Application from one user to another #

Transferring applications from one user to another allows for the new user to manage the application going forward. Once the application has been transferred, the new user will now receive all email notifications for any updates that effect the application.

How to Review an Application #

The FIC Act requires Accountable Institutions to carry out ongoing due diligence. This means monitoring a client’s interaction with you and ensuring the information held on record is up-to-date and accurate.

Steps that you can follow:

  1. Update any supporting documents that may have changed.
  2. Rerun Media Search checks to identify if there is potentially any new information available.
  3. Once the information has been updated and reviewed where appropriate, should anything have changed, we recommend that the Risk Rating be revisited to ensure that it accurately reflects any new information so that an informed decision can be made around any potential changes in risk that the client may pose.

Create a Task on an Application #

Creating a DocFox Task can assist you in keeping track of your own or other users’ action items on specific applications. You can create tasks for as many applications as you like and you can assign tasks to other users with the ability to enable email notifications to be sent prior to when the task is due.

How to create a task #

  1. Click the ‘Task’ button found in the navigation panel.
  2. Click ‘Add Task’ and fill in the information. 
  3. You can assign the task to yourself or to another user by using the dropdown menu.
  4. Click ‘notify by email’ if you would like to send an email reminder to whoever the task is assigned to. The email will include a hyperlink to the specific application that the task is assigned for. 
  5. The email notifications will be sent in the early morning of the day that the task is due for. Therefore, if you set a task for today or a past date then no email notification will be triggered.

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