Identity, eligibility and the case desk
Compliance owns four review lanes: investor KYC, issuer KYB, screening, and offering eligibility, plus the case desk that coordinates them. The rule of this desk is maker/checker: whoever recommends cannot also decide. This journey works each lane and the exception paths (action required, escalation, suspension, tier claims, complaints).
Work the KYC queue
- 1
Open the KYC workbench.
http://admin.blackant.tech/compliance/queueExpect · Cases oldest-first with provider evidence, screening hits and document checks.
- 2
Recommend an approval (or action-required) with rationale.
/compliance/queueExpect · The case waits for a checker; your recommendation is frozen evidence.
- 3
Decide a case someone else recommended.
/compliance/queueExpect · The investor verifies (or gets a reasoned refusal). Deciding your own recommendation is refused as maker_checker.
- 4
Send a case back with “action required”.
/compliance/queueExpect · The investor sees exactly what to fix; the SLA clock respects the return.
Verify issuer organisations (KYB)
- 5
Open the KYB workbench.
http://admin.blackant.tech/compliance/organisationsExpect · Organisation cases: identity, ownership/principals, banking, and content-addressed documents.
- 6
Review documents and principals, then recommend.
/compliance/organisationsExpect · Same maker/checker split as KYC. Expiring reviews surface at 30 days.
- 7
Request evidence with an organisation action-required.
/compliance/organisationsExpect · The sponsor portal shows the ask; their response reopens the review.
Screening and eligibility
- 8
Run the screening desk.
http://admin.blackant.tech/compliance/screeningExpect · Watchlist cycles per investor; material profile changes trigger automatic re-screens you review here.
- 9
Review eligibility decisions and grant an override (dual control: eligibility.override).
/compliance/eligibilityExpect · Your override request freezes the decision evidence and waits for an independent approver; time-bound when granted.
- 10
Decide a tier claim (“Tier claim: qualified/institutional” case).
/compliance/queueExpect · Approval writes the classification with its expiry; limits change only through this path.
Coordinate on the case desk
- 11
Open the case desk and filter to your assignments.
http://admin.blackant.tech/compliance/casesExpect · Every coordination case with SLA, comments, evidence references and the link to its governed workbench. Decisions stay in the workbench; coordination lives here.
- 12
Assign a case to yourself, comment (internal vs subject-visible), and register evidence by hash.
/compliance/casesExpect · Subject-visible comments notify the investor in-app; evidence is metadata + SHA-256 on receipt.
- 13
Escalate a stuck case.
/compliance/casesExpect · The owning task routes to platform admin with raised risk and a 24-hour SLA. Escalation never decides the case itself.
- 14
Work the complaints tab.
/compliance/cases (Complaints)Expect · Investor complaints with acknowledge/resolve; resolution requires a note and completes the owning task.
- 15
Suspend an investor who must stop transacting.
http://admin.blackant.tech/investors/[id]Expect · Suspension blocks new activity at the session layer immediately; reads stay available so they can see their own record.
Account recovery (compliance half)
- 16
After operations reports a lost/compromised account, verify the investor completed a fresh identity cycle.
http://admin.blackant.tech/investors (Account recovery)Expect · The recovery cannot advance past identity re-verification until a NEW verified cycle exists after the report date.
- 17
Give the compliance approval.
/investorsExpect · Your name is recorded; the operations approval must come from a different person.