Damit die Compliance-Informationen zu Personen und Akten in ADVOKAT eingetragen werden können benötigt es zusätzliche Felder in den Stammdaten.
Dazu werden sogenannte freie Felder einmalig wie hier beschrieben konfiguriert. Es handelt sich um zusätzliche Felder, welche standardmäßig nicht existieren.
Hinweise
Allgemeine Informationen zu freien Feldern finden Sie in der ADVOKAT Programmhilfe (F1) in den Kapiteln "Personenstamm - Freie Felder" und "Aktenstamm - Freie Felder".
Vorgehensweise
- Navigieren Sie per Windows Explorer zum ADVOKAT Backend unter "...\ADVOKAT\Daten\Config".
Prüfen Sie ob die Datei "FFKanzlei.cfg" existiert, mehr Informationen finden Sie im Kapitel FFKanzlei.cfg.- Ist die Datei bereits vorhanden, dann fahren Sie mit Schritt 2a fort.
- Ist die Datei noch nicht vorhanden, dann fahren Sie mit Schritt 2b fort.
- Befolgen Sie entweder Punkt A oder B wie unter Schritt 1 beschrieben:
- Öffnen Sie die Datei "FFKanzlei.cfg" mit einem Texteditor, wir empfehlen dazu Notepad++.
Suchen Sie in der Datei nach der Zeile <FFVorlagen RootName="NamFelder"> und fügen eine leere Zeile direkt darunter ein. In der neuen, leeren Zeile fügen Sie folgenden Inhalt ein:
Inhalt<FreieFelder TabName="KYC" Sichtbar="-1" Causen="" XNr="0" Bereich="" Kundenspezifisch="-1"> <FFelder Kundenspezifisch="-1"> <FFeld Name="Compliance person" _sort="2147483647" Format="L-Yes|No" Kundenspezifisch="-1"/> </FFelder> <FFGruppen AnzSichtbar="1" Kundenspezifisch="-1"> <FFGruppe Name="KYC" _sort="1" Sichtbar="-1" PosSichtbar="1" Kundenspezifisch="-1" Reihung="1"> <FFelder Kundenspezifisch="-1"> <FFeld Name="KYC check" _sort="2" Format="L-Yes|No" Kundenspezifisch="-1" Reihung="2"/> <FFeld Name="KYC date" _sort="3" Format="D-" Kundenspezifisch="-1" Reihung="3"/> </FFelder> <FFGruppen Kundenspezifisch="-1"/> </FFGruppe> </FFGruppen> </FreieFelder>
Suchen Sie in der Datei nach der Zeile <FFVorlagen RootName="AktFelder"> und fügen eine leere Zeile direkt darunter ein. In der neuen, leeren Zeile fügen Sie folgenden Inhalt ein:
<FreieFelder TabName="Compliance" Sichtbar="-1" Causen="" XNr="0" Bereich="" Kundenspezifisch="-1">
<FFelder Kundenspezifisch="-1"/>
<FFGruppen AnzSichtbar="2" Kundenspezifisch="-1">
<FFGruppe Name="Compliance" _sort="2147483647" Sichtbar="-1" PosSichtbar="1" Kundenspezifisch="-1">
<FFelder Kundenspezifisch="-1">
<FFeld Name="Approval by" _sort="1" Format="SB*" Kundenspezifisch="-1" Reihung="1"/>
<FFeld Name="Compliance File" _sort="2" Format="L-Yes|No" Kundenspezifisch="-1" Reihung="2"/>
<FFeld Name="Released by" _sort="3" Format="SB*" Kundenspezifisch="-1" Reihung="3"/>
<FFeld Name="Revision" _sort="4" Format="D-" Kundenspezifisch="-1" Reihung="4"/>
<FFeld Name="Status" _sort="5" Format="L-Request|Waiting|Releasing|Released" Kundenspezifisch="-1" Reihung="5"/>
<FFeld Name="KYC" _sort="6" Format="L-Yes|No" Kundenspezifisch="-1" Reihung="6"/>
<FFeld Name="KYC-Date" _sort="7" Format="D-" Kundenspezifisch="-1" Reihung="7"/>
<FFeld Name="Conflict No." _sort="8" Kundenspezifisch="-1" Reihung="8"/>
</FFelder>
<FFGruppen Kundenspezifisch="-1"/>
</FFGruppe>
<FFGruppe Name="Compliance Process" _sort="2147483647" Sichtbar="-1" PosSichtbar="2" Kundenspezifisch="-1">
<FFelder Kundenspezifisch="-1">
<FFeld Name="Conflicts" _sort="1" Format="L-No conflict of interest with regard to the client(s)/opponent(s) according to ADVOKAT. However, there is a <font color="#e2007a"><strong>potential conflict</strong></font> with regard to the potential opponent/client. <br>Please contact the partner/lawyer in charge of these files to clarify if accepting the new matter is possible. Please inform us about the outcome of your discussion.|No conflict of interest with regard to the client(s) and the opponent(s) according to ADVOKAT." Kundenspezifisch="-1" Reihung="1"/>
<FFeld Name="Framework Agreement" _sort="2" Format="L-not applicable" Kundenspezifisch="-1" Reihung="2"/>
<FFeld Name="Last contact(s)" _sort="3" Format="L-If you are interested in recent hourly rates etc, please contact N.N. who has/had the latest file(s) for this client in [year] and/or N.N., who has/had several file(s) for this client since [year]/in the period [year] to [year].|not applicable – first file |not applicable – CC from N.N., from [date] obviously did not materialize |not applicable – existing client" Kundenspezifisch="-1" Reihung="3"/>
<FFeld Name="Insider Dealings" _sort="4" Format="L-The client is a listed company. <br>Please consider whether the matter could potentially be qualified as insider mandate.|not applicable" Kundenspezifisch="-1" Reihung="4"/>
<FFeld Name="Reportable Arrangements (DAC6)" _sort="5" Format="L-Please note that EU DAC6 directive contains reporting obligations in relation to specific reportable cross-border (tax) arrangements. As various matters qualify as such reportable arrangements, this DAC6 note is included in every compliance assessment irrespective of your matter description.<br><br>For further information please see the summary attached." Kundenspezifisch="-1" Reihung="5"/>
<FFeld Name="Anti-Money Laundering | Terrorism Financing" _sort="6" Format="L-not applicable|AML risk-prone|AML risk-prone <br/>As to our knowledge <font color="#e2007a"><strong>according to AML law, KYC checks are also mandatory for listed/regulated entities.</strong></font>|<font color="#e2007a"><strong>AML risk-prone – in case of acting as an escrow agent KYC checks also have to be conducted for the opponent.</strong></font>|The matter qualifies as AML risk-prone. However, as the client is a listed entity and, thus, regulated the risk is remote in regard of the client and no further checks are needed.|Even if the matter would qualify as AML risk-prone, no further KYC checks are needed since the potential client is a bank / listed entity / regulated / state-owned.|In case the matter is connected to the participation or assistance in the planning or carrying out of a transaction concerning (i) buying and selling of real property or business entities, (ii) managing of client money, securities or other assets, (iii) opening or management of bank, savings or securities accounts or (iv) organisation of contributions necessary for the creation, operation or management of companies, the matter would qualify as AML risk-prone (AML4, Art 2, par 1, 3 (b)) and we have to conduct a KYC check.|With respect to AML/KYC assessment we refer to the memo attached." Kundenspezifisch="-1" Reihung="6"/>
<FFeld Name="Risk-Prone Industry Sector" _sort="7" Format="L-yes|not applicable" Kundenspezifisch="-1" Reihung="7"/>
<FFeld Name="High-Risk Country (Reg (EU) 2016-1675)" _sort="8" Format="L-<font color="#e2007a"><strong>Due to the qualification of Albania/Iran as high risk country additional due diligence and increased monitoring obligations apply. Hence, the following information needs to be obtained:<div class="venmagenta"><blockquote><font color="#e2007a">&bull; sources of funds;</font></blockquote><blockquote><font color="#e2007a">&bull; financial status of the client and its beneficial owner(s); and </font></blockquote><blockquote><font color="#e2007a">&bull; reasons for the current transaction.</font></blockquote></div>|not applicable" Kundenspezifisch="-1" Reihung="8"/>
<FFeld Name="Politically Exposed Person(s)" _sort="9" Format="L-<font color="#e2007a"><strong>yes</strong></font>|no" Kundenspezifisch="-1" Reihung="9"/>
<FFeld Name="Sanctions" _sort="10" Format="L-Please note that [name of person/company] is [100%] owned by US ([name of the sanction list]), and EU [name of the sanction list] sanctioned [name of person/company].|no" Kundenspezifisch="-1" Reihung="10"/>
<FFeld Name="Adverse Media" _sort="11" Format="L-<font color="#e2007a"><strong>yes</strong></font><br>If you need these articles, please contact Team Compliance.|no" Kundenspezifisch="-1" Reihung="11"/>
<FFeld Name="Long Distance Transaction" _sort="12" Format="L-yes/no <font color="#e2007a">(to be confirmed by the partner/lawyer in charge)</font><br>In case the client is not physically present, you should take additional adequate measures to reliably establish/verify the identity of the client such as <table><tr><td style="vertical-align:top; border:0px">(i)</td><td style="vertical-align:top;border:0px "> the client conducting the first payment through an EU/EEA bank account or an account of a bank subject to equivalent EU AML provisions in his/her name; or </td></tr><tr><td style="vertical-align:top;border:0px ">(ii)</td><td style="vertical-align:top;border:0px "> a declaration of a trustworthy identity witness such as a foreign lawyer, confirmed by qualified electronic signature etc. </td></tr></table>|not applicable." Kundenspezifisch="-1" Reihung="12"/>
<FFeld Name="Overall Risk Assessment" _sort="13" Format="L-no/low AML risk|increased AML risk due to|money laundering suspicion report|not applicable" Kundenspezifisch="-1" Reihung="13"/>
<FFeld Name="Documentation" _sort="14" Format="L-We will upload all documents in the relevant folder." Kundenspezifisch="-1" Reihung="14"/>
</FFelder>
<FFGruppen Kundenspezifisch="-1"/>
</FFGruppe>
</FFGruppen>
</FreieFelder>- Inhalt
<FreieFelder TabName="Compliance" Sichtbar="-1" Causen="" XNr="0" Bereich="" Kundenspezifisch="-1"> <FFelder Kundenspezifisch="-1"/> <FFGruppen AnzSichtbar="2" Kundenspezifisch="-1"> <FFGruppe Name="Compliance" _sort="2147483647" Sichtbar="-1" PosSichtbar="1" Kundenspezifisch="-1"> <FFelder Kundenspezifisch="-1"> <FFeld Name="Approval by" _sort="1" Format="SB*" Kundenspezifisch="-1" Reihung="1"/> <FFeld Name="Compliance File" _sort="2" Format="L-Yes|No" Kundenspezifisch="-1" Reihung="2"/> <FFeld Name="Released by" _sort="3" Format="SB*" Kundenspezifisch="-1" Reihung="3"/> <FFeld Name="Revision" _sort="4" Format="D-" Kundenspezifisch="-1" Reihung="4"/> <FFeld Name="Status" _sort="5" Format="L-Request|Waiting|Releasing|Released" Kundenspezifisch="-1" Reihung="5"/> <FFeld Name="KYC" _sort="6" Format="L-Yes|No" Kundenspezifisch="-1" Reihung="6"/> <FFeld Name="KYC-Date" _sort="7" Format="D-" Kundenspezifisch="-1" Reihung="7"/> <FFeld Name="Conflict No." _sort="8" Kundenspezifisch="-1" Reihung="8"/> </FFelder> <FFGruppen Kundenspezifisch="-1"/> </FFGruppe> <FFGruppe Name="Compliance Process" _sort="2147483647" Sichtbar="-1" PosSichtbar="2" Kundenspezifisch="-1"> <FFelder Kundenspezifisch="-1"> <FFeld Name="Conflicts" _sort="1" Format="L-No conflict of interest with regard to the client(s)/opponent(s) according to ADVOKAT. However, there is a <font color="#e2007a"><strong>potential conflict</strong></font> with regard to the potential opponent/client. <br>Please contact the partner/lawyer in charge of these files to clarify if accepting the new matter is possible. Please inform us about the outcome of your discussion.|No conflict of interest with regard to the client(s) and the opponent(s) according to ADVOKAT." Kundenspezifisch="-1" Reihung="1"/> <FFeld Name="Framework Agreement" _sort="2" Format="L-not applicable" Kundenspezifisch="-1" Reihung="2"/> <FFeld Name="Last contact(s)" _sort="3" Format="L-If you are interested in recent hourly rates etc, please contact N.N. who has/had the latest file(s) for this client in [year] and/or N.N., who has/had several file(s) for this client since [year]/in the period [year] to [year].|not applicable – first file |not applicable – CC from N.N., from [date] obviously did not materialize |not applicable – existing client" Kundenspezifisch="-1" Reihung="3"/> <FFeld Name="Insider Dealings" _sort="4" Format="L-The client is a listed company. <br>Please consider whether the matter could potentially be qualified as insider mandate.|not applicable" Kundenspezifisch="-1" Reihung="4"/> <FFeld Name="Reportable Arrangements (DAC6)" _sort="5" Format="L-Please note that EU DAC6 directive contains reporting obligations in relation to specific reportable cross-border (tax) arrangements. As various matters qualify as such reportable arrangements, this DAC6 note is included in every compliance assessment irrespective of your matter description.<br><br>For further information please see the summary attached." Kundenspezifisch="-1" Reihung="5"/> <FFeld Name="Anti-Money Laundering | Terrorism Financing" _sort="6" Format="L-not applicable|AML risk-prone|AML risk-prone <br/>As to our knowledge <font color="#e2007a"><strong>according to AML law, KYC checks are also mandatory for listed/regulated entities.</strong></font>|<font color="#e2007a"><strong>AML risk-prone – in case of acting as an escrow agent KYC checks also have to be conducted for the opponent.</strong></font>|The matter qualifies as AML risk-prone. However, as the client is a listed entity and, thus, regulated the risk is remote in regard of the client and no further checks are needed.|Even if the matter would qualify as AML risk-prone, no further KYC checks are needed since the potential client is a bank / listed entity / regulated / state-owned.|In case the matter is connected to the participation or assistance in the planning or carrying out of a transaction concerning (i) buying and selling of real property or business entities, (ii) managing of client money, securities or other assets, (iii) opening or management of bank, savings or securities accounts or (iv) organisation of contributions necessary for the creation, operation or management of companies, the matter would qualify as AML risk-prone (AML4, Art 2, par 1, 3 (b)) and we have to conduct a KYC check.|With respect to AML/KYC assessment we refer to the memo attached." Kundenspezifisch="-1" Reihung="6"/> <FFeld Name="Risk-Prone Industry Sector" _sort="7" Format="L-yes|not applicable" Kundenspezifisch="-1" Reihung="7"/> <FFeld Name="High-Risk Country (Reg (EU) 2016-1675)" _sort="8" Format="L-<font color="#e2007a"><strong>Due to the qualification of Albania/Iran as high risk country additional due diligence and increased monitoring obligations apply. Hence, the following information needs to be obtained:<div class="venmagenta"><blockquote><font color="#e2007a">• sources of funds;</font></blockquote><blockquote><font color="#e2007a">• financial status of the client and its beneficial owner(s); and </font></blockquote><blockquote><font color="#e2007a">• reasons for the current transaction.</font></blockquote></div>|not applicable" Kundenspezifisch="-1" Reihung="8"/> <FFeld Name="Politically Exposed Person(s)" _sort="9" Format="L-<font color="#e2007a"><strong>yes</strong></font>|no" Kundenspezifisch="-1" Reihung="9"/> <FFeld Name="Sanctions" _sort="10" Format="L-Please note that [name of person/company] is [100%] owned by US ([name of the sanction list]), and EU [name of the sanction list] sanctioned [name of person/company].|no" Kundenspezifisch="-1" Reihung="10"/> <FFeld Name="Adverse Media" _sort="11" Format="L-<font color="#e2007a"><strong>yes</strong></font><br>If you need these articles, please contact Team Compliance.|no" Kundenspezifisch="-1" Reihung="11"/> <FFeld Name="Long Distance Transaction" _sort="12" Format="L-yes/no <font color="#e2007a">(to be confirmed by the partner/lawyer in charge)</font><br>In case the client is not physically present, you should take additional adequate measures to reliably establish/verify the identity of the client such as <table><tr><td style="vertical-align:top; border:0px">(i)</td><td style="vertical-align:top;border:0px "> the client conducting the first payment through an EU/EEA bank account or an account of a bank subject to equivalent EU AML provisions in his/her name; or </td></tr><tr><td style="vertical-align:top;border:0px ">(ii)</td><td style="vertical-align:top;border:0px "> a declaration of a trustworthy identity witness such as a foreign lawyer, confirmed by qualified electronic signature etc. </td></tr></table>|not applicable." Kundenspezifisch="-1" Reihung="12"/> <FFeld Name="Overall Risk Assessment" _sort="13" Format="L-no/low AML risk|increased AML risk due to|money laundering suspicion report|not applicable" Kundenspezifisch="-1" Reihung="13"/> <FFeld Name="Documentation" _sort="14" Format="L-We will upload all documents in the relevant folder." Kundenspezifisch="-1" Reihung="14"/> </FFelder> <FFGruppen Kundenspezifisch="-1"/> </FFGruppe> </FFGruppen> </FreieFelder>
- Laden Sie folgende Datei herunter und speichern Sie diese im Unterordner "Config" ab: FFKanzlei.cfg (9 KB)
- Öffnen Sie die Datei "FFKanzlei.cfg" mit einem Texteditor, wir empfehlen dazu Notepad++.
- Ist ADVOKAT bereits gestartet und Modul Aktenverwaltung oder Compliance geöffnet dann starten Sie ADVOKAT neu.