Chapter IV

Investigations & Reporting

Turn unusual activity into a defensible case: investigate, preserve evidence, resolve discrepancies, escalate and report where required.

01Case File & Evidence LifecycleTrack evidence from intake through review, decision, retention and audit.02Discrepancy, Risk & EscalationClassify inconsistencies, test materiality and route unresolved risk.03Decision MatricesUse structured matrices for escalation, residual risk and control outcomes.04MLRO Review & EscalationSeparate analyst findings from MLRO decisions and reporting accountability.05STR / SAR & Tipping-OffAssess suspicion, preserve confidentiality and avoid tipping-off.06SAR / STR Source GuidanceUse official reporting guidance without turning examples into legal advice.07AML Review ExamplesSynthetic case patterns for CDD, EDD, screening and escalation.