Screening and monitoring

Screening checks people and businesses associated with a Connection for sanctions, politically exposed person (PEP) status, adverse media, and regulatory enforcement. Monitoring repeats screening throughout the relationship with the Connection. A hit is a possible match between a screened person or business and a profile returned by a screening provider. Every hit opens an investigation for an analyst to assess. Duna sends the details collected about each person and business during onboarding and review to third-party screening providers, which run the checks and return the results. Your configuration specifies which providers your organization uses and which businesses and people are screened.

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Screening

Screening runs when the business submits its onboarding, and again when its details change: a resubmission after a Follow-up, a new owner, a corrected date of birth. A screening without hits requires no action from you. If there is a hit, assess it in an investigation.

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Add a person or business to be screened

To screen a person or business that wasn’t declared during onboarding:

1. Open the review.
2. Go to Associated entities and click Add associated entity.
3. Choose Person or Business.
4. Select their relationship to the Connection, such as ultimate beneficial owner (UBO), representative, or signatory, and enter their details.
5. The new entity starts as Not published. Click Publish entity to include it in the Connection’s configured checks, including screening and monitoring.

Click Unpublish entity to remove it from those checks.

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Monitoring

Monitoring starts with the first screening for each screened person or business. The lists are checked again about once a day. A new match opens an investigation like any other hit. See What a hit changes for its effect on the Connection. New monitoring hits do not trigger email notifications. Use the Investigations section to find and assess them. Monitoring stops when the Connection is rejected or terminated. A person or business that is no longer part of the Connection, for example an owner who left, is no longer monitored either.

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Find investigations

Open Investigations in the Dashboard sidebar. Use Inbox for unassigned open investigations, or My open investigations for those assigned to you. The Screening view shows open investigations for Connections with a review in progress. The Monitoring view shows those for Connections without a review in progress. Inside a review, the Screen step shows investigations for that Connection. See Investigations for how to assess a hit and finalize the outcome.

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What a hit changes

A hit opens an investigation. It does not automatically change the Connection’s risk score or capabilities. When an analyst finalizes the investigation, the outcome determines what happens next:

• False positive: It does not affect the Connection’s risk score or capabilities.
• True positive with no relevant finding: It does not affect the Connection’s risk score or capabilities.
• True positive with a relevant finding: the finding contributes to the Connection’s risk score according to your policies. A review opens automatically, unless the Connection already has an open onboarding or review. The analyst uses the review to decide on the Connection’s capabilities.

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For auditors

Due Diligence Files include a Screening report and an Investigations report. The Screening report lists every person and business screened, each screening run with its date and the provider settings used, and when monitoring started and stopped. The Investigations report lists every hit with the analyst’s assessment, their notes and the outcome.

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FAQ