AUIGes: From anti-money laundering to fiscal monitoring: the lean solution for AUI

AUIGes is a real-soft suite that facilitates the internal processes of financial and insurance intermediaries in the management, production and control of the of the Archivio Unico Informatico (AUI) (Single Information Archive) and in the control of the AML in general. In addition, AUIGes generates an information report swift and compliant to all internal inspection authorities and external statutory institutions. Through a set of departmental functionality, AUIGes enables agents to work effectively and efficiently in total autonomy.

AUIGes is composed by

  1. AUI Maintenance
  2. II and III level AUI and AML controls
  3. IRS (Internal Revenue Service) Section
  4. Objective Communications
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Section 1 – AUI Maintenance

Section AUI Maintenance consists of a set of functionalities aimed at supporting the financial and insurance intermediary in the daily holding of the Archivio Unico Informatico and in the control of the life cycle and of any internal / external inspections in compliance with the relevant legislation .
In the spirit that characterized the design of the entire suite and on the basis of the considerable experience acquired, with the Section AUI Maintenance we wanted to overcome the cumbersome and the inevitable stratifications present on the currently market in the application solutions, a consequence of regulatory developments that took place over the years .
In fact, in addition to a series of functional features, the same design of the database as well as the large set of configuration elements, allow you to achieve excellent results in terms of extreme maintainability, lightness of the software code and high performance.

Here are the classic AUI Maintenance features:

  • Examination of the movements charged by the acquisition function in temporary areas and generation and management of compliant AUI records.
  • Possibility to choose, during the configuration phase, two aggregation methods, Forwards and Backwards, for the split operations management.
  • Large set of parameters for custom configuration in compliance with the regulatory scope.

Complete management of the periodic generation of statistical reports to the FIU.

Complete management of the periodic generation of statistical reports to the FIU.

Possibility to carry out mass and judiciary researches in all the branches of the AUI: AUI, Offline AUI, Temporary AUI. Requests can be entered both online (in distributed web mode and client) and in batches through special flows.

Ability to enter in Reverse Web mode Reversal and Rectification operations of registrations with the peculiarity that the adjustments allow the variation of all the attributes of the AUI (of course with the exception of the key fields A01A, A01B, A02 and A03). In general, adjustments to the AUI are managed according to the guidelines of the Standard method (and not the Reversal).

Ability to choose the historical depth of the AUI online and then the date prior to the automatic transfer of registrations to the offline AUI. Normally 2 years the depth of the AUI Online and all previous years transferred to AUI Offline.

Possibility to clean the registrations normatively cancellable for the needs of efficiency and lightening of the archive.

Section 2 – II and III level AUI and AML controls

The AUIGes Controls Section consists of a set of modules that facilitate the internal processes of financial intermediaries and insurance companies in the management, production and control of the AUI (Archivio Unico Informatico). It also prepares an informative swift and conforms to all internal inspection bodies and statutory bodies outside (Judiciary, Revenue Service and tax police) to maintain the consistency and fairness of the AUI.

To evaluate and certify the quality and compliance of the registrations contained in the AIU compliance with the reference legislation.

To evaluate and certify the changes taking place in the AUI, as a result of innovations in the information system or changes to the processes that impact the data on the AUI registrations downstream.

To evaluate and certify the changes that are taking place in the aggregate reports to the FIU, as a result of information system innovations.

To evaluate and certify the report changes relating to the Objective Communications to the UIF, following innovations in the information system.

To evaluate and certify the changes occurring in mass searches, as a result of information system innovations.

To evaluate and certify, as a result of information system innovations, the changes taking place upstream on the data feeding the systems that govern the processes of customer risk profiling and the determination of suspicious transactions, and downstream on the results obtained from these systems in terms of risk profiles and suspicious transactions generated.

To evaluate and certify the presence and the alignment of the registrations in the AUI, compliance with the movement present in the information system ledgers.

To convert and certify a structured AUI with the “Storno” method for the management of corrections / cancellations, taking it to the “standard” method valid for external control authorities such as the Magistrates.

Section 3 – IRS (Internal Revenue Service) Section

The IRS (Internal Revenue Service) Section of AUIGes is dedicated to all reporting and communication needs dictated by the Internal Revenue Service Agency and the Guardia di Finanza (Financial Police).
At present, the periodic reporting of Fiscal Monitoring is available.

Section 4 – Objective Communications

The Objective Communications section of AUIGes provides the functionalities necessary for the management envisaged by the provision adopted on  03/28/2019 by the Financial Intelligence Unit (FIU). It says that financial intermediaries (banks, electronic money institutions, payment institutions, Italian Post Office, etc.) are required to send a monthly communication containing data relating to cash movements equal to or greater than 10,000 euros even if made with fractional transactions equal to or greater than 1,000 euros, executed by the same person in the same period. arc of a solar month both on reports and by occasional operations. The obligation to send objective communications starts from April 2019 and the first submission relating to the months of April, May and June 2019 can be executed by 15 September 2019 (expiry date coinciding with the report in July 2019).

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