Use Cases
How different industries use NNSFlow for compliance documentation.
Banks & Financial Institutions
AML/KYC Compliance
Swiss banks face strict regulatory requirements from FINMA for client due diligence. When a regulator asks what you knew about a client at onboarding, you need to show exactly what sources you reviewed.
Common Scenarios
Client Onboarding
Screen new clients before account opening. Capture evidence of all sources reviewed, whether adverse or clean.
Periodic Reviews
Re-screen existing clients at defined intervals. Compare current results with previous screenings to identify changes.
Transaction-Triggered Reviews
Screen when unusual activity is detected. Document the review in case of later investigation.
PEP Screening
Identify Politically Exposed Persons. Classify sources by credibility to distinguish official records from rumors.
Key Benefits
- FINMA-aligned documentation with full evidence trail
- 10-year retention meets Swiss regulatory requirements
- Decision snapshots prove tool configuration at review time
- Immutable evidence cannot be altered after completion
Relevant Regulations
- FINMA Anti-Money Laundering Ordinance
- Swiss nFADP
- GDPR (for EU-related clients)
Casinos & Gaming
Patron Due Diligence
Gaming establishments must verify patrons for AML compliance and identify individuals who may pose reputational or legal risks. Regulators expect documented due diligence for high-value patrons. NNSFlow is a negative-news screening tool that captures evidence and audit trail for AML reviews of individuals and companies. Gaming-specific obligations under BGS and ESBK, including the central self-exclusion registry, remain handled in your existing systems.
Common Scenarios
High-Value Patron Onboarding
Screen patrons before issuing credit lines or VIP status. Document the review for regulatory audits.
Source of Funds Verification
Investigate patrons with unusually large transactions. Look for adverse media related to their stated profession.
Self-Exclusion Documentation
Capture evidence when patrons disclose self-exclusion or problem-gambling history. Full source trail for decisions made in your existing systems.
Vendor & Supplier Screening
Screen gaming equipment suppliers, service providers, and business partners for regulatory risks.
Key Benefits
- Evidence trail for gaming commission audits
- Source credibility classification for reliable documentation
- Team workspace for multiple compliance officers
- Export reports for regulatory submissions
Relevant Regulations
- Swiss Gaming Act (BGS)
- ESBK requirements
- Anti-Money Laundering Act (AMLA)
Asset Managers & Family Offices
Investor Due Diligence
Asset managers and family offices must know their investors. Accepting funds from problematic sources creates legal and reputational risk. Proper screening documentation protects the firm.
Common Scenarios
Investor Onboarding
Screen potential investors before accepting capital. Document the review as part of subscription documentation.
Beneficial Owner Identification
Screen ultimate beneficial owners of corporate investors. Capture evidence for complex ownership structures.
Investment Target Screening
Screen companies before making investments. Document due diligence for the investment committee.
Ongoing Monitoring
Re-screen investors and portfolio companies periodically. Maintain continuous compliance documentation.
Key Benefits
- Documented due diligence for investor subscriptions
- Evidence retention for fund lifecycle (10+ years)
- Multi-user access for compliance teams
- PDF exports for investment committee reporting
Relevant Regulations
- CISA (Collective Investment Schemes Act)
- FINMA Asset Management supervision
- AMLA requirements
Corporate Compliance
Third-Party Due Diligence
Corporations face increasing requirements to know their business partners, suppliers, and vendors. Bribery and corruption risks in the supply chain can result in significant legal liability.
Common Scenarios
Vendor Onboarding
Screen new vendors and suppliers before contracting. Document due diligence for procurement records.
M&A Target Screening
Screen acquisition targets and their key executives. Capture evidence for deal documentation.
Agent & Intermediary Checks
Screen sales agents, distributors, and business intermediaries for corruption and bribery risks.
Executive Hiring
Screen senior executive candidates before hiring. Document background checks for HR records.
Key Benefits
- Third-party due diligence documentation
- Evidence trail for anti-bribery compliance
- Team collaboration for procurement and compliance
- Audit-ready exports for internal and external review
Relevant Regulations
- Swiss Criminal Code (bribery provisions)
- UK Bribery Act (for UK-connected business)
- FCPA (for US-connected business)
Ready to improve your screening documentation?
Start with a free account to evaluate NNSFlow, or contact us to discuss enterprise deployment for your institution.