About Case Management

TrustGate Case Management provides structured workflows for investigating screening hits, verification issues, and compliance concerns. Cases ensure nothing falls through the cracks and create audit trails for regulators.

What is a Case?

A Case is an investigation record created when:

• Screening identifies potential watchlist matches
• Document verification raises concerns
• Fraud signals are detected
• Manual escalation is needed
• Ongoing monitoring triggers alerts

Why Case Management?

Regulatory Compliance

• Document investigation procedures
• Create audit trails for examiners
• Track SLA compliance
• Record decision rationale

Operational Efficiency

• Centralize investigation work
• Assign and track workload
• Prioritize by risk level
• Measure team performance

Case Types

Type	Description	Auto-Created
sanctions	Potential sanctions list match	Yes
pep	Politically exposed person match	Yes
adverse_media	Negative news coverage	Configurable
fraud	Suspected fraud	Yes
verification	Document/identity issues	Configurable
aml	General AML concern	Manual

Case Lifecycle

┌─────────┐     ┌─────────────┐     ┌──────────────┐
│  OPEN   │────>│ IN_PROGRESS │────>│   RESOLVED   │
└─────────┘     └─────────────┘     └──────────────┘
     │                │                    │
     │                v                    v
     │          ┌──────────────┐     ┌──────────┐
     └─────────>│  ESCALATED   │────>│  CLOSED  │
                └──────────────┘     └──────────┘

Statuses

Status	Description
open	New case, awaiting assignment
in_progress	Assigned and being investigated
pending_info	Waiting for additional information
escalated	Escalated to senior review
resolved	Investigation complete
closed	Case closed

Priority and SLAs

Priority	SLA	Use Case
Critical	4 hours	Sanctions matches, active fraud
High	24 hours	PEP matches, high-risk alerts
Medium	72 hours	Standard reviews
Low	1 week	Low-risk, informational

Case Dashboard

The dashboard shows:

• Open cases by priority
• My assigned cases for current user
• SLA breaches requiring attention
• Recent activity across all cases

Quick Start

View Open Cases

curl -X GET "https://api.bytrustgate.com/v1/cases?status=open" \
  -H "Authorization: Bearer YOUR_API_KEY"

Assign Case

curl -X POST https://api.bytrustgate.com/v1/cases/{case_id}/assign \
  -H "Authorization: Bearer YOUR_API_KEY" \
  -H "Content-Type: application/json" \
  -d '{"assignee_id": "user_123"}'

Resolve Case

curl -X POST https://api.bytrustgate.com/v1/cases/{case_id}/resolve \
  -H "Authorization: Bearer YOUR_API_KEY" \
  -H "Content-Type: application/json" \
  -d '{
    "resolution": "no_action_required",
    "notes": "False positive - different individual."
  }'

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Next Steps

• Creating Cases - Manual case creation
• Case Workflows - Assignment and escalation
• Resolving Cases - Resolution procedures
• AI Assistance - AI-powered investigation help