Entity statuses in DAL indicate the current compliance state of an entity in your system. Understanding these statuses helps you track entity compliance and take appropriate actions.

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Active

The Active status is the default status assigned when an entity is first created in the system. An entity with Active status indicates that:
  • The entity has been successfully created and added to the monitoring system.
  • The entity has passed initial compliance checks.
  • The entity is currently being monitored for watchlist matches.
  • The entity is eligible for ongoing compliance monitoring.
Entities remain in Active status as long as they continue to pass compliance checks and no blocking conditions are identified.

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Blocked

An entity with Blocked status indicates that:
  • The entity has failed compliance checks.
  • The entity has been identified as a potential match against watchlists (sanctions, PEPs, or other risk indicators).
  • The entity requires immediate attention and review.
  • The entity may be subject to restrictions based on your organization’s compliance policies.
When an entity is blocked, you will receive webhook notifications (if configured) and should review the associated cases and matches in the DAL portal to determine the appropriate action.

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Deactivated

An entity with Deactivated status indicates that:
  • The entity is no longer actively investing or conducting business.
  • The entity relationship has been terminated or suspended.
  • The entity should no longer be actively monitored for new compliance issues.
  • Historical compliance data remains available for audit purposes.
Deactivated entities are typically used when an entity relationship has ended but you need to maintain records for compliance and audit purposes.

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Deceased

An entity with Deceased status indicates that:
  • The entity has been reported as deceased.
  • The entity relationship is no longer active.
  • The entity should be removed from active monitoring.
  • Historical records are maintained for compliance purposes.
This status is used to properly handle entity accounts when an entity passes away, ensuring compliance with regulatory requirements while maintaining appropriate record-keeping.

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Status Transitions

Entities can transition between statuses based on compliance reviews and administrative actions:
  • Active → Blocked: Should occurs when compliance checks fail or matches are identified.
  • Blocked → Active: Can occur after review and resolution of compliance issues (unblocking).
  • Active → Deactivated: Administrative action when entity relationship ends.
  • Active → Deceased: Administrative action when entity is reported as deceased.
  • Any Status → Deactivated/Deceased: Can be set administratively as needed from the get go.

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Webhook Notifications

When an entity’s status changes, DAL can send webhook notifications (if configured) with the ClientStatusUpdate event type. This allows your systems to react in real-time to status changes. For more information about webhook events, see the Webhook Integration.

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API Usage

When creating or updating entities via the API, you can specify the status. The default status for new entities is Active. Status values are case-sensitive and must match exactly:
  • Active
  • Blocked
  • Deactivated
  • Deceased

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Best Practices

  1. Monitor Status Changes: Set up webhook notifications to track status changes in real-time.
  2. Review Blocked Entities: Promptly review entities with Blocked status to ensure compliance.
  3. Maintain Accurate Status: Update entity statuses as relationships change to ensure accurate monitoring.
  4. Audit Trail: All status changes are logged in the system for audit purposes.
For assistance with entity status management, contact your DAL administrator.