Anti-Corruption, Adverse Media Watchlist RISK DATABASE

The Dow Jones Risk & Compliance online interface is the online solution for critical information on high-risk persons and entities from around the world. From here users can access the Anti-Corruption, Adverse Media and Watchlist content sets. The hints and tips below will ensure users get the most out of their subscription. RISK DATABASE

The ‘Risk Database’ tab provides comprehensive records on the following Watchlist content categories: Politically Exposed Person / Government Official Relative/Close Associate of either a PEP or Special Interest Person/Entity Special Interest Person or Special Interest Entity cited in a Sanctions List Special Interest Person Special Interest Person or Special Interest Entity cited in an Other Official List

Anti-Corruption subscribers have access to two additional content categories:

State-Owned or State-Controlled Corporation Represents members of the supervisory board, board of directors or management board of StateOwned Companies. Adverse Media* subscribers have access to two additional categories: Adverse Media Person Relative/Close Associate of an Adverse Media Person

*Adverse Media focuses on individuals who may have committed lower level crimes within the categories of Financial Crime, Organised Crime, Corruption and Trafficking. This data complements the Special Interest Person (SIP) category, which focuses on higher level crime.

Within the Risk Database tab there are three Search tabs: • Search • Search by Name Type • Search by ID Number Type

Copyright © 2013 Dow Jones & Company. All rights reserved.

1.

Search

1.1 Choose Content Set The search can be restricted to a particular content set or content sets. The options available will depend on the user’s subscription.

1.2. Free-Text Search Box

Type search criteria in the free-text box to search for persons or entities or both. Searches can be refined using the following options: a)

Use the radio buttons above the free-text box to limit searches to persons or entities

b)

Select from the available Search Types; Precise, Near and Broad. The Search Types displayed will depend on the settings determined by the Account Administrator. The settings options are: Precise + Near, Precise + Broad, or Precise + Near + Broad. For a more detailed overview of the Search Types see the ‘Enhanced Linguistic Search’ section.


c)

Expand the search to Profile Notes and/or Occupation Title fields. Use the tick boxes beneath the free-text box. The search will look for the name or term entered in the Profile Notes or Occupation Title field. o

Profile Notes – These provide an explanation as to why a person or entity has a , or label and are based on open source information. Links to related articles are also provided for profiles. The search looks for an exact match within the profile notes of the term entered. It does not look for a fuzzy match.

o

Occupation Titles – The search includes current and former positions. The search looks for an exact match of the individual terms entered within the occupation titles. It does not look for a fuzzy match.

1.3. Date of Birth Search

Users can search a Date of Birth or Year of Birth Range in conjunction with a name to narrow the results to records that match the name as well as the date of birth. On the Date of Birth tab users can search on the day/ month/year, month/year, or year of birth. If a profile does not have a date of birth the profile will be returned as a potential match. If “Strict Date Match” is not selected and day and month values are selected, the search results will include those profiles where the day and month values are the opposite way around. If “Strict Date Match” is selected, the search looks for exactly the date entered. There will be no match if the day and month values in the search and profiles are swapped. th

Sample Search: Profile of Adam Smith has DoB 5 Apr 1973

Name Searched Adam Smith Adam Smith Adam Smith Adam Smith

DoB search terms 05 Apr 1973 04 May 1973 05 Apr 1973 04 May 1973

Strict Date Match Not checked Not checked Checked Checked

Result Profile found Profile found Profile found Profile not found

On the Year of Birth Range tab users can select a year range for the search, e.g. search between 1970 and 1976.


1.4. Using Search Filters

Each person or entity record is indexed using a robust and granular taxonomy that allows users to search on very specific search criteria to minimise false positives. Using Search Filters users can refine their search to certain countries, PEP or Special Interest categories, Sanctions Lists or Other Official Lists. Click on ‘+’ next to any category and highlight the relevant criteria by clicking once. Double click on a term to exclude it from the search. The State Ownership Filter allows users to filter results based on current state ownership levels of StateOwned Corporations. Search Filters can be used in conjunction with a free-text search or on their own.

2.

Search by Name Type


2.1 Choose Content Set The search can be restricted to a particular content set or content sets. The options available will depend on the user’s subscription. 2.2. Name Search Boxes

Within the Search by Name Type tab select the Person or Entity tabs. Enter a person or entity name into the relevant fields for a more targeted search. On the Person tab, if a name is entered in the Surname field, the search will only look for that name in the surname field. It will not return results if that surname is in a first name field on a record. Select from the available Search Types; Precise, Near and Broad. The Search Types displayed will depend on the settings determined by the Account Administrator The settings options are: Precise + Near, Precise + Broad, or Precise + Near + Broad. For a more detailed overview of the Search Types see the ‘Enhanced Linguistic Search’ section. 2.3. Date of Birth Search This functionality is described in section 1.3 above. 2.4. Using Search Filters This functionality is described in section 1.4 above.

3.

Search by ID Number Type

Users can search the Risk Database content using the ID Number Types listed above. Included in the list is the Dow Jones Profile ID, the unique number Dow Jones allocates to each profile. By searching on the ID types or, once known, the Dow Jones Profile ID, users can save time, finding relevant records quickly.


Enhanced Linguistic Search Enhanced Linguistic Search is the Search on the Risk Database tab. It combines the strength of a standard fuzzy search with a phonetic and linguistic search. Search results are given a % match and listed in order of relevance to the search allowing users to take a targeted approach to match clearing. There are three Search Type settings: Precise, Near and Broad. The default setting is Precise + Near.

Precise

The Search Type Precise looks for exact and very close matches to the search criteria. Very close matches are those where the first name and surname are inverted or the first name searched is in the middle name field on a profile. For example: Search

Match

%

David Cameron

David Cameron

100%

David Cameron

David William Donald Cameron

100%

David Cameron

Bruce David Cameron

96%

Precise does not look for linguistic matches. Precise does not find a match if there are typos in the searched name or if characters are transposed between the name searched and the name on the profiles. For example searching Sani Abatcha would not find the record for Sani Abacha, searching David Caberon/David Camreon would not find the profile for David Cameron, David William Donald Cameron or Bruce David Cameron. Precise is useful for focusing on the closest match to a name.

Near

The Search Type Near goes beyond Precise to look for linguistic matches such as phonetic and transcription variations and long and short forms of names. It can match common numbers with words and symbols in entity names. It can also match typos in words of a certain length. For example: Variation

Search

Match

%

Phonetic

Elizabeth Whyte

Elisabeth Whyte

96%

Transcription

Boris Jelzin

Boris Eltsin

94%

Transcription

Abdülaziz Buteflika

Abdelaziz Bouteflika

90%

Transcription

Mijaíl Sergéyevich Gorbachov

Mikhail Sergeyevich Gorbachev

92%

Transcription

Lyu Youqing

Lu Youqing

94%

Transcription

Somsak Kietsuranon

Somsak Kiatsuranont

94%

Short/Long Form

Joe Allman

Joseph Allman

90%

Entity Abbreviation

Aberdeen Management Ltd.

Aberdeen Management Limited

98%

Common numbers/symbols

1st Transport Management OJSC

First Transport Management OJSC

99%

Typo*

David Caberon

David Cameron

77%

*Typos are only tolerated on names over five characters long if another name element is a 100% match. Otherwise typos are only tolerated on Near on name elements over seven characters long. On the Search tab, if one element of a person’s name is entered Near will look for that name in the Surname field. Please note: owing to the characteristics of different scripts, not all of the above variations apply to all scripts. Near is recommended to take advantage of the linguistic search capability. Near finds close and feasible matches.


Broad

The Search Type Broad looks for the same as in Near matches, plus less common linguistic variations, typos in shorter name elements and transposed characters. For example: Variation Typo*

Search Angelb Merkle

Match Angela Merkel

% 54%

Transposed characters

Myanmar Salt and Marine Chemcials Enterprise

Myanmar Salt and Marine Chemicals Enterprise

94%

Transposed characters

David Camreon

David Cameron

71%

Transcription

Julia Tymoszenko

Yulia Volodymyrivna Timoshenko

84%

*Typos are tolerated on words over five characters long using the Search Type Broad. On the Search tab, if one element of a person’s name is entered Broad will look for the name in the Surname or First Name or Middle Name field. Please note: owing to the characteristics of different scripts, not all of the above variations apply to all scripts. Broad takes advantage of the linguistic search capability and the broader typo and transposition tolerance. In certain circumstances searching on Broad will find significantly more matches.

Type of Variation To identify if the name searched matches a name within the Risk Database, the search uses three categories of characteristics. These are referred to as the Type of Variation in the hover over on the Search Results: • Structural (order of the elements making up the name) • Linguistic (for example phonetic, transcription matches) • Non-linguistic (for example typos and transposed characters)

The grid below outlines what variations the different Search Types tolerate and which Type of Variation (Linguistic, Structural or Non-Linguistic) they come under. x indicates the Search Type tolerates the variation

Variation between the name searched and name matched

Type of Variation

Precise

Near

Broad

Upper/lower case variations

--

x

x

x

Diacritical mark/accent variations

--

x

x

x

Structural

x

x

x

--

x

x

Short/long form variations

Linguistic

x

x

Transcription variations

Linguistic

x

x

Phonetic variations

Linguistic

x

x

Name order variations Searches using initials of full first name/middle name

Typos

Non-Linguistic

x

x

Standard entity abbreviations

Linguistic

x

x

Number/Symbol matching

Linguistic

x

x

Transpositions


Non-Linguistic

x

Owing to the characteristics of different scripts, not all of the above variations apply to all scripts, for example typos in Chinese, Japanese and Korean scripts are not tolerated owing to the relatively short nature of the names.

Please note: Typos & Transpositions – matches will not be found if the typo or transposed characters are at the beginning of any of the elements making up the name. Accents – searching with or without accents will not impact results. It might impact the score. Upper and lower case – the match score is not affected if the case is different between the name searched and the name on the Risk Database.

Match Score % The search results are given a percentage score based on how closely the name searched resembles the name matched. Two aspects determine the score: • the spelling (and form) of the individual elements making up the name • the structure of the full name The Search Results are ordered by the percentage score enabling users to see the more relevant results at the top.

A 100% match means the spelling and structure of the name are a match. Inverted First Name/Surname matches will be found on Precise with a score of 95%. A 100% match is given to inverted First Name/Surname Latin versions of Chinese, Japanese and Korean names. For example the searches Hwang Sik Kim and Kim Hwang Sik both score 100% against the profile with the Surname Kim and First Name Hwang Sik. Precise v Near - there are circumstances where results returned with a fairly high percentage match score are not returned under a Precise search but are returned in a Near search. This will be because the Near search includes the results for high-scoring close linguistic matches but linguistic matches are not permitted under the Precise search. Truncated Search A truncated search can be triggered by putting an asterisk after the required characters. There must be a minimum of three characters before the asterisk. Using truncation means that the search will not find any linguistic variations for the name that has been truncated. Back to section 1.2b

Back to section 2.2

Customer Service Go to http://customer.dowjones.com or click on Support in the top right of the Dow Jones Risk & Compliance screen. Once logged in, you will see Contact Us details in the top right of the screen. For email queries please contact customer service at [email protected].


CORPORATE SEARCH This tab is only available to Dow Jones Corporate Connections subscribers.

Within the Corporate Search tab there are two Search tabs: • Company • Executive

1

1.

2

Search for a Company

Clicking on the Corporate Search tab will by default display the Company search page. Users may input the name of company in the text box and run the search. Truncation is not allowed and users must search using full company names. E.g. ‘Dow Jone’ will not return results for ‘Dow Jones’. Company names are normalised and common suffixes are removed, e.g., Corp, Inc., PLC, LTD, etc. Adding these to the search criteria will not have a significant effect on the results.

2.

Search for an Executive

Click on the ‘Executive’ button to get to the ‘Executive Search’ page. Truncation is not allowed and users must search using full names only i.e. ‘Obam’ will not return ‘Obama’. First name only searches are not permitted. Customer Service Go to http://customer.dowjones.com or click on Support in the top right of the Dow Jones Risk & Compliance screen. Once logged in, you will see Contact Us details in the top right of the screen. For email queries please contact customer service at [email protected].


NEWS SEARCH This tab is only available to customers who have a subscription that includes access to the News Search. In the ‘News Search’ tab users can seamlessly extend their due diligence to the award-winning Factiva.com news collection of over 35,000 authoritative sources from 200 countries in 26 languages, with an archive of over 30 years. Users are able to conduct quick yet effective negative news searches and delve deeper into the background and connections of a person or entity by using the hints and tips below. There are three ways to perform a ‘News Search’ on a person or entity: 1. Search News Directly from a Person or Entity Record

To extend due diligence on a person or entity to the Factiva.com archive users simply click on the ‘News Search’ tab directly from the record you are viewing in either the Risk Database or the Corporate Search. The relevant search boxes in the ‘News Search’ tab will automatically be populated with information from the person or entity record (Name, Alias/AKA, Original Script Names, Region).*


* Currently not all languages are supported in the ‘News Search’ tab. Original Script Names in unsupported languages will not be carried over into the corresponding search box. More information on unsupported languages can be found in FAQ#8933.

2. Search for a Person or Entity not listed in the Risk Database

If a search against the ‘Risk Database’ brings back no results users will be given the option to seamlessly search the news for that person or entity. Clicking on the link, as shown above, will take users to the ‘News Search’ tab which will be pre-populated with their ‘Risk Database’ search.

3. Search Directly from the News Search Tab Users can also populate their own searches within the ‘News Search’ tab by simply manually entering the relevant information into the search boxes.


Refining a Search

1

2

1. For more focused results users can limit their search to certain countries or languages by clicking on ‘+’ next to either ‘Region’ or ‘Language’. Select the criteria by clicking once. Double clicking on a country or language will remove it from the search. As users make selections these will appear in pink, as shown above. To de-select users simply click on the country or language shown in pink and it will be removed from the search. 2. Users can limit the search to certain dates by clicking on the drop down box. Users can choose how far back in time to search, or enter a specific date range for more precise results.

News Filters

‘News Filters’ are pre-defined search criteria set up by the account administrator. Using news filters ensures that news searches are conducted consistently across the organization for more effective compliance. To apply a ‘News Filter’ to the search, users click the radio button to the left of the filter. The search will retrieve only results that meet the pre-defined criteria.


Viewing Search Results

2 1

Search results will be displayed as a list of headlines with source and lead sentence with 20 results displayed per page. Users can select articles by clicking on the check boxes to the left of each headline (1), and then use the icons at the top of the screen to view, save, print or email the articles (2). - View articles - Email articles - Format articles for printing (headlines only or full articles) - Format articles for saving (headlines only or full articles) - Convert articles to Rich Text Format (headlines only or full articles)

Customer Service Go to http://customer.dowjones.com or click on Support in the top right of the Dow Jones Risk & Compliance screen. Once logged in, you will see Contact Us details in the top right of the screen. For email queries please contact customer service at [email protected].


Anti-Corruption, Adverse Media Watchlist RISK DATABASE

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