Anti-Corruption, Adverse Media Watchlist RISK DATABASE - Dow …

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.

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

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.

Sample Search: Profile of Adam Smith has DoB 5th 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.

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

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

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

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.

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

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