USER GUIDE - Dow Jones

USER GUIDE

Revision Date: 19th August 2013

Dow Jones Risk & Compliance User Interface User Guide

Document History

Revision History

Revision Number

2.2 2.1 2.0 1.9 1.8 1.7 1.6 1.5

1.4

1.3

1.2 1.1 1.0

Revision Date

Summary of Changes

19-Aug-2013 30-Jan-2013 25-Nov-2012 31-May-2012 26-Sep-2011 18-July-2011 2-July-2010 10-Mar-2010

5-Feb-2010

19-Jan-2010

04-Jan-2010 15-Sep-2009

Feb-2009

Update for Adverse Media Entity Update for Adverse Media Update for Adverse Media

Updated copyright information Updated to reflect branding guidelines

User Interface Re-Design Supported Language Update Separated Anti-Corruption Section, Added Exclusion Rule

and Associated Entities Combined Watchlist Only and Joint user guides and

added Corporate Connections related content Updated retrieving a profile details, added anti-corruption

section fields Review and addition of Corporate Connections v1

Launch of New UI User Guide Updated User Guide

2 ? 2013 Dow Jones & Company, Inc. All rights reserved.

Dow Jones Risk & Compliance User Interface User Guide

Table of Contents

COPYRIGHT AND LEGAL INFORMATION................................................................................... 5 ABOUT THIS USER GUIDE ........................................................................................................................... 6 SOFTWARE REQUIREMENTS........................................................................................................................ 6 LOGIN......................................................................................................................................................... 6 INTERFACE LANGUAGE .............................................................................................................................. 8 SEARCH HELP............................................................................................................................................. 8 SUPPORT..................................................................................................................................................... 8 LOGOUT...................................................................................................................................................... 8

RISK DATABASE SEARCH OVERVIEW ...................................................................................... 8 MORE INFO ICON ........................................................................................................................................ 9 CONTENT SET............................................................................................................................................. 9 BUILDING A SEARCH .................................................................................................................................. 9 SEARCH TAB .............................................................................................................................................. 9 SEARCH BY NAME TYPE TAB ....................................................................................................................11 NAME SEARCH NOTES...............................................................................................................................12 SEARCH BY ID NUMBER TYPE...................................................................................................................12 SEARCH FILTERS .......................................................................................................................................12 REGION......................................................................................................................................................13 PEP CATEGORY.........................................................................................................................................14 SPECIAL INTEREST CATEGORY ..................................................................................................................15 SANCTIONS LISTS ......................................................................................................................................16 OTHER OFFICIAL LISTS .............................................................................................................................17 FILTER SEARCH NOTES .............................................................................................................................18 SEARCH RESULTS ......................................................................................................................................19 SORTING SEARCH RESULTS .......................................................................................................................21 MODIFY SEARCH .......................................................................................................................................22 NEW SEARCH ............................................................................................................................................22 SEARCH REPORT........................................................................................................................................23 RETRIEVING A PROFILE DETAILS...............................................................................................................24 STATE OWNED COMPANIES .......................................................................................................................26 ADVERSE MEDIA .......................................................................................................................................27 SEARCH SUMMARY TAB............................................................................................................................27 VIEWING ORIGINAL SCRIPT NAMES ..........................................................................................................27 ASSOCIATED ENTITIES...............................................................................................................................28 EXCLUSION RULE ......................................................................................................................................29 RETURN .....................................................................................................................................................29 PRINTING A PROFILE..................................................................................................................................30 VIEW A DOW JONES RISK & COMPLIANCE PROFILE IN PDF FORMAT .......................................................30 FEEDBACK .................................................................................................................................................30

CORPORATE SEARCH ............................................................................................................... 31 HOW TO RUN A COMPANY SEARCH ...........................................................................................................31 RUN SEARCH .............................................................................................................................................31 VIEWING COMPANY SEARCH RESULTS......................................................................................................32 MODIFY COMPANY SEARCH ......................................................................................................................32 NEW COMPANY SEARCH ...........................................................................................................................33 RETRIEVING COMPANY RECORD DETAILS ................................................................................................33 HOW TO RUN A EXECUTIVE SEARCH .........................................................................................................34 RUN SEARCH .............................................................................................................................................34 VIEWING EXECUTIVE SEARCH RESULTS....................................................................................................34 MODIFY EXECUTIVE SEARCH ....................................................................................................................35 NEW EXECUTIVE SEARCH .........................................................................................................................35 RETRIEVING EXECUTIVE RECORD DETAILS...............................................................................................35

3 ? 2013 Dow Jones & Company, Inc. All rights reserved.

Dow Jones Risk & Compliance User Interface User Guide

NEWS SEARCH............................................................................................................................ 36 HOW TO BUILD A DOW JONES RISK & COMPLIANCE NEWS SEARCH .........................................................37 RUN SEARCH .............................................................................................................................................38 BACK .........................................................................................................................................................38 CLEAR SEARCH .........................................................................................................................................38 VIEWING DOW JONES RISK & COMPLIANCE NEWS SEARCH RESULTS ......................................................40 MODIFY NEWS SEARCH.............................................................................................................................40 NEW SEARCH ............................................................................................................................................41 DISPLAY NEWS SEARCH ARTICLES IN RICH TEXT FORMAT (RTF) ............................................................41 HOW TO SEND NEWS SEARCH STORIES VIA EMAIL.....................................................................................42 CANCEL .....................................................................................................................................................42 SEND .........................................................................................................................................................42

ADMINISTRATION OVERVIEW ................................................................................................... 43 ACCOUNT SETTINGS ............................................................................ERROR! BOOKMARK NOT DEFINED. CONTENT SET......................................................................................ERROR! BOOKMARK NOT DEFINED. PEP DEFINITION FILTER ......................................................................ERROR! BOOKMARK NOT DEFINED. HOW TO EXCLUDE REGIONS FROM SEARCH RESULTS...........................ERROR! BOOKMARK NOT DEFINED. HOW TO EXCLUDE PEP OCCUPATION CATEGORIES FROM SEARCH RESULTS .......ERROR! BOOKMARK NOT DEFINED. BACK...................................................................................................ERROR! BOOKMARK NOT DEFINED. RISK SCORES .......................................................................................ERROR! BOOKMARK NOT DEFINED. SETTING RISK SCORES FOR REGIONS...................................................ERROR! BOOKMARK NOT DEFINED. SETTING RISK SCORES FOR PEP OCCUPATION CATEGORIES ...............ERROR! BOOKMARK NOT DEFINED. DELETING RISK SCORE........................................................................ERROR! BOOKMARK NOT DEFINED. DISPLAY OF RISK SCORES ...................................................................ERROR! BOOKMARK NOT DEFINED. EXPORT DATA .....................................................................................ERROR! BOOKMARK NOT DEFINED. ADD CUSTOM MESSAGES ....................................................................ERROR! BOOKMARK NOT DEFINED. BACK...................................................................................................ERROR! BOOKMARK NOT DEFINED. NEWS FILTER SETTINGS ......................................................................ERROR! BOOKMARK NOT DEFINED. HOW TO BUILD A NEWS FILTER? .........................................................ERROR! BOOKMARK NOT DEFINED. SELECTING A SUBJECT.........................................................................ERROR! BOOKMARK NOT DEFINED. SELECTING A LANGUAGE: ...................................................................ERROR! BOOKMARK NOT DEFINED. MORE OPTIONS ARE AVAILABLE TO FURTHER REFINE NEWS FILTERS: ERROR! BOOKMARK NOT DEFINED. SAVE FILTER .......................................................................................ERROR! BOOKMARK NOT DEFINED. CLEAR FILTER .....................................................................................ERROR! BOOKMARK NOT DEFINED. HOW TO VIEW SAVED NEWS FILTERS? ................................................ERROR! BOOKMARK NOT DEFINED. BACK...................................................................................................ERROR! BOOKMARK NOT DEFINED.

4 ? 2013 Dow Jones & Company, Inc. All rights reserved.

Dow Jones Risk & Compliance User Interface User Guide

Copyright and Legal Information

Information in this document, including URL and other Internet web site references, is furnished for informational purposes only, is subject to change without notice, and should not be construed as creating or implying any obligation or commitment by Dow Jones Risk & Compliance. Unless otherwise noted, any companies, organisations, products, people and/or events mentioned in examples given in this document, are fictitious and no association with any real company, organization, product, person or event should be inferred. Complying with all applicable copyright laws is the responsibility of the user. Without limiting the rights under copyright, no part of this document may be reproduced, stored in or introduced into a retrieval system, or transmitted in any form or by any means (electronically, mechanical, photocopying, recording, or otherwise), or for any purpose, without the express written permission of Dow Jones Risk & Compliance. Dow Jones Risk & Compliance may have patents, patent applications, trademarks, copyrights, or other intellectual property rights covering subject matter in this document. Except as expressly provided in any written licence agreement from Dow Jones Risk & Compliance, the furnishing of this document does not give you any licence to these patents, trademarks, copyrights, or other intellectual property. The names of actual companies and products mentioned within this document may be the trademarks of their respective owners.

5 ? 2013 Dow Jones & Company, Inc. All rights reserved.

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