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Technical White Paper

LexisNexis® WatchlistsDescr ipt ion and Update Frequency

Contact LexisNexis Sales:

877-922-5757

Confidential and Proprietary

NXR01385—25 October 2012

CONTENTS

Watchlists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Watchlist Delivery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Holiday Schedule Impacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Australian Department of Foreign Affairs and Trade . . . . . . . . . . . . . . . . . . . . . . . . . 5

Bureau of Industry and Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Chiefs of State and Foreign Cabinet Members. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Commodity Futures Trading Commission Sanctions . . . . . . . . . . . . . . . . . . . . . . . . . 6

Defense Trade Controls Debarred Parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

European Union Consolidated List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Excluded Parties List System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Federal Bureau of Investigations Lists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

FBI Hijack Suspects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

FBI Most Wanted . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

FBI Most Wanted Terrorists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

FBI Seeking Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

FBI Top Ten Most Wanted . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Financial Action Task Force . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Foreign Agents Registrations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Her Majesty’s Treasury’s Investment Ban List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

HM Treasury Sanctions Watchlist. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Hong Kong Monetary Authority. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Housing and Urban Development Limited Denials of Participation . . . . . . . . . . . . . 12

Interpol Most Wanted . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Ireland Financial Regulator Unauthorized Firms . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Japan Financial Services Agency. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Contents | 2Confidential and Proprietary


Japan Ministry of Economy Trade and Industry—Weapons of Mass DestructionProliferators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Japan Ministry of Finance Sanctions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Monetary Authority of Singapore . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Nonproliferation Sanctions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Office of Foreign Assets Control Non-SDN Entities . . . . . . . . . . . . . . . . . . . . . . . . . 15

Office of Foreign Assets Control Sanctions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Office of Foreign Assets Control Specially Designated Nationals . . . . . . . . . . . . . . 16

Office of the Inspector General Exclusions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

OSFI Consolidated List—Canada. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

OSFI Country . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Offshore Financial Centers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Peoples Bank of China (PBC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Primary Money Laundering Concern (PMLC) Lists . . . . . . . . . . . . . . . . . . . . . . . . . 19

Primary Money Laundering Concern . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Primary Money Laundering Concern—Jurisdictions. . . . . . . . . . . . . . . . . . . . . . 19

Reserve Bank of Australia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

Terrorist Exclusion List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

UK HM Treasury List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

United Kingdom Financial Services Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

United Nations Consolidated List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Unauthorized Banks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

World Bank Ineligible Firms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

Contents | 3Confidential and Proprietary


International Watchlists

Some watchlists are published in a combination of the source agency’s native language and English. Please note that the Bridger Insight search algorithm is optimized for English characters.

—Indicates watchlist may contain English and non-English characters.

Watchlists

Bridger Insight XG provides access to watchlists which you can scan your customer records against. This document provides a description of each watchlist and how frequently they are updated when changes occur to the source content.

Additional data sets are available to help you identify politically exposed persons (PEP). There are additional costs for these data sets. Contact your sales representative for more information.

Watchlist Delivery

LexisNexis® Risk Solutions updates each watchlist according to its assigned schedule. Watchlists are assigned an update schedule based on factors such as the regulatory need of the general user, the source change frequency, and implications of noncompliance.

This white paper contains the delivery schedule LexisNexis endeavors to meet for watchlist changes detected between 8 a.m. and 5 p.m. (Mountain Time), Monday through Friday. Watchlist changes detected outside of this period are delayed until the next scheduled update. Typically, watchlist changes and new watchlist data are delivered according to the schedule here.

• Next business day: Updated by 11:59 p.m. (Mountain Time) the business day following the day we are aware of an update to the list on the source agency’s website.

• Weekly: Updated one time each week, typically assigned a specific day of the week for consistency.

• Monthly: Updated the 4th Wednesday of every month.

s The update frequencies are estimates and variations may occur based on a variety of circumstances. These times are not guaranteed.

LexisNexis Watchlists | 4Confidential and Proprietary


Holiday Schedule

• New Year’s Day

• Martin Luther King Jr. Day

• Presidents’ Day

• Memorial Day

• Independence Day (Observed)

• Labor Day

• Thanksgiving Day

• Day after Thanksgiving

• Christmas (Observed)

• New Year’s Day (Observed)

Update Schedule Icons

Next business day

Weekly

Monthly

Holiday Schedule Impacts

Watchlists will not be updated or delivered on United States (U.S.) holidays observed by LexisNexis. If a watchlist is scheduled to be delivered on a holiday, it will be delivered the next business day. If a watchlist change occurs on a designated holiday, the update schedule will begin the next business day.

Australian Department of Foreign Affairs and Trade

Filename: Australia Dept of Foreign Affairs and Trade.BDF

Australia enacted a charter in response to a United Nations (UN) resolution following the September 11, 2001, terrorist attacks on the United States. Australia's charter includes entities listed in the UN Consolidated List, plus unique entities designated by Australia's Minister for Foreign Affairs. The consolidated list of entities is maintained by Australia's Department of Foreign Affairs and Trade (DFAT), which is active in Asia-Pacific and other world-wide efforts to counter terrorism. Australia passed legislation making it a criminal offense to give, use, or deal with funds, other financial assets, and economic resources owned or controlled by entities on this list.1

1. “Australia’s Implementation of United Nations Security Council Financial Sanctions,” Department of Foreign Affairs and Trade, accessed 30 September 2010, http://www.dfat.gov.au/icat/UNSC_financial_sanctions.html



http://www.dfat.gov.au/icat/UNSC_financial_sanctions.html



Bureau of Industry and Security

Filename: Bureau of Industry and Security.BDF

The LexisNexis® Bureau of Industry and Security watchlist is a compilation of three unique lists published by the U.S. Department of Commerce, Bureau of Industry and Security (BIS):

• Denied Persons List—includes individuals and entities denied export privileges.

• Unverified List—includes parties where BIS has been unable to verify the end-user for prior transactions.

• Entity List—contains parties whose presence in a transaction can trigger a license requirement under the Export Administration Regulations.

You are encouraged to contact one of the BIS Export Enforcement offices if you are asked to participate in a transaction that you believe may be a violation of the Export Administration Regulations.

Chiefs of State and Foreign Cabinet Members

Filename: Chiefs of State and Foreign Cabinet Members.BDF

As part of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act's (Patriot Act) required special due diligence, organizations must conduct enhanced scrutiny of accounts maintained by politically exposed persons with demonstration of this enhanced scrutiny readily available. The LexisNexis® Chiefs of State and Foreign Cabinet Members list is compiled from the Central Intelligence Agency’s (CIA) online directory of Chiefs of State and Cabinet Members of Foreign Governments. Our list contains individuals listed in the CIA’s online directory over the past several years. When updating the list, LexisNexis Risk Solutions does not remove names from the list when they are removed from the CIA’s online directory, but, instead, labels them as formerly holding their respective government position. The watchlist contains current and former government officials.

Commodity Futures Trading Commission Sanctions

Filename: Commodity Futures Trading Commission Sanctions.BDF



Congress created the Commodity Futures Trading Commission (CFTC) in 1974 as an independent agency with the mandate to regulate commodity futures and option markets in the United States. The agency's mandate has been renewed and expanded several times since then, most recently by the Commodity Futures Modernization Act of 2000.

The CFTC's mission is to protect market users and the public from fraud, manipulation, and abusive practices related to the sale of commodity and financial futures and options, and to foster open, competitive, and financially sound futures and option markets.1

The LexisNexis® CFTC list represents the CFTC’s Reparations Sanctions in Effect list2 and Administrative Sanctions in Effect list. The CFTC’s Reparations Sanctions in Effect list contains disciplinary records for entities that have not paid awards levied against them in proceedings under the CFTC reparations program and those listed cannot trade on any contract market.3 The CFTC’s Administrative Sanctions in Effect list contains registration and trading sanctions currently in effect as a result of administrative enforcement or statutory disqualification proceedings.4

Defense Trade Controls Debarred Parties

Filename: DTC Debarred Parties.BDF

The U.S. Department of State maintains lists of persons who are not allowed to participate, either directly or indirectly, in any transaction that requires a State Department license or State Department approval. The LexisNexis® DTC (Defense Trade Controls) Debarred Parties list contains the names of individuals and companies who are subject to export-related sanctions by the U.S. government, particularly regarding defense articles or services. The entities are prohibited from participating directly or indirectly in the export of defense articles, technical data, and defense services. This list is a consolidation of the U.S. Department of State lists: Statutorily Debarred Parties and Administratively Debarred Parties.

1. “Mission & Responsibilities,” U.S. Commodity Futures Trading Commission, accessed 30 September 2010, http://cftc.gov/About/MissionResponsibilities/index.htm

2. Only those Reparations Sanctions in Effect which CFTC makes electronically searchable (reparations sanctions in effect since 1984) are included in Bridger Insight XG.

3. “Disciplinary History,” U.S. Commodity Futures Trading Commission, accessed 4 November 2010, http://www.cftc.gov/ConsumerProtection/DisciplinaryHistory/index.htm

4. Ibid.



http://cftc.gov/About/MissionResponsibilities/index.htm

http://www.cftc.gov/ConsumerProtection/DisciplinaryHistory/index.htm

http://www.cftc.gov/ConsumerProtection/DisciplinaryHistory/index.htm

European Union Consolidated List

Filename: EU Consolidated List.BDF

A consolidated list of entities subject to EU financial sanctions was developed and is maintained for the European Commission by the European Banking Federation, the European Savings Banks Groups, the European Association of Co-operative Banks, and the European Association of Public Banks. All persons and entities doing business in the EU, including non-EU citizens and businesses established in the EU but doing business outside the EU, are required to freeze all funds and economic resources of entities on the list, and are prohibited from making funds or economic resources available.1

Excluded Parties List System

Filename: EPLS.BDF

The U.S. federal government publishes a list of individuals and firms excluded by various federal government agencies. It includes those who are not allowed to receive federal contracts or federally approved subcontracts as well as those who are excluded from certain types of federal financial and nonfinancial assistance and benefits. The Excluded Parties List System (EPLS) is published by the U.S. General Services Administration (GSA) and is intended to be a single comprehensive list regarding such exclusions.2

s Various U.S. government agencies include their sanction and/or exclusion information in the EPLS. For example, OFAC (Office of Foreign Assets Control) includes its list of Specially Designated Nationals and the U.S. Bureau of Industry and Security (BIS) includes its Denied Persons List. In many such cases, the federal agencies maintain an internal agency system similar to EPLS, and LexisNexis® Risk Solutions may publish those watchlists independently from the EPLS watchlist. For example, if you scan against EPLS and OFAC watchlists, you may get duplicate alerts because EPLS incorporates OFAC designees.

1. “European Commission—External Relations,” European Commission, accessed 30 September 2010, http://ec.europa.eu/external_relations/cfsp/sanctions/docs/index_en.pdf

2. “Frequently Asked Questions (FAQs),” Excluded Parties List, accessed 30 September 2010, https://www.epls.gov/epls/jsp/FAQ.jsp#2



http://ec.europa.eu/external_relations/cfsp/sanctions/docs/index_en.pdf

https://www.epls.gov/epls/jsp/FAQ.jsp#2

Federal Bureau of Investigations Lists

Bridger Insight XG provides multiple U.S. Federal Bureau of Investigations (FBI) standard watchlists:

FBI Hijack Suspects

Filename: FBI Hijack Suspects.BDF

The Hijack Suspects list contains all information currently available for each suspect of the September 11, 2001, terrorists attack.

FBI Most Wanted

Filename: FBI Most Wanted.BDF

The LexisNexis® FBI Most Wanted watchlist contains the FBI's Featured Fugitives and FBI's Crime Alerts. The featured fugitives are grouped according to crime categories, Crimes Against Children, Criminal Enterprise Investigations, Cyber Crimes, Domestic Terrorism, Violent Crimes, and White Collar Crimes. The watchlist includes detailed descriptions of the fugitives.

FBI Most Wanted Terrorists

Filename: FBI Most Wanted Terrorists.BDF

The Most Wanted Terrorists list contains information on alleged terrorists who have been indicted by U.S. federal grand juries.

FBI Seeking Information

Filename: FBI Seeking Information.BDF



The Seeking Information List contains photographs and other descriptive information on persons who may be involved or may be able to help locate those believed to be involved in terrorist activities.

FBI Top Ten Most Wanted

Filename: FBI Top Ten Most Wanted.BDF

The Top Ten Most Wanted list contains information on the top 10 fugitives wanted by the FBI.

Financial Action Task Force

Filename: FATF Financial Action Task Force.CDF

The FATF Financial Action Task Force watchlist is used by firms to help identify locations that may pose a higher risk of money laundering or terrorist financing. Financial Action Task Force (FATF) is the global standard setting body for anti-money laundering and combating the financing of terrorism (AML/CFT). To protect the international financial system from money laundering and terrorist financing risks, and to encourage greater compliance with AML/CFT standards, the FATF identified jurisdictions that have strategic deficiencies. Along with the FATF-style regional bodies, FATF works with jurisdictions to address those deficiencies that pose a risk to the international financial system.

Most regulators agree that an institution should understand and evaluate the specific risks associated with doing business in, opening accounts for customers from, or facilitating transactions involving these locations.

Foreign Agents Registrations

Filename: Foreign Agents Registrations.BDF

The Foreign Agents Registration Act (FARA) is a disclosure statute requiring that agents representing the interests of foreign powers be properly identified to the U.S. public.1 Disclosure of the required information facilitates evaluation by the U.S. government and the American people of the statements and activities of such persons in light of their function as foreign agents. The FARA Registration Unit of the Counterespionage



Section (CES) in the National Security Division (NSD) is responsible for the administration and enforcement of the act.1

The LexisNexis® Foreign Agents Registrations watchlist contains currently registered active registrants and foreign principals.

Her Majesty’s Treasury’s Investment Ban List

Filename: HM Treasury Investment Ban List.BDF

Published by HM Treasury in the UK, the Investment Ban List contains the names of investment ban targets designated by the EU under legislation relating to current financial sanctions regimes. The individuals and entities on this source list were designated in relation to EU measures against Burma/Myanmar.2 As the designees are named under programs that lack legal basis for asset freezing in the UK, these designees are not duplicated in the Consolidated List of Financial Sanctions Targets, also published by HM Treasury in the UK.

HM Treasury Sanctions Watchlist

Filename: HM Treasury Sanctions.CDF

Our HM Treasury Sanctions watchlist contains jurisdictions subject to financial sanctions or economic measures administered by Her Majesty's Treasury in the United Kingdom. In addition to restrictions targeting specific individuals and entities, sanctions programs sometimes control or restrict certain activities to and from other persons, entities, or bodies within a jurisdiction. Those restrictive measures comprise, in particular, additional restrictions on trade in dual-use goods and technology, as well as equipment which might be used for internal repression, restrictions on trade in key equipment and technology for, and restrictions on investment in the Iranian oil and gas industry, restrictions on Iranian investment in the

1. “FARA Index and ACT (22 U.S.C. § 611 et seq.),” United States Department of Justice, accessed 30 September 2010, http://www.usdoj.gov/criminal/fara/links/indx-act.html

1. “Foreign Agents Registration Act,” United States Department of Justice, accessed 30 September 2010, http://www.jus-tice.gov/criminal/fara/

2. “Burma/Myanmar,” HM Treasury, accessed 30 September 2010, http://www.hm-treasury.gov.uk/fin_sanctions_burma.htm



http://www.hm-treasury.gov.uk/fin_sanctions_burma.htm

http://www.usdoj.gov/criminal/fara/links/indx-act.html

http://www.justice.gov/criminal/fara/

uranium mining and nuclear industry, restrictions on transfers of funds to and from Iran, restrictions concerning the Iranian banking sector, restrictions on Iran's access to the insurance and bonds markets of the Union and restrictions on providing certain services to Iranian ships and cargo aircraft.1

Accordingly, files containing information relative to such jurisdictions are flagged to prompt enhanced due diligence before proceeding.

Hong Kong Monetary Authority

Filename: Hong Kong Monetary Authority.BDF

The Hong Kong Monetary Authority (HKMA) is the government authority in Hong Kong responsible for maintaining monetary and banking stability. One of its main functions is to promote the safety of Hong Kong's banking system through the regulation of banking business and the supervision of authorized institutions. To give effect to UN resolutions that prohibit the making of funds available to designated terrorists, a list of designated terrorists is published in the Gazette.

Housing and Urban Development Limited Denials of Participation

Filename: HUD LDP.BDF

The U.S. Department of Housing and Urban Development (HUD) publishes information about parties (individuals and companies) who fail to comply with HUD program standards. Actions taken against these parties are called Limited Denials of Participation (LDP). Parties who have been issued an LDP should be prevented from new participation in a HUD program.2 In most cases, the causes of an LDP action could be remedied by the party. Generally speaking, LDPs are effective nationwide in the United States unless otherwise noted by HUD, and an LDP typically expires in one year.

1. “Council Regulation (EU) No 961/2010,” HM Treasury, accessed 4 November 2010, http://www.hm-treasury.gov.uk/d/council_regulation_eu_961_251010.pdf

2. “LDP memo,” Homes & Communities, accessed 30 September 2010, http://www.hud.gov/offices/enforce/theecmemo2.cfm



http://www.hud.gov/offices/enforce/theecmemo2.cfm

http://www.hm-treasury.gov.uk/d/council_regulation_eu_961_251010.pdf

http://www.hm-treasury.gov.uk/d/council_regulation_eu_961_251010.pdf

Interpol Most Wanted

Filename: Interpol Most Wanted.BDF

Interpol is the world’s largest international police organization, with almost 200 member countries. It facilitates cross-border police cooperation, and assists organizations, authorities, and services whose mission is to prevent or combat international crime. Interpol collects and analyzes data from its member countries.

The persons on Interpol's Most Wanted list are provided in Red Notices issued by Interpol to seek the provisional arrest of a wanted person with a view to extradition based on an arrest warrant or court decision. These wanted persons are sought by various national jurisdictions or the International Criminal Tribunals. Interpol's role is to assist the national police forces in identifying or locating these persons. Publicity gained from exposure on the Most Wanted List allows the warrant to be seen by people all over the world.

Ireland Financial Regulator Unauthorized Firms

Filename: Ireland Financial Regulator Unauthorized Firms.BDF

The Financial Regulator in Ireland publishes warning notices naming entities operating as investment firms in Ireland without appropriate authorization from the Central Bank of Ireland.1 These warnings are used to make the LexisNexis® Ireland Financial Regulator Unauthorized Firms watchlist.

Japan Financial Services Agency

Filename: Japan FSA.BDF

The Japan Financial Services Agency (FSA) is responsible for ensuring the stability of the financial system, protecting the interest of the users of financial services, and ensuring fairness and transparency in financial markets. The FSA publishes a list of entities it suspects are cold callers which are neither registered nor

1. “Introduction,” Central Bank of Ireland, accessed 11 November 2010, http://www.financialregulator.ie/unauthorised-firms/Pages/default.aspx



http://www.financialregulator.ie/unauthorised-firms/Pages/default.aspx

authorized by the FSA as legitimate entities to conduct financial/securities business. FSA publishes this list in Japanese and English. LexisNexis uses both languages in this list to generate the LexisNexis® Japan FSA list.

Japan Ministry of Economy Trade and Industry—Weapons of Mass Destruction Proliferators

Filename: Japan METI-WMD Proliferators.BDF

The Japan Ministry of Economy, Trade, and Industry (METI) Security Export Control Policy Division is responsible for generating the End User List. METI issues its End User List providing exporters with information on foreign companies for which concerns over the development of weapons of mass destruction (WMD) are involved.1 METI publishes this list in Japanese and English. LexisNexis uses both languages in the End User List to generate the LexisNexis® Japan METI—WMD watchlist.

Japan Ministry of Finance Sanctions

Filename: Japan MOF Sanctions.BDF

The Japan Ministry of Finance (MOF) International Bureau generates the sanction list comprised of UN Security Council and unique Japanese sanctions programs. MOF publishes this list in Japanese and English. LexisNexis uses both languages in the Japan Ministry of Finance Sanctions watchlist.

The MOF includes UN Security Council sanctions programs that cover entities that have asset freeze requirements, travel, and other restrictions. The other sanctions included by MOF cover:

• Former Yugoslavian President Slobodan Milosevic and associates

• Terrorists designated by the Government of Japan

1. “Review of End User List,” Ministry of Economy, Trade, and Industry, accessed 11 November 2010, http://www.meti.go.jp/english/press/data/20100903_01.html



http://www.meti.go.jp/english/press/data/20100903_01.html

http://www.meti.go.jp/english/press/data/20100903_01.html

Monetary Authority of Singapore

Filename: Monetary Authority of Singapore.BDF

The Monetary Authority of Singapore (MAS) is the government agency responsible for the regulation of all monetary policy, banking functions, and financial services in Singapore. The MAS requires banks and financial institutions incorporated in Singapore, or incorporated outside Singapore but located in Singapore, to institute rigorous measures to guard against money-laundering and terrorist financing. The MAS list of designated entities and individuals is known as the Schedule. The MAS Act regulates dealings in property and assets for entities and individuals on the Schedule. The current Schedule indicates UN Security Council sanctions programs.1

Nonproliferation Sanctions

Filename: Nonproliferation Sanctions.BDF

The Nonproliferation Sanctions watchlist contains entities designated by the Department of State's Bureau of International Security and Nonproliferation (ISN). The United States imposes sanctions under various legal authorities against foreign individuals, private entities, and governments that engage in proliferation activities. The ISN is responsible for managing a broad range of nonproliferation and arms control functions, including nonproliferation sanctions lists. We compile these into a single LexisNexis® Nonproliferation Sanctions watchlist.

Office of Foreign Assets Control Non-SDN Entities

Filename: OFAC Non-SDN Entities.BDF

The U.S. OFAC created a list of persons who are elected to the Palestinian Authority on the party slate of terrorist organizations, including Hamas. These persons do not appear on the Specially Designated Nationals

1. “Subsidiary Legislation Administered by MAS,” Monetary Authority of Singapore, accessed 30 September 2010, http://www.mas.gov.sg/legislation_guidelines/mas_act/sub_legislation/Subsidiary_Legislation_Administered_by_MAS.html



http://www.mas.gov.sg/legislation_guidelines/mas_act/sub_legislation/Subsidiary_Legislation_Administered_by_MAS.html

(SDN) list. To uniquely identify these names, OFAC created the program code, NS-PLC, which stands for Non-SDN Palestinian Legislative Council.

Office of Foreign Assets Control Sanctions

Filename: OFAC Sanctions.CDF

The OFAC Sanctions Programs List contains several countries with which financial transactions, imports and/or exports, and travel are strictly controlled. Entities included in OFAC's Sanctions Programs are believed to be a threat to the national security or foreign policy of the United States.

Office of Foreign Assets Control Specially Designated Nationals

Filename: OFAC SDN.BDF

The LexisNexis OFAC Specially Designated Nationals and Blocked Persons (SDN) watchlist contains entities that are subject to economic sanctions programs administered by the US Department of Treasury, Office of Foreign Assets Control (OFAC). This watchlist includes individuals and organizations associated with such activities as narcotics trafficking, terrorism, democratic opposition and non-proliferation. LexisNexis® Risk Solutions obtains information for this watchlist from OFAC's SDN list, which includes thousands of individuals, companies, organizations, shipping vessels, and banks. The LexisNexis SDN watchlist also includes unique vessel owner records where OFAC has indicated a particular vessel has an owner.

Office of the Inspector General Exclusions

Filename: OIG Exclusions.BDF

U.S. legislation, primarily the Social Security Act, prevents certain individuals and businesses from participating in federally-funded health care programs, including Medicare and Medicaid. Reasons for being



excluded from such federally funded programs (both direct and indirect funding) include convictions for program-related fraud and patient abuse, licensing board actions and default on Health Education Assistance Loans. The Office of the Inspector General (OIG) maintains a list of all currently excluded parties called the List of Excluded Individuals/Entities (LEIE).

OSFI Consolidated List—Canada

Filename: OSFI Consolidated List.BDF

The LexisNexis® OSFI Consolidated List—Canada contains entities subject to financial sanctions administered by the Office of the Superintendent of Financial Institutions (OSFI) in Canada. OSFI supervises and regulates Canadian financial institutions. We compile this watchlist to help institutions comply with specific regulatory measures in Canada.

As of March 2011, the LexisNexis OSFI Consolidated List—Canada contains the following data provided by OSFI and Foreign Affairs and International Trade Canada (DFAIT):

• Burma

• Democratic People's Republic of Korea (DPRK)

• Iran—Includes: Special Economic Measures Regulations (SEMA) and UN Iran

• Freezing Assets of Corrupt Foreign Officials—Egypt

• Freezing Assets of Corrupt Foreign Officials—Tunisia

• North Korea—Democratic People's Republic of Korea

• Syria

• Terrorism (AQ, Taliban, and Canadian Criminal Code)

• Zimbabwe

OSFI Country

Filename: OSFI Country.CDF



The LexisNexis® OSFI Country watchlist contains jurisdictions subject to financial sanctions or economic measures administered by OSFI in Canada. OSFI supervises and regulates Canadian financial institutions. This list was added in response to Canada's Special Economic Measures (Burma) Regulations and includes the countries of Burma, Iran, Libya, Syria, and Zimbabwe.

Offshore Financial Centers

Filename: Offshore Financial Centers.CDF

The 2007 Federal Financial Institutions Examination Council (FFIEC) Bank Secrecy Act/Anti-Money Laundering Examination Manual recommends that financial institutions consider offshore financial centers (OFC) in their risk analyses, specifically as they regard geographical risk. Generally speaking, OFCs are believed to present additional risk because history has shown a higher potential for involvement in money laundering or other financial corruption and fraud. We gather information for the Offshore Financial Centers watchlist from International Monetary Fund (IMF), particularly the IMF Staff Assessments and the OFC Assessment Program progress reports. To provide better risk management coverage, major cities and/or ports within these jurisdictions may also be included in the watchlist.

Peoples Bank of China (PBC)

Filename: Peoples Bank of China (PBC).BDF

The Peoples Bank of China (PBC) regulates financial systems in mainland China. PBC issues financial sanctions and warnings related to Terrorism, Non-Proliferation, and money laundering risks. The PBC does not publish a list and instead references specific sanctions and risk programs offered by the UN Security Council, FATF, and the Ministry of Public Security.

The referenced UN Security Council sanctions programs cover entities that have asset freeze requirements, travel, and other restrictions. The FAFT references cover money laundering risks and concerns.

The PBC Terrorist sanctions list contains both the UN Security Council sanctions list and Ministry identified terrorist and terrorist organizations.1 The Ministry identified terrorist sanctions contain the terrorist organization East Turkestan Islamic Movement (ETIM) and its suspected members. This information includes



data in Chinese and English. LexisNexis uses only the Ministry identified terrorist sanctions, in both languages, to create the LexisNexis® PBC watchlist. As a result, this list contains unique content published by the Ministry of Public Security (MPS), who maintains the data.1

Because the PBC issues sanctions that refer to other UN Security Council Resolutions and FATF watchlist data, customers using this list are encouraged to also use the UN Consolidated List.

Primary Money Laundering Concern (PMLC) Lists

Section 311 of the USA PATRIOT Act grants the Secretary of the Treasury, after consulting other agencies and considering specific factors, to conclude that an entity is of “primary money laundering concern” (PMLC).

Primary Money Laundering Concern

Filename: Primary Money Laundering Concern.BDF

The PMLC list contains the names of designated organizations.

Primary Money Laundering Concern—Jurisdictions

Filename: Primary Money Laundering Concern - Jurisdictions.CDF

The PMLC-Jurisdictions List contains the names of designated jurisdictions.

1. “Terrorist sanctions list,” The People’s Bank of China, accessed 07 December 2010, http://www.pbc.gov.cn/publish/fanxiqianju/2837/index.html

1. “About PBC,” The People’s Bank of China, accessed 11 November 2010, http://www.pbc.gov.cn/publish/english/963/index.html



http://www.pbc.gov.cn/publish/fanxiqianju/2837/index.html

http://www.pbc.gov.cn/publish/fanxiqianju/2837/index.html

http://www.pbc.gov.cn/publish/english/963/index.html

http://www.pbc.gov.cn/publish/english/963/index.html

Reserve Bank of Australia

Filename: Reserve Bank of Australia.BDF

The LexisNexis® Reserve Bank of Australia (RBA) watchlist contains entities subject to financial sanctions implemented under the Banking (Foreign Exchange) Regulations 1959. Restrictions currently apply to certain financial transactions relating to:

• Burma—individuals associated with the Burmese regime

• Iran – certain Iranian entities and persons not already listed by the United Nations Security Council

• Libya – certain key persons associated with the Qadhafi regime

• North Korea – certain entities associated with the Democratic People's Republic of Korea

• Former Yugoslavia – supporters of the former government of the Federal Republic of Yugoslavia

• Zimbabwe – ministers and senior officials of the Government of Zimbabwe

Terrorist Exclusion List

Filename: Terrorist Exclusion List.BDF

The Terrorist Exclusion List (TEL) was created within section 411 of the USA PATRIOT Act and authorizes the Secretary of State to designate terrorist organizations for immigration purposes. Foreign persons who provide support or are otherwise associated with a TEL organization may be refused entry into or may be deported from the United States, thus they are “excluded” from U.S. soil.

UK HM Treasury List

Filename: Bank of England Consolidated List.BDF

The source for this list is the United Kingdom Her Majesty’s (HM) Treasury's Consolidated List of Financial Sanctions Targets list. This list is a consolidated list of targets identified by the UN, European Union (EU), and



United Kingdom (UK). This list may include narcotic traffickers and terrorists. The responsibility for the administration of financial sanctions in the UK has transferred from the Bank of England (BOE) Financial Sanctions Unit to HM Treasury Asset Freezing Unit. The UK's effective date to transfer the administration of the BOE list to HM Treasury was October 24, 2007.1

United Kingdom Financial Services Authority

Filename: UK FSA.BDF

The UK Financial Services Authority (FSA) is a non-governmental and independent body that regulates the financial services industry in the United Kingdom. FSA publishes lists of firms and individuals that are offering UK consumers financial services or products, but which are not properly authorized by the FSA to engage in these regulated financial activities.

FSA-published lists are used to make the LexisNexis® UK FSA watchlist. FSA has four types of lists, categorized as:

• Firms and individuals

• Overseas firms operating in the UK

• Internet banks

• Notices and warnings issued by other foreign regulatory authorities

United Nations Consolidated List

Filename: UN Consolidated List.BDF

UN Resolution 1267 established the Security Council Committee, which oversees sanctions imposed on individuals and entities belonging or related to the Taliban, Usama Bin Laden, and the Al-Qaida organization.

1. “Transfer of Function,” Bank of England, accessed 30 September 2010, http://www.bankofengland.co.uk/publications/financialsanctions/



http://www.bankofengland.co.uk/publications/financialsanctions/

LexisNexis Risk Solutions obtains information for this watchlist from those UN Security Council sanctions programs that involve asset freeze and/or travel ban requirements. The UN Consolidated List contains the following resolutions that have listed entities for asset freeze and travel bans, including the latest round of sanctions on Iran, resolution 1929, and the Eritrea/Somalia sanctions:

• Al Qaida and the Taliban: Resolution 1267 (1999)

• Côte d'Ivoire: Resolution 1572 (2004)

• Democratic People's Republic of Korea (DPRK): Resolution 1718 (2006)

• Democratic Republic of the Congo: Resolution 1533 (2004)

• Iran: Resolution 1737 (2006) and 1929 (2010)

• Iraq: Resolution 1518 (2003) and Resolution 1483

• Lebanon: Resolution 1636 (2005) (no data to date)

• Liberia: Resolution 1521 (2003) (Travel Ban and Asset Freeze)

• Somalia and Eritrea: Resolutions 751 (1992) and 1907 (2009)

• Sudan: Resolution 1591 (2005)

s Users can search against specified sanction programs.

Unauthorized Banks

Filename: Unauthorized Banks.BDF

This list is compiled from data regarding unauthorized banks provided by the Office of the Comptroller of the Currency (OCC), OSFI, and the Federal Deposit Insurance Corporation (FDIC).

World Bank Ineligible Firms

Filename: World Bank Ineligible Firms.BDF



The World Bank maintains a list of individuals and firms with which it refuses to do business because they were found to have violated the fraud and corruption provisions of the World Bank's Procurement Guidelines or Consultants Guidelines.



About LexisNexis Risk Solutions

LexisNexis Risk Solutions (www.lexisnexis.com/risk) is a leader in providing essential information that helps customers across all industries and government predict, assess and manage risk. Combining cutting-edge technology, unique data and advanced scoring analytics, we provide products and services that address evolving client needs in the risk sector while upholding the highest standards of security and privacy. LexisNexis Risk Solutions is part of Reed Elsevier, a leading publisher and information provider that serves customers in more than 100 countries with more than 30,000 employees worldwide.

Our financial services solutions assist organizations with preventing financial crime, achieving regulatory compliance, mitigating business risk, improving operational efficiencies and enhancing profitability.

Bridger Insight XG is not provided by a "consumer reporting agency," as that term is defined in the Fair Credit Reporting Act (15 U.S.C. § 1681, et seq.) ("FCRA") and Bridger Insight XG reports do not constitute "consumer reports," as that term is defined in the FCRA. Accord-ingly, Bridger Insight XG may not be used in whole or in part as a factor in determining eligibility for credit, insurance, employment or another purpose in connection with which a consumer report may be used under the FCRA.Due to the nature of the origin of public record information, the public records and commercially available data sources used in reports may contain errors. Source data is sometimes reported or entered inaccurately, processed poorly or incorrectly, and is generally not free from defect. This product or service aggregates and reports data, as provided by the public records and commercially available data sources, and is not the source of the data, nor is it a comprehensive compilation of the data. Before relying on any data, it should be independently verified.

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