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>> FIS Prime Databank SDN List Details
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FIS Prime Databank SDN & Watch Lists Details
FIS Prime Compliance Databank compiles information on designated individuals from the following sources:
1. Politically Exposed Persons List (PEP)
It is a requirement that institutions are aware of dealings with "Politically Exposed Persons". The term Politically Exposed Persons ("PEPs") applies to those individuals who perform public functions for a government or administrative body, members of ruling royal families, as well as influential people in religious organizations that have a sphere of influence over political, military or judicial matters. Also of regulatory significance are the family and close associates of Politically Exposed Persons. All information is derived from publicly available sources and is screened for quality.
Since the financial transactions of individuals identified as PEPs and their associates may be of interest to those organizations acting as their agent, it is incumbent upon financial institutions to know their customers and identify PEPs with which they do business. FIS' Politically Exposed Persons data subscription will enable organizations to do just that.
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2. Financial Fraud List
Any Know Your Customer program would not be complete without the identification of customers who may have committed financial misdeeds. Furthermore, it is in a financial institution's best interests to understand who might pose a substantial risk to the organization. It is with that intent that the Fraud Database was created.
Fraud data has been collected from a variety of publicly accessible sites from around the world to create a repository against which names can be filtered. The names and other identifying information, when available, of those charged with financial misconduct have been gathered from a variety of government, financial, and news sources. This data will be continually updated as events happen and new sources are incorporated.
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3. Financially Exposed Persons List (FEP)
It has been suggested by various banking consortiums that enhanced due diligence should be given to those individuals who have access to corporate wealth due to their positions within a corporation. Such individuals warrant identification and extra scrutiny as part of a financial organization's "Know Your Customer" policy. FIS refers to these individuals as Financially Exposed Persons ("FEPs"), which applies to those individuals who hold executive management or board positions in the worlds' largest companies. All information is derived from publicly available sources, and includes discriminating information about each person, as well as a link back to the corporate web site with which they are affiliated.
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4. Unlawful Internet Gambling Enforcement Act List
The Unlawful Internet Gambling Enforcement Act of 2006, part of the Security and Accountability for Every (SAFE) Port Act, was passed in the United States in order to prevent financial institutions and credit card companies from processing payments to settle bets made on the Internet. The United States Government does not provide a list of those sites and companies with which financial institutions are prohibited from transacting payments, however. In order to fill this void and to provide our customers with the ability to comply with this regulation, Prime has compiled a list of Internet gambling sites to allow financial institutions the ability to filter for these entities.
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5. BIS Denied Persons List (DPL)
The Bureau of Industry and Security (BIS) of the U.S. Department of Commerce is responsible for the regulation of exports for national security, foreign policy, and nonproliferation reasons, as well as the enforcement of those regulations. BIS's Export Enforcement program seeks to prevent the illegal export of dual-use items before they occur; investigate and assist in the prosecution of violators of the Export Administration Regulations (EAR) and the Fastener Quality Act (FQA); and inform and educate exporters, freight forwarders, and manufacturers of their enforcement responsibilities under the EAR and FQA.
The BIS Denied Persons List (formerly known as the Denial Orders List or the DOL List) lists individuals who have been denied export privileges in whole or in part.
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6. BIS Entity List
The Bureau of Industry and Security's Entity List lists people who have been determined to present an unacceptable risk of proliferating capabilities to develop weapons of mass destruction or the missiles used to deliver those weapons.
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7. BIS Unverified List
The Unverified List from the Bureau of Industry and Security contains the names and countries of foreign persons who in the past were parties to transactions where the U.S. Government could not conduct a pre-license check or a post-shipment verification. A transaction with anyone listed on the Unverified List is subject to BIS scrutiny, regardless of where the person is located in the country included on the list.
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8. Bank of England List (BOE), Her Majesty's Treasury Consolidated List of financial sanctions targets
The Bank of England, the central bank of the United Kingdom, regularly publishes lists of individuals and organizations against which financial sanctions have been imposed. This list contains detailed information about each entity, including detailed name and address information.
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9. Australian DFAT List
Two of the stated goals of Australia's Department of Foreign Affairs and Trade are to strengthen global cooperation in ways that advance Australia's interests and to enhance Australia's security. Towards that end, the Australian DFAT list is published in an effort to freeze the assets of terrorists by making it a criminal offense for persons who hold assets that are owned or controlled by persons or entities on the list, or to use or deal with those assets.
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10. DTC Debarred Parties List
The Directorate of Defense Trade Controls (DTC) is charged with controlling the export and temporary import of defense articles and defense services covered by the United States Munitions List. It is involved in acting on license applications for defense trade exports and handling matters related to defense trade compliance, enforcement, and reporting, among its other functions. The DTC List is a list of those persons and organizations that are listed as debarred parties by the Directorate of Defense Trade Controls of the U.S. Department of State.
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11. Excluded Parties List System (EPLS)
The General Services Administration (GSA) of the United States government maintains an Excluded Parties List System (EPLS) that lists individuals and organizations that are ineligible to receive Federal contracts, some subcontracts, and certain Federal assistance and benefits. The data on the listed parties include names, addresses, listing agencies, CT codes, and other codes as appropriate. While the EPLS List is maintained by the GSA, multiple agencies contribute the information that comprises this list.
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12. EU Consolidated List
The European Union (EU) has released a consolidated list of persons, groups and entities subject to Common Foreign Security Policy (CFSP) related financial sanctions. This database is maintained by the EU to assist the members of the EU Credit Sector Federations in their compliance with financial sanctions.
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13. FATF NCCT List
The Financial Action Task Force on Money Laundering (FATF) identifies non-cooperative countries and territories (NCCTs) in the effort to prevent money laundering. They have developed a process to uncover critical weaknesses in anti-money laundering systems which serve as obstacles to international co-operation. By ensuring that all financial centers adopt and implement measures for the prevention, detection and punishment of money laundering according to internationally recognized standards, the vulnerability of the financial system to money laundering can be reduced.
The FATF lists contains a list of NCCT countries that the FATF asks its members to request financial institutions give special attention to businesses and transactions with persons, including companies and financial institutions, in these countries or territories. This is done to pressure these countries to enact legal reforms.
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14. FAFT AML/CFT List (29/11/2010 and newer releases)
The Financial Action Task on Money Laundering (FATF) identifies countries that have strategic AML/CFT deficiencies and pose a risk to the international financial system. The countries on this list have not developed a sufficient action plan with the FATF, and the FATF has determined that strategic AML/CFT deficiencies remain. The situations differ among each jurisdiction. The FATF continues to identify additional jurisdictions, on an ongoing basis, that pose a risk.
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15. FBI Ten Most Wanted List
The investigation of violations of federal criminal law and the protection of the United States from foreign intelligence and terrorist activities are part of the mission of the United States' Federal Bureau of Investigation (FBI). While the FBI typically seeks approximately 12,000 fugitives from justice at any one time, the Ten Most Wanted Fugitives List is their compilation of who they believe to be the ten most dangerous fugitives.
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16. Guernsey Financial Services Commission (GFSC)
The Guernsey Financial Services Commission, the regulatory body for the finance sector in the Bailiwick of Guernsey, regulates and supervises financial services in Guernsey. The Guernsey List contains sanction orders that prohibit the provision of finance or financial services to named individuals or entities, as well as prohibition orders that require financial institutions to ensure that a specified regulated activity is not performed by a person who is prohibited from doing so by a prohibition order.
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17. HHS-OIG List of Excluded Individuals/Entities
The United States Department of Health and Human Services (HHS) has established a program to exclude individuals and entities that have been the subject of legal actions from participating in Federally funded health care programs. Individuals and businesses on this list have been excluded for such reasons as convictions for program-related fraud, patient abuse, licensing board actions and defaulting on Health Education Assistance Loans. Granted this power by the Social Security Act, the Office of Inspector General (OIG) Exclusion Program mandates that payments cannot be made to any parties on this list by a Federal health care program, or for any goods or services provided by an excluded party.
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18. Hong Kong Monetary Authority List (HKMA)
The Hong Kong Monetary Authority (HKMA) is the government authority in Hong Kong responsible for maintaining monetary and banking stability. In its supervisory capacity, the HKMA ensures that its banks have adequate policies, procedures and controls in place to combat money laundering and terrorist financing. Institutions that find that they have done business with individuals or entities on the HKMA List are required to report such activity to the HKMA and Hong Kong's Joint Financial Intelligence Unit, which is operated by the police and the Customs and Excise Department.
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19. Her Majesty's Investment Ban List
The United Kingdom has issued Her Majesty's Investment Ban List (Council Regulation (EC) No 194/2008), which places further financial restrictions on investments in businesses owned or controlled by persons or entities associated with the military regime of Burma/Myanmar. institutions freeze funds and investments intended to benefit persons or entities associated with the military regime in that country, and includes new restrictions on particular imports, exports, and investments in Burma/Myanmar.
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20. Irish Financial Services Regulatory Authority (IFSRA)
The Irish Financial Services Regulatory Authority (IFSRA) is responsible for the regulation of all financial services firms in Ireland. IFSRA seeks to provide consumer protection, preserve consumer rights, promote a sound financial system, and nurture the developing credit union sector in Ireland. In accordance to the Investment Intermediaries Act of 1995, it is a criminal offense for an investment firm to operate in Ireland unless it has the appropriate authorization from the Irish Financial Services Regulator Authority. IFSRA publishes a list of those firms that operate as investment business firms in Ireland without appropriate authorization.
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21. Israeli Declarations List (IMLTFPA) (29/11/2010)
The Israel Money Laundering and Terror Financing Prohibition Authority provides this list of organizations that have been declared to be part of money laundering- and terror financing-related crimes.
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22. Interpol List
The Interpol List contains a list of individuals who are wanted by Interpol, the International Criminal Police Organization. All of the individuals on this list are the subject of an Interpol "Red Notice", signifying that they are wanted by national jurisdictions or international criminal tribunals, with the goal of identifying and locating those persons so that they may be arrested and extradited. This list contains information from those Red Notices approved for public dissemination, which is a fraction of the total number of Red Notices that have been issued. Those listed are wanted for serious crimes, but are considered innocent until proven guilty.
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23. Monetary Authority of Singapore List (MAS)
The Monetary Authority of Singapore (MAS) administers various statutes pertaining to money, banking, insurance, securities and the financial sector in general for the country of Singapore. As part of its function, it issues a list of those individuals and organizations that have been sanctioned by the government of Singapore. Dealing with any of those cited on the MAS List can lead to fines, criminal penalties and increased regulatory scrutiny for financial institutions operating in that country.
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24. Money Services Businesses List (MSB)
Due to the nature of their business, money services businesses (MSBs) pose a serious money laundering concern. It is up to organizations conducting financial dealings with such entities to know their customers and identify any MSBs that are customers or prospective customers. Once MSBs have been identified, an organization to assess and manage their level of risk in dealing with such customers accordingly. With certain exceptions, MSBs are required to register with the U.S. Financial Crimes Enforcement Network (FinCEN) if they provide one or more of the following services: · Money orders · Check cashing · Travelers' checks · Currency dealing or exchange · Money transmission. The MSB List is a listing of all money service businesses that have registered with FinCEN.
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25. Non-SDN Palestinian Legislative Council List (NS-PLC)
The United States Department of the Treasury has authorized U.S. financial institutions to reject transactions with individuals on the NS-PLC list. The list is comprised of members of the Palestinian Legislative Council (PLC) who were elected on the party slate of Hamas, or any other organization that has been designated by OFAC to be a Foreign Terrorist Organization (FTO), Specially Designated Terrorist (SDT), or Specially Designated Global Terrorist (SDGT), provided that any individuals involved are also not on OFAC's SDN List (in which case their transactions must be blocked). This list is included for all OFAC List customers.
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26. New Zealand Police List (NZP)
The New Zealand Police (NZP) is New Zealand's agency responsible for reducing crime and enhancing community safety. In this capacity, it is the responsibility of the NZP to maintain the list of terrorist entities designated by the UN Security Council Regulations against the Taliban and Al-Qaida, as well as those designated under the Terrorism Suppression Act 2002. The NZP List lists all individuals and organizations designated by New Zealand as terrorist entities under the provisions of the Terrorism Suppression Act 2002.
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27. OCC Unauthorized and Fictitious Banks List
It is the role of the Office of the Comptroller of the Currency (OCC) to charter, regulate and supervise all national banks in the United States, as well as to supervise the federal branches and agencies of foreign banks. Among the OCC's powers is to take actions against banks that do not comply with laws or regulations, or engage in unsound banking practices. As part of their effort to ensure the safety and soundness of the national banking system, the OCC provides alerts regarding unauthorized or fictitious banks.
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28. OECD Tax Havens List
The Organisation for Economic Co-operation and Development (OECD) is a group of 30 member countries that deal with economic and social policies. They may form agreements to act in a formal way-- for example by establishing legally binding agreements to crack down on bribery, or codes for free flow of capital and services. The OECD's Committee on Fiscal Affairs has identified the countries on their list as practicing harmful tax practices, thereby deeming them uncooperative tax havens.
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29. OFAC SDN & Blocked Persons List
The Office of Foreign Assets Control (OFAC) of the U.S. Department of the Treasury publishes a list of those individuals and organizations that have been deemed to be counter to US foreign policy and national security goals against targeted foreign countries, terrorists, international narcotics traffickers, and those engaged in activities related to the proliferation of weapons of mass destruction. OFAC's frequently-updated master list of Specially Designated Nationals (SDNs) and Blocked Persons is the basis for FIS' OFAC data distribution. FIS does not deliver this list as is, however; the information is carefully screened and enriched to offer our customers the best possibilities to detect these sanctioned parties.
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30. Canadian OSFI List
The Canadian Government's Office of the Superintendent of Financial Institutions (OSFI) is the primary regulator of federally chartered financial institutions. OSFI is responsible for supervising and regulating all banks, and all federally incorporated or registered trust and loan companies, insurance companies, cooperative credit associations, fraternal benefit societies and pension plans. Regulations mandate that every Canadian financial institution and foreign branch operating in Canada review their records on a continuing basis for the names of individuals listed in OSFI's Schedule to the Regulations, and report their findings on a monthly basis.
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31. Primary Money Laundering Concern List (PMLC)
Section 311 of the USA Patriot Act authorizes the United States Treasury to designate a foreign jurisdiction, financial institution, class of transactions, or type of account as being of "primary money laundering concern," and to impose "special measures" against them. The intent of this designation is to help ensure that the international financial system is not being abused by criminals.
Knowing those entities on the PMLC List is critical. U.S. financial institutions dealing either directly with the jurisdiction designated as one of primary money laundering concerns, or dealing with those having direct dealings with the designated jurisdiction must be concerned with special measures that they must take. These special measures involve information-gathering and record-keeping requirements, as well as possible prohibition from opening or maintaining a correspondent account or a payable-through account for such an entity.
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32. Reserve Bank of Australia List (RBA)
The Reserve Bank of Australia (RBA) administers sanctions as specified in the Banking (Foreign Relations) Regulations 1959. Whereas the responsibility of DFAT is to maintain and publish the Australian government's list of terrorists and their sponsors, as well as those in the former Iraqi regime, it is the responsibility of the RBA to maintain and publish the sanctions lists of those in the former government of the Federal Republic of Yugoslavia, ministers and senior officials of the Government of Zimbabwe, and entities associated with the Democratic People's Republic of Korea (North Korea). Transactions involving the transfer of funds or payments involving any person or organization on this list Annex are prohibited without prior authorization from the Reserve Bank of Australia.
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33. Special Economic Measure Act (SEMA)
Canada's Foreign Affairs and International Trade Canada bureau's Special Economic Measures Act (SEMA) authorizes the Governor in Council to seize, freeze, or sequester property in Canada of a foreign state or of its citizens who do not reside in Canada. The Governor in Council may also prohibit persons in Canada or Canadians outside Canada from dealing in property of that foreign state (or with its residents or nationals). This includes the export, sale or shipment of goods to that foreign state, and the importation of goods from that nation or from providing or acquiring services to or from that foreign state, as well as the transfer of technical data to that foreign state or the acquisition of or supply of services to the nation of its nationals. Restrictions may be also be imposed on vessels or aircraft from that foreign state coming to Canada and Canadian vessels or aircraft going to that foreign state. The SEMA List contains information about the entities covered under the SEMA regulations.
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34. DOS Terrorist Exclusion List (TEL)
Under Section 411 of the USA PATRIOT Act, the U.S. Department of State (DOS) is authorized to designate terrorist entities for immigration purposes. The Terrorist Exclusion List (TEL) is the list of those entities, and is maintained by the DOS for Homeland security purposes. An organization is placed on the TEL if it commits, plans to commit or supports terrorist activity. A person who is associated with any entities listed on the TEL may be found "inadmissible" to the United States, resulting in them being prevented from entering the United States, or if already in the country, they may face deportation.
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35. UN Consolidated List
The Security Council of the United Nations is empowered to take enforcement measures to maintain or restore international peace and security under Chapter VII of their charter. One such enforcement measure is the imposition of sanctions, including economic and trade sanctions, arms embargoes, travel bans, and other financial or diplomatic restrictions. In an effort to gain adherence to their objectives, the Security Council has imposed sanctions on individuals and organizations through a variety of resolutions. FIS has compiled the salient resolutions into a single list against which financial organizations can filter their customers and/or transactions.
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36. WMD Nonproliferation List
In 1994, an Executive Order was issued in the United States to impose an import ban on foreign persons determined to have engaged in activities related to the proliferation of weapons of mass destruction. These regulations prohibit the direct or indirect importation of any goods, technology, or services into the United States that were produced or provided by the foreign persons designated in this list.
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37. World Bank List of Debarred Parties
The World Bank List of Debarred Parties is a list of organizations and individuals that are ineligible to be awarded contracts financed by the World Bank for the periods indicated, due to the fact that they were found to have violated fraud and corruption rules. Any firm or individual who directly or indirectly controls a debarred firm or any firm that the debarred firm directly or indirectly controls is also ineligible from receiving funding through the World Bank, as is any firm which a debarred individual directly or indirectly controls.
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38. Executive Order 13599 List
Executive Order 13599 List is a new sanction list published by OFAC on January 16, 2016. This list includes persons identified by OFAC as meeting the definition of the term "Government of Iran" or the term "Iranian financial institution".
On November 5, 2018, U.S. Department of the Treasury OFAC moved persons identified as meeting the definition of the terms “Government of Iran” or “Iranian financial institution” from the E.O. 13599 List to the SDN List as appropriate, and removed the E.O. 13599 List from its website.
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39. Crimea Municipalities List
Crimea Municipalities List is is a new geographical sanction list published by FIS with the first distribution on or after August 22nd 2016. Crimea Municipalities List includes information about the Crimea region of Ukraine. This list can be used as a tool in complying with Executive Order 13685, Blocking Property of Certain Persons and Prohibiting Certain Transactions with Respect to the Crimea Region of Ukraine, and other requirements. The Crimea Municipalities List is based on official documents published in Russia and Ukraine. It contains Russian, Ukrainian and Historic (where applicable) names of the municipalities, all in English translation/transliteration from Cyrillic that can be officially used. The list has more than 1,900 municipalities in the OFAC-sanctioned Crimea region, each in two or three different versions of spelling in English (depending on the status of governmental approval of the “historic name”). There are almost 4,000 unique names of Crimean localities that can currently be officially used in addresses. While “Crimea” would not show up on the address, this address is legally acceptable.
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40. Justice for Victims of Corrupt Foreign Officials Act (JFVCFOA) (18/05/2020) NEW
This list is comprised of foreign nationals who are identified as violators of human rights under Canada’s Sergei Magnitsky Law.
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41. Regulations Establishing a List of Entities (RELE) (18/05/2020) NEW
This list is comprised of entities that knowingly participated in terrorist activities, as identified by Canada’s Governor General.
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