Available Dow Jones content packages in AEB’s Compliance Screening

Trade Compliance Management and Due Diligence principles go far beyond screening official sanctions lists. Companies looking to check business partners more comprehensively as part of their compliance processes therefore have the option to include extended content from Dow Jones in the AEB software Compliance Screening.

Data from the Dow Jones content packages is regularly checked and updated. This ensures that relevant changes, such as in sanctions regulations or ownership structures, are taken into account in a timely manner. Seamless integration and fully automated checks and updates of Dow Jones content in Compliance Screening is offered in the following three packages:
Sanctions Control & Ownership
The Dow Jones content package “Sanctions Control & Ownership” (SCO) protects your company from violations of bans on indirect provisions. This package includes companies owned or controlled by individuals, entities, countries, or regions sanctioned by the US, EU and/or UK. The SCO content from Dow Jones delivers the data for checking bans on indirect provisions conveniently in one feed:

  • Sanctions Control & Ownership
The Dow Jones content package “Watchlist” consolidates data on individuals and companies subject to increased risks. This includes sanctioned parties, companies owned or controlled by sanctioned parties, as well as politically exposed persons (PEPs), relatives and close associates (RCAs), and persons of special interest (SIPs). Included data from Dow Jones:

  • Global coverage of Sanctions and Other Lists Data
  • Special Interest and Reputationally Exposed Persons
  • Sanctions Control & Ownership
  • Politically Exposed Persons
The Dow Jones content package “Trifecta” is the most comprehensive Dow Jones package available in the AEB software Compliance Screening. It includes data from three Dow Jones flagship databases and conveniently makes them available in a single file. Included data packages from Dow Jones:

  • Watchlist
  • State-Owned Companies
  • Adverse Media Entities

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Understanding risks and how extended content from Dow Jones provides protection

Ownership structures and bans on indirect provisions

European Union and UK sanctions also apply to companies and organizations that are majority-owned or controlled by a sanctioned party. US guidelines apply if one or more sanctioned parties hold a 50% or higher share of ownership.

Specifically, this means that business with companies that are not directly sanctioned may be prohibited if they are owned or controlled by sanctioned parties. This is referred to as bans on indirect provisions – as distinguished from bans on direct provisions, which restrict business with directly sanctioned parties and where direct sanctions list screening is possible.

The difficulty in observing bans on indirect provisions lies, among other things, in the fact that authorities do not provide official lists that enable straightforward screening. To find out about the ownership structures of companies and organizations, businesses without automation often conduct manual research in commercial registers. This is a very time-consuming compliance process with a high error rate.

The AEB software Compliance Screening with SCO content from Dow Jones helps companies meet the challenges around bans on indirect provisions – fast and automated – without spending unnecessary resources on trade compliance.

Politically exposed persons (PEP)
Politically exposed persons, or short PEP, are typically individuals who hold public office or have held such office within a certain time frame in the past. This includes, for example, heads of state and government, ministers, members of parliament, leaders of supreme courts and state agencies, ambassadors, and heads of state-owned companies – as well as people in the immediate circle of such individuals, including life partners, children, parents, and siblings.

Due to the scope of their offices, politically exposed persons are exposed to a greater risk of becoming involved in criminal activities – for example, bribery, money laundering, and corruption. Business activities with such PEP, nationally or internationally, are therefore also subject to an increased risk.

As with bans on indirect provisions, government bodies do not publish official lists that allow for direct screening in the area of PEP. This is where the PEP list from leading content provider Dow Jones comes into play – available in the AEB software Compliance Screening in the Dow Jones content packages Watchlist and Trifecta. Fully integrated and automated, PEP list screening of your business partners is thus easily possible.
Persons of special interest (SIP)

In this context, persons of special interest, or short SIP, describe individuals who pose an increased risk to business partners due to a criminal history. As with politically exposed persons (PEP), there are no lists available from official government bodies in the area of SIP that allow for direct screening.

Using licensed Factiva publications, Dow Jones research specialists conduct research on persons of special interest (SIP) to help companies mitigate risk to their business activities in this area. This research specifically relates to individuals who have been formally accused, arrested, or found guilty of serious crimes in the following six categories:

  1. Corruption
  2. Financial crime
  3. Trafficking
  4. Organized crime
  5. Terror
  6. Tax crime

Dow Jones’ research specialists monitor and compile information on SIP individuals that fall into these categories. This SIP data from Dow Jones includes short profiles with an overview of the respective case as well as the content details of the Factiva articles used. Companies that want to automate comprehensive risk management including SIP checks can do so conveniently with the AEB software Compliance Screening software and the Dow Jones content package Watchlist.

Adverse media coverage – Adverse media entities

In this context, the term “Adverse media entities” describes companies that have received negative media coverage – for example, in the areas of compliance, competition, finance, environment, production, social affairs, and labor law. Different sources are used for such coverage, including newspapers, TV stations, social media, online forums, and many more.

The monitoring of negative coverage on business partners is used to identify warning signals and compliance risks at an early stage and, if necessary, to be able to initiate necessary measures in good time to protect one's own company from reputational damage and further consequences.

With the comprehensive content from the Dow Jones package Trifecta, checking business partners against lists of adverse media entities is also possible – fully automated and integrated in the AEB software Compliance Screening.

State-owned companies

The term "state-owned companies" includes companies that are partially or wholly owned or controlled by state governments. They are usually established by governments to carry out commercial activities and are licensed for certain activities. Such companies are subject to increased risks due to their close association with politically exposed persons (PEP) and because they can be found in high-risk industry sectors (e.g., raw material extraction) and politically unstable regions.

Business activities with such organizations increase trade compliance risks for companies – especially in the areas of bribery and corruption.

Dow Jones' dedicated list for "State-Owned Companies" includes aggregated state ownership, state voting controls, and state control of boards of directors. Automated checks are conveniently possible with the AEB software Compliance Screening and the Dow Jones content package Trifecta, to help companies comply with global anti-bribery and anti-corruption regulations.

Compliance Screening software

Discover the AEB software Compliance Screening with its features and options at a glance.

More than sanctions lists

AEB offers a wide range of lists. Worldwide, in line with demand, and beyond standard sanctions lists.

Flexible integration

For which ERP and CRM systems are dedicated add-ons available? What additional integration options exist?

More information

Software FAQ, upcoming events and webinars, and more details on various trade compliance topics.

Zitat Dow Jones
Zitat Dow Jones

“With businesses under more pressure than ever before to focus on compliance, we’re confident that our data offers best-in-class protection against financial crime activities. Working with Dow Jones’ sanctions lists will give AEB customers access to the most comprehensive and accurate data possible so they can meet their regulatory needs.”

Joel Lange, General Manager, Dow Jones Risk & Compliance

Why do companies that screen against sanction lists need Dow Jones content?

How do AEB and Dow Jones work together to deliver extended screening?