USER GUIDE
Revision Date: 19th August 2013
Dow Jones Risk & Compliance User Interface User Guide
Document History
Revision History Revision
Revision Date
Summary of Changes
2.2
19-Aug-2013
Update for Adverse Media Entity
2.1
30-Jan-2013
Update for Adverse Media
2.0
25-Nov-2012
Update for Adverse Media
1.9
31-May-2012
Updated copyright information
1.8
26-Sep-2011
Updated to reflect branding guidelines
1.7
18-July-2011
User Interface Re-Design
1.6
2-July-2010
Supported Language Update
1.5
10-Mar-2010
Separated Anti-Corruption Section, Added Exclusion Rule
Number
and Associated Entities 1.4
5-Feb-2010
Combined Watchlist Only and Joint user guides and added Corporate Connections related content
1.3
19-Jan-2010
Updated retrieving a profile details, added anti-corruption section fields
1.2
04-Jan-2010
Review and addition of Corporate Connections v1
1.1
15-Sep-2009
Launch of New UI User Guide
1.0
Feb-2009
Updated User Guide
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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
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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.
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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.
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Dow Jones Risk & Compliance User Interface User Guide
About this User Guide This user guide will cover all aspects of the User Interface without regard to the type of user. Depending on your subscription, some aspects of this guide might not be applicable.
Software Requirements Microsoft Internet Explorer 6+ is required to access Dow Jones Risk & Compliance Internet products. Microsoft Office 2003+ is required to view Dow Jones Risk & Compliance Country Profiles (MS Word), Search Reports and Risk Score Reports (MS Excel). A PDF viewer is required to view Dow Jones Risk & Compliance Profile exported to PDF.
Login Complete the following steps to access the internet version of Dow Jones Risk & Compliance:
Open Microsoft Internet Explorer. In the Address bar, type https://djrc.dowjones.com and click Go. Select your preferred interface language from the list available from „Interface Language‟. Enter the User ID, Password, and Name Space provided by Dow Jones. Click „Log in‟ or press Enter
Note:
If the User ID or Password entered is incorrect, an error message is displayed. An error message displays if, o
Either, the User ID, Password or Name Space fields are empty.
o
Either, the User ID, Password or Name Space fields are incorrect.
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Dow Jones Risk & Compliance User Interface User Guide
o
Name Space contains non-numeric values.
For accounts that have IP address restrictions, users will not be allowed to login if they are accessing the from an IP address that is not in the list of permitted IP address. For Users who are behind a proxy or firewall, please ensure that the following IP addresses are permitted access: o
63.87.153.90
o
119.151.136.30
For security purposes, user login credentials are not cookied. Users should therefore input their User ID, Password and Name Space information and select their preferred Interface Language at the start of every session. The Risk Database section will be displayed after a successful login:
Note:
Depending on which type of user, some parts of the screen will not be visible.
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Dow Jones Risk & Compliance User Interface User Guide
Interface Language Dow Jones Risk & Compliance supports 9 interface languages; English, French, German, Spanish, Russian, Japanese, Polish, Chinese (Traditional) and Chinese (Simplified).
To switch to a different language, hover the mouse on the Interface Language Option on the top right hand side and then click on a language.
Search Help Click on Search Help for further details on content, search capabilities, features and strategies.
Support For answers to frequently asked questions and additional, download documentation and to contact customer service, please click on Support.
Logout If you wish to Logout of the application, click on Logout and you would be redirected to the Login Screen.
Risk Database Search Overview The Dow Jones Risk & Compliance search interface provides a variety of flexible search methods:
Content Type (Watchlist, State Owned Companies or Adverse Media) Search Type (Begins with or Exact) Search by Person, Entity or Both. Search Tab (Names, Occupation Titles or Profile Notes) Search by Name Type Tab (single name (entity name), surname, first name or middle name) Search By Profile ID Search or filter by: o
Region
o
PEP Category
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Dow Jones Risk & Compliance User Interface User Guide
o
Special Interest Category
o
Sanctions Lists
o
Other Official Lists
o
Other Exclusion Lists
o
State Ownership
Search using any combination of the above.
More Info Icon Certain features will have an i icon displayed, clicking this will open a window with more information about the particular feature.
Content Set A search may be conducted on specific or combination of content sets. This will apply to both Search Tab and Search by Name Type Tab. A search on Adverse Media only will not be possible, when Adverse Media is checked, Watchlist will also be checked and disabled (not clickable).
Building a Search The Dow Jones Risk & Compliance Search allows users to run different searches to retrieve Dow Jones Risk and Compliance Profiles based on the information available with the User.
Search Tab The Search tab offers to search on using parameters with options to widen or narrow the precision or recall of the results.
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Dow Jones Risk & Compliance User Interface User Guide
Search parameters include: a.) Profile Notes (In combination with Content Set selection, searches all Profile Notes information) b.) Occupation Titles (In combination with Content Set selection, searches Person Occupation Titles information)
How to build a Search?
1. Select either Person or Entity or Both 2. In the Name search field enter any part of a name, in any order. 3. Person Name search return all profiles that would have the search criteria in any name field including their variations. 4. Select the desired search parameters. More than one search parameter can be included in a single search. 5. Click on „Search‟
How it works: If the Person search criterion is “Steve” all the profiles containing “Steve” in any type of First Name, Middle Name, Surname, Single String Name, and Original Script Name will be included in the search results. The Search Results would also include Profiles which have names like “Stevens” or “Stevenson” etc. If the Search Criterion is “Osama” and the Search Parameters are Profile Notes and Occupation Titles, the search results returned would include All profiles containing “Osama” in any type of First Name, Middle Name, Surname, Single String Name, and Original Script Name.
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Dow Jones Risk & Compliance User Interface User Guide
All profiles containing “Osama” and its variations like “Osama-bin” or “Osamabin” etc in the Profile Notes. All Profiles containing “Osama” and its variations like “Osama-bin” or “Osamabin” etc in the Occupation Titles.
6. Select Exact as a Search Type to search Profiles with criteria that exactly match the search string. For example, selecting Exact as a Search Type in a search containing the word “Bush” will return results containing “Bush” in any name field, including spelling variations and AKA‟s. In this example all names matching “Bush” will be returned, but names such as “Bushe”, “Bushson”, “ambush etc, will not.
Search by Name Type Tab Name type search allows search on specific name types, Surname, First Name or Middle Name. It is not required to enter a value in every name type. It would be possible to search on Surname only.
It is also possible to Search by Entity Name.
How to build a Name Type Search?
1. Click on Search by Name Type Tab, other search options will be hidden (Person/Entity/Both, Occupation Titles and Profile Notes). 2. Enter the Surname, First name and Middle name of a Person or the Entity name. 3. Click on Search
How it works? Entering “Blair” in Surname and “Tony” in First Name will return all profiles that contain “Blair” in the surname field and “Tony” in the First Name field.
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Dow Jones Risk & Compliance User Interface User Guide
Name Search Notes Name searches can be executed with truncated search criteria. This is particularly useful if the complete spelling of a name is unknown. For example, searching for “Smith” will return all profiles with “Smith” in any name field as well as profiles that have names beginning with Smith, e.g. “Smiths”, “Smithson”, “Smithers”, etc.
All names search are automatically searched for variations with accents and hyphens. Similarly, all name search criteria with accents and hyphen are searched for variations without these variations.
Search by ID Number Type Allows the user to search by ID Number based on the different ID Types covered by Dow Jones currently. Only a search on Dow Jones Profile ID is possible, other ID number type searches will be added in the future.
How to build a Profile ID Search
1. Click on Search by ID Number Type Tab, This disables all other Search options. 2. Enter the Profile ID Number. This disables all other Search options. 3. Click on Search
How it works? Dow Jones Profile IDs are unique to each Profile, and hence there will always only be one profile in the result.
Search Filters Dow Jones Risk & Compliance Filters can be used in conjunction with name search criteria. Alternatively, Dow Jones Risk & Compliance database can also be searched by using filter criteria only.
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Dow Jones Risk & Compliance User Interface User Guide
Dow Jones Risk & Compliance can be searched by using one or more of the following filters.
Region
Click on the plus sign beside “Region” to expand the Region list. A list of Regions and territories are displayed. Select one or more items from this list to add them to the search criteria. Regions and territories selected to be included in the search are displayed in magenta. All the items selected for inclusion in a search are joined using an “Or” search operator. Double click an item to exclude it from a search. Items excluded from a search are displayed in strikethrough, indicating the inclusion of a “Not” search operator.
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Dow Jones Risk & Compliance User Interface User Guide
PEP Category
Click on the plus sign beside “PEP Category” to expand the PEP Category list. A list of PEP categories is displayed, together with Relatives & Close Associates. Select one or more items from this list to add to the search criteria. PEP Categories selected to be included in the search are displayed in magenta. All items selected for inclusion in a search are joined using an “Or” operator. Double click an item to exclude it from a search. Items excluded from a search are displayed in strikethrough, indicating the inclusion of a “Not” search operator Select or exclude Relative or Close Associates to exclude this content (RCA‟s) from searches. A search on State Owned Companies content set only will hide this filter.
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Dow Jones Risk & Compliance User Interface User Guide
Special Interest Category
Click on the plus sign beside “Special Interest Category” to expand the list of special interest categories. A list of special interest categories is displayed. Select one or more items from this list to add them to the search criteria. Special Interest Categories selected to be included in the search are selected in Magenta. The default search operator when searching for more than one list is “Or”. Change this operator to “And” if you want to search for profiles that contain all selected Special Interest Categories. Double click an item to exclude if from a search. Items excluded from a search are displayed is strikethrough, indicating the inclusion of a “Not” search operator. A search on State Owned Companies content set only will hide this filter.
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Dow Jones Risk & Compliance User Interface User Guide
Sanctions Lists
Click on the plus sign beside “Sanctions Lists” to expand the list of official terrorism and sanctions lists. A list of Sanctions Lists is displayed. Select one or more items from the list to add them to the search criteria. “(Suspended)” is displayed beside all references that have either been superseded by new lists or fallen into abeyance. All suspended list references are italicized. Click Excluded Suspended Lists to hide all suspended Sanctions Lists from the Sanctions Lists Search filter. Sanctions Lists selected to be included in the search are displayed in magenta. The default search operator when searching for more than one list is “Or”. Change this operator to “And” if you want to search for profiles that contain all selected Sanctions Lists. Double click an item to exclude if from a search. Items excluded from a search are displayed in strikethrough, indicating the inclusion of a “Not” search operator. To search for Sanctions Lists profiles that have been last updated by Dow Jones Risk & Compliance from a specified time period, modify the filter‟s date settings by selecting a value from the drop down menu. Appears after at least 1 list has been selected.
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Dow Jones Risk & Compliance User Interface User Guide
Other Official Lists
Click on the plus sign beside “Other Official Lists” to expand the list of official and professional blacklists. A list of Other Official List is displayed. Select one or more items from this list to add them to the search criteria. Suspended is displayed beside all references that have either been superseded by new lists or fallen into abeyance. Click Excluded Suspended Lists to hide all suspended Lists from the Other Official Lists Search Filter. Other Official Lists selected to be included in the search are displayed in magenta. The default search operator when searching for more than one list is “Or”. Change this operator to “And” if you want to search for profiles that contain all selected Other Official Lists. Double click an item to exclude it from a search. Items excluded from a search are displayed in strikethrough, indicating the inclusion of a “Not” search operator. To search for Other Official Lists profiles that have been last updated by Dow Jones Risk & Compliance from a specified time period, modify the filter‟s date settings by selecting a value from the drop down menu. Appears after at least 1 list has been selected.
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Dow Jones Risk & Compliance User Interface User Guide
Other Exclusion Lists
Click on the plus sign beside “Other Exclusion Lists” to expand the list of exclusions. A list of Other Exclusion List is displayed. Select one or more items from this list to add them to the search criteria. Suspended is displayed beside all references that have either been superseded by new lists or fallen into abeyance. Click Excluded Suspended Lists to hide all suspended Lists from the Other Exclusion Lists Search Filter. Other Exclusion Lists selected to be included in the search are displayed in magenta. The default search operator when searching for more than one list is “Or”. Change this operator to “And” if you want to search for profiles that contain all selected Other Exclusion Lists. Double click an item to exclude it from a search. Items excluded from a search are displayed in strikethrough, indicating the inclusion of a “Not” search operator. To search for Other Exlusion Lists profiles that have been last updated by Dow Jones Risk & Compliance from a specified time period, modify the filter‟s date settings by selecting a value from the drop down menu. Appears after at least 1 list has been selected.
State Ownership
Expand the dropdown for State Ownership to get a list of various state ownership values. Choose the value that you would like to search upon. To Include profiles for which the State Ownership is not available, deselect the “Exclude Unknown” checkbox.
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Dow Jones Risk & Compliance User Interface User Guide
Filter Search Notes Searches using Search Filters have the following search logic “Name Search” And “Country List” And (“PEP Category List” Or “Special Interest Category” Or “Sanctions List” Or “Other Official List)
Search Results Profiles matching the search criteria will be returned, sorted by surname in ascending order. Only 500 profiles will be displayed if the search results exceed that.
Note: The total number of profiles matching the search criteria is displayed at the top and bottom of the search results lists. Each search results pages holds up to 100 profiles. Click the page numbers to scroll through additional pages Search results are limited to 500 profiles. The following example message is displayed if the search criteria match more than 500 profiles:
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Dow Jones Risk & Compliance User Interface User Guide
“Showing (1-100) of XXXX. Search results exceed 500 names. Please refine your search.”
Each matching profile in the search results list contains the following information:
Icon
The icon before the name represents the Dow Jones Risk & Compliance profile type:
PEP Politically Exposed Person RCA Relative/Close Associate of either a PEP or Special Interest Person/Entity SAN Special Interest Person or Special Interest Entity cited in a Sanctions or Other Official List Special Interest Person or Special Interest Entity cited in an Other Official List Special Interest Person or Special Interest Entity cited in an Other Exclusions List SI Special Interest Person or Special Interest Entity SOC State Owned Company (this signifies the profile has AntiCorruption data, this data is only accessible to State Owned Companies Content Set subscribers) Represents members of the supervisory board, board of directors or management board of State Owned Companies. Adverse Media Persons/Entities Relative/Close Associate of an Adverse Media Person/Entity
Placing the mouse over the above icons will display the type of the profile (as mentioned above) Note: Profiles in the search results lists that are both PEPs and sanctioned/Other Official List Special Interest Persons will be displayed with a SAN
icon.
Profiles in the search results that are both PEPs and classified to the Special Interest category will be displayed with an SI
icon.
Profiles in the search results that are both, classified to Sanctioned/Other Official List and have Special Interest Categories associated with them will be displayed as an SAN icon.
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Dow Jones Risk & Compliance User Interface User Guide
Name Displays the primary name of the person in the order of Surname, First Name Middle Name (Example: Blair, Anthony Charles Lynton) or the primary name of an entity.
Citizenship Displays country information, either Citizenship, Residence, Jurisdiction or Reported Allegation for Person records and Affiliation, Registration or Reported Allegation for entities..
Title Displays a person‟s Occupation Title or sanctions/official list references of Special Interest People/Entities.
Subsidiary Displays a Yes or No value for Entity records only. A Yes value will display to indicate if an Entity record is a subsidiary and a No value if not. It will be blank for Person records.
Note: A Name search with no results will make the search term linkable to News Search and the Name field will be propagated with the search term.
Sorting Search Results By default, Search results are listed by Names and sorted in Ascending order, indicated by the arrow up beside the Name column header.
The order in which search results are sorted can be changed by clicking on the Column Headers:
Names (Ascending or Descending) Citizenship (Ascending or Descending) Title (Ascending or Descending) Subsidiary (Yes, No or Blank)
An arrow beside the column header will indicate which column the list is sorted by and if the sort order is ascending or descending.
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Dow Jones Risk & Compliance User Interface User Guide
Note: Sorting by Citizenship is not available for the Japanese, Chinese (Traditional) and Chinese (Simplified) Language Interface.
Modify Search Click Modify Search to return to the search screen and modify search criteria.
New Search Click New Search to return to the search screen and build a new search.
Summary Tab displays the search criteria used to conduct the search.
The Search Summary pane includes the following: Content Set – displays the Content set selected Search On – displays the Person/Entity type selected Search Parameters – displays parameters included in the search to widen or narrow the precision and recall of the search results Profile ID Number– displays the Dow Jones profile ID number used for the search Name – displays the name used for the search Search Type – displays the search type used, Begins with or Exact Region – displays the names of all Regions selected for inclusion in the search PEP Category – displays the PEP Categories selected for inclusion in the search Special Interest Category – displays all the Special Interest Categories selected for inclusion in the search Sanctions Lists – displays the names of all Sanctions Lists selected for inclusion in the search Other Official Lists – displays the names of all Other Official Lists selected for inclusion in the search Other Exclusion Lists – displays the names of all Other Exclusion Lists selected for inclusion in the search criteria
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Dow Jones Risk & Compliance User Interface User Guide
State Ownership – displays the State Ownership value selected for inclusion in the search criteria. The search returned – displays the number of profiles returned and displayed on completion of the search Date of Search – displays the Date on which the search was performed User name – the user id of the current user
Note:
Search criteria and a list of search results can be exported into MS Excel by clicking on the Create Search Report button.
If a pop up blocker is installed, it is recommended to hold the CTRL button and click Create Search Report; keep CTRL held until a window asking to Open, Save or Cancel the report appears.
Search Report The Search Report button in the results page will open a new window and display the search criteria used to conduct the search, the same information from Search Summary, and all the profiles in the search results, Maximum of 500.
This view allows users to print or save the search results including the search criteria.
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Dow Jones Risk & Compliance User Interface User Guide
Retrieving a Profile Details To retrieve the details of a Profile,
1. Perform a search. 2. From the search results list, click the name of profile to be retrieved.
Profile Details may contain the following Watchlist information: Profile ID Number – identifies the person‟s/entity‟s Profile ID number Record Type – identifies whether the profile is of a person or an entity Status – identifies the status of the person/entity. For example: Active or Inactive Gender – identifies a person‟s gender Category 1 – identifies a person‟s or an entity‟s Dow Jones Risk & Compliance Category 1 classification. For example: PEP, SIP or RCA. Category 2 – identifies the person‟s/entity‟s Dow Jones Risk & Compliance Category 2 classification, if assigned. For example: Other Official Lists, Sanctions Lists. Category 3 – identifies the person‟s/entity‟s category 3 classification, if assigned. For example: Ship, company
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Dow Jones Risk & Compliance User Interface User Guide
Risk Scores – identifies the Risk Score of PEP, assigned by an administrator. Image – identifies person‟s images or the URLs of the images, if known. Names – identifies the persons/entity‟s name details. This includes all the name types like Primary Name, AKA, Spelling Variation, Low Quality AKA, etc if known. Each name type includes the sub name types, like original script name, spelling variation, if known. Roles – identifies with the person‟s professional details. History: identifies the person‟s previous known Occupation details. Other current Roles: details any additional roles a person is fulfilling aside from the current profession listed in Occupation Title. Dates – identifies Date of birth or Deceased Date for a person or registration date for an entity, if known. Also includes Notes regarding a person‟s date of birth, if known. Exclusion Rule – applies and will be displayed on qualified PEP records which have no Date of Birth information. Associated Entities - displays a list of entities that are associated to the record. These are hyperlinked to their corresponding Corporate Connections company profiles. Citizenship Details – Includes Country of residence and nationality for a person or Country of affiliation for an entity, along with the Place of Birth for a Person, if known. Citizenship Details identify: Citizenship – The country region(s) of a person‟s citizenship Resident of – The country region(s) of a person‟s residency Place of Birth – a person‟s place of birth Country of Affiliation – the region(s) in which an entity is active Sanctions List – identifies the sanction references list and other official lists assigned to the person or entity Addresses – details the address for a person, Company Details for an entity or Ship Details for a vessel entity, if known. ID Number Types – identifies the person‟s/entity‟s identification details. For example: passport number, national identity card number, registration number, etc, if known. Relatives/Close Associates – identifies a list of relatives and/or associates known to be affiliated with the person/entity. Profile Notes – details any extra notes or information about the person/entity if known. This field also displays links to related articles about the particular profile.
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Dow Jones Risk & Compliance User Interface User Guide
Note: Links to stories in the Factiva news archive are displayed only to Dow Jones Risk & Compliance Research users. Source - identifies the name or URL of the source where a reference to a non-family associate or official sanctions notice was found. Last Reviewed date - identifies the date when the profile was last reviewed.
State Owned Companies Profile Details may contain the following State Owned Companies information: Status – identifies the status of the person/entity. For example: Active or Inactive Category 1 – identifies if the record is a Person or an Entity. Category 2 – identifies if the record is a Board Member or State Owned Company. Roles – identifies with the person‟s State Owned Companies role details. History: identifies the person‟s previous known Occupation details. Other current Roles: details any additional roles a person is fulfilling aside from the current profession listed in Occupation Title. Profile Notes – details any extra notes or information about the person/entity if known. This field also displays links to related articles about the particular profile. Note: Links to stories in the Factiva news archive are displayed only to Dow Jones Risk & Compliance Research users. Last Reviewed date - identifies the date when the profile was last reviewed. Country of Registration – identifies the country region from which the State Owned Company is registered. Dow Jones Intelligent Indexing Industry – details the Dow Jones Intelligent Indexing Industry for the record Company Details – details the address for the State Owned Company. Control - details of state ownership. Voting Control: details if the state has voting control. Board Appointing Control: details if the state has Board Appointing Control. Ownership Percentage Current Share: details ownership percentage of the state. Dates – identifies dates of importance for the record. Source - identifies the name or URL of the source.
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Dow Jones Risk & Compliance User Interface User Guide
Adverse Media Profile Details may contain the following Adverse Media information: Category 1 – identifies a person‟s Dow Jones Risk & Compliance Category 1 classification. For example: SIP or SIE. Category 2 – identifies the person‟s/entity‟s Dow Jones Risk & Compliance Category 2 classification, if assigned. For example, Corruption, Financial Crime. Category 3 – identifies the person‟s/entity‟s Dow Jones Risk & Compliance Category 3 classification, if assigned. For example, Regulatory, Social/Labour. Details – displays report allegations, reported monetary type, currency, reported monetary value, date, categories reported, formal process, source date, source language and sources in table format for Person Profiles. For entity Profiles, Reported Companies Mentioned – displays a list of reported companies mentioned Addresses – details the address for a person, Company Details for an entity or Ship Details for a vessel entity, if known
Search Summary Tab The Search Summary Tab displays the search criteria used to conduct the search. This is the same search summary details from the search results.
Viewing Original Script Names In order to view names in Chinese, Japanese or Korean, you may need to load both Language Support and Input Editor software for the Microsoft Internet Explorer browser.
From the Internet Explorer top command bar, select Tools, then Windows Update.
You can use the search box in the upper right corner of the Windows Update screen to locate language packs and Input Method Editors (IME) for download. Type in language pack or global IME, then click the Go button. Scroll down the list of results to find the link to the software you need for your language selection and your version of Windows. How to Use Language Support to select multiple languages for viewing in your browser: Click the Windows Start button, select Settings, and then click Control Panel.
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Dow Jones Risk & Compliance User Interface User Guide
Select Internet Options, then click the Languages button at the bottom under the General tab. Click Change, and then Add to select the language(s)you installed. Note: You can switch to another language at anytime. If an Internet Explorer browser is running it will automatically close and restart the language you installed. If this does not occur, shut down the browser, then reopen the browser and you will be able to use the languages you selected.
Viewing Myanmar scripts:
You will need to download and install the Aplha Zawgyi Unicode to view names in Myanmar original script. You may download the latest version from www.mandalayalpha.com.
Viewing Vietnamese and other languages using non-Latin scripts:
If you are unable to view names in Vietnamese or other non-Latin scripts, please follow these instructions: 1. Open the details page for a person with a Vietnamese name. 2. Right-click anywhere on the details page. Result: a pop-up menu will appear. See screen shot below.
Select Encoding from the menu, then select Unicode (UTF-8) Result: You should now be able to view the name in its original script.
Associated Entities Associated Entities apply only to PEP‟s with associated entities, this section will not appear if the PEP has no associated entity. The section will appear below the Relatives / Close Associates section on the Common Area.
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Dow Jones Risk & Compliance User Interface User Guide
The entities listed will have a link towards its corresponding profile on Corporate Connections. A button, labelled Return to Dow Jones Risk & Compliance Profile, is available on the Corporate Connections profile. A link “View All Associated Company Results” will be available below the list of entities; this will lead to the Corporate Connections search result page listing all the associated entities for that record.
For an Adverse Media profile, this section will be reported companies mentioned and will list reported associated or reported mentioned companies.
Exclusion Rule The Exclusion Rule is a measure of the likelihood of a PEP having been born before or after a specified range of years.
This is based on a statistical probability rather than fact. Details of the mathematical theory are explained in the further available relevant documentation for Administrators (see “Administration Overview” section), and FAQs within the Customer Support portal.
Records which have no date of birth information and whose PEP categories are part of Exclusion Rule will display the message below in the record view.
Exclusion Rule Y.O.B. range: before [Min Year] or after [Max Year]
Return Click “Return” to navigate back to the search results.
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Dow Jones Risk & Compliance User Interface User Guide
Printing a Profile To print a profile
1. Retrieve a profile 2. Click the
icon. A new browser window will open, displaying the profile as it will
appear when it printed. 3. From the new browser windows File menu, click Print, or press Ctrl+P. 4. Close the new browser window.
View a Dow Jones Risk & Compliance Profile in PDF Format 1. Retrieve a profile 2. Click the
icon.
3. The profile will open in PDF format in a new browser window.
Note: Viewing a Dow Jones Risk & Compliance profile in PDF format is not available for Russian, Japanese, Chinese (Traditional) and Chinese (Simplified) Interface languages. Original script names will not be in the PDF.
Feedback Profile Feedback allows users to contact the Dow Jones Risk & Compliance Research team for comments on Dow Jones Risk & Compliance Profiles or to request a review of a Profile.
Enter as much information in the Feedback e-form as desired. Please note that all Feedback is anonymous unless the user elects to supply name and email information. Please note that Dow Jones is unable to respond to feedback that is submitted anonymously.
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Dow Jones Risk & Compliance User Interface User Guide
Corporate Search Dow Jones Risk & Compliance Corporate Connections feature allows Dow Jones Risk & Compliance users to perform searches for companies and executive in the Dow Jones Companies & Executives Database.
The Corporate Search tab will only be displayed and this feature will only be made available to users with Corporate Connections subscription.
Click Corporate Search to open the corporate connections homepage, by default, company search will be displayed:
The Company and Executive buttons may be used to navigate between Company and Executive Search.
How to run a Company Search Enter a company name in the company name field.
Run Search Click the button labelled “Run Search” to execute the company search. Notes:
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Dow Jones Risk & Compliance User Interface User Guide
o o
Company search will run full word searches, no stemming or partial words. Company‟s legal name is normalized and all punctuation and common suffixes are removed. E.g. Corp, Inc., PLC, LTD, etc.
Viewing Company Search Results A list of company records will be displayed which match your search criteria. The Search results will have 6 columns of information per record. Company Name Location Contact Information Ownership Type Industry Sales USD
Modify Company Search Click Modify Company Search to modify Company Search criteria
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Dow Jones Risk & Compliance User Interface User Guide
New Company Search Click New Search to create a new Company search
Retrieving Company Record Details From the Company search results, click on through to the records details by clicking on the company name. Each company record is divided into two, Snapshot and Officers and Executives. Snapshot includes Address Contact, Business Description and Key Financials. Officers and Executives will be a listing with name and job title information.
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Dow Jones Risk & Compliance User Interface User Guide
How to run a Executive Search Enter a surname and/or first name in the first name and surname fields.
Run Search Click the button labelled “Run Search” to execute the executive search.
Note: o o
Executive search will run full word searches, no stemming or partial words. Search on First Name only is not supported.
Viewing Executive Search Results A list of executive records will be displayed which match your search criteria. The Search results will have 4 columns of information per record. Name Job Title Company Name Location
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Dow Jones Risk & Compliance User Interface User Guide
Modify Executive Search Click Modify Executive Search to modify Executive Search criteria
New Executive Search Click New Search to create a new Executive search
Retrieving Executive Record Details From the Executive search results, click on through to the records details by clicking on the name. Each executive record will have a full snapshot which includes position, company and contact address, biography, executive details comprising all roles and additional information, compensation and list of colleagues...
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Dow Jones Risk & Compliance User Interface User Guide
News Search Dow Jones Risk & Compliance News Search feature allows Dow Jones Risk & Compliance Research users to perform news searches for people and entities in the Dow Jones Risk & Compliance database and the Factiva news archive.
The News Search tab will only be displayed and this feature will only be made available to users with News Research subscription.
Click News Search to open the news search homepage:
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Dow Jones Risk & Compliance User Interface User Guide
How to build a Dow Jones Risk & Compliance News Search Enter a name, or names, in the name field. Check the box next to this field to include these names in the News Search. To input multiple Names, please use an „Or‟ separator. In the Alias/AKA field, enter any name variations or aliases. Check the box next to this field to include these names in the News Search. To input multiple Names, please use an „Or‟ separator. Select one or more Regions to add these criteria to a search. Double click a region to exclude this criterion from the search. Select one or more Languages to add these criteria to a search. Double click a language to exclude this criterion from the search. Select a Date to search for news published over a specific timeframe. Custom date ranges can also be provided using the “Enter date range” option. Choose how to sort news search results by selecting a value from the Sort results by list. The default sort order is by Relevance. When accessing News Search from a Risk Database profile details screen, the required information is auto-populated in the fields. When accessing News Search from a Corporate Connections profile details screen, the name field is auto-populated.
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Dow Jones Risk & Compliance User Interface User Guide
Dow Jones News Filters: Select a News Filter from the list displayed to include the filter in the news search. Please refer to Dow Jones Risk & Compliance News Filter section for more information on Filters.
Run Search Click this to execute the news search.
Back Click this to go back to the previous page.
Clear Search Click this will clear all inputted search criteria and reset all filter to their defaults Note: Name, Alias/AKA/Original Script Names and Region fields will be propagated with information from Dow Jones Risk & Compliance profiles when a user navigates to News Search from Dow Jones Risk & Compliance Profile Details page:
Name field will be propagated with information from the Corporate Connections profiles when a user navigates to News Search from a Corporate Connections Profile Details page:
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Dow Jones Risk & Compliance User Interface User Guide
A Name search on Risk Database with no results will make the search term linkable to News search and Name field will be propagated with the search term.
Names from the following countries will be displayed in Surname, First Name order, as per local cultural practices. This approach will ensure more accurate news searching:
Cambodia
China
Hong King
North Korea
South Korea
Taiwan
Vietnam
All search terms that are propagated automatically into the News Search can be manually edited. Users can also enter additional search criteria. The logic of a News Search strategy is: (Name or Alias/AKA) AND Region AND Language AND News Search Filter Click Return to Dow Jones Risk & Compliance Profile to return to the Dow Jones Risk & Compliance profile from which a News Search was run or Return to Corporate
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Dow Jones Risk & Compliance User Interface User Guide
Connection Profile to return to the Corporate Connections profile from which a News Search was run. Supported Original Script Names Languages are: o
Japanese(Kanji, Hiragana and Katakana)
o
Russian
o
Chinese(Simplified and Traditional)
o
Korean
o
Arabic
Viewing Dow Jones Risk & Compliance News Search Results If any stories from the Factiva news archive match your news search criteria, a list of search results is displayed:
Modify News Search Click Modify News Search to modify News Search criteria
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Dow Jones Risk & Compliance User Interface User Guide
New Search Click New Search to create a new News search
Sort Results by provides options for sorting News Search results. View as provides options for displaying News Search results. Search Summary reveals News Search preview information tab:
Click
to format this preview for printing.
View Selected
opens selected news stories.
RTF
opens selected stories in rich text format.
Save
prepares all selected stories for saving.
Email
formats stories for emailing.
Note: A maximum of 25 articles can be selected from any set of News Search results. Users will receive the following alert is more than 25 articles are selected: “Warning: You can select a maximum of 25 articles”
Display News Search articles in Rich Text Format (RTF)
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Dow Jones Risk & Compliance User Interface User Guide
• Select one or more articles from the New Search results list click “RTF” .The article will be displayed in RTF format in MS Word. • “RTF” formats stories for displaying in two formats:
• Headline Format displays article headlines in RTF format. • Article Format displays full-text article in RTF format.
Note: If a popup blocker is in use, hold CTRL and click the RTF button, keeping CTRL pressed until a window appears, prompting to Open, Save or Cancel.
How to send News Search stories via email Select a story the News Search results and click the Email icon (
):
Entering the Recipient's E-mail and Reply-To e-mail address is mandatory. All selected articles are the default option for sending all selected stories (as an html attachment) to the E-Mail Recipient(s). On selecting Article Range, a range of stories can sent (as a HTML attachment) to the E-Mail Recipient(s).
Cancel Click Cancel to return to the News Search results.
Send Click Send to send stories to the E-Mail Recipient(s).
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Dow Jones Risk & Compliance User Interface User Guide
Administration Overview The Dow Jones Risk & Compliance Administration feature allows a permissioned administrator to set the content and Risk Score settings, set default content set setting, set search type options, manage News Filters and enable Exclusion Rule of all user accounts contained within an administration group.
The Administration tab will only be displayed and these settings will only be made available to permissioned administrators
Click on the Administration tab to open the administration homepage:
Account Settings Account Settings provides administrators the capability to enable or disable Risk Score settings, exclude the profiles of deceased people from searches, enable/disable Exclusion Rule, Set the default content set selection and set the search type options.
Click Account Settings to navigate to the Account Settings page:
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Dow Jones Risk & Compliance User Interface User Guide
Checking Enable Risk Score feature will activate the inclusion of all defined Risk Score settings in users‟ search results. Not selecting Enable Risk Score will exclude all defined Risk Score settings from users‟ search results.
Checking Exclude deceased people will exclude profiles of deceased people from search results sets. Not checking Exclude deceased people will include profiles of deceased people in users‟ search results.
Exclusion Rule The Exclusion Rule is a measure of the likelihood of a PEP having been born before or after a specified range of years. Exclusion Rule is disabled by default.
Checking Enable Exclusion Rule will apply Exclusion Rule to qualified PEP records. Not selecting Enable Exclusion Rule will disable Exclusion Rule.
Check Enable Exclusion Rule and then Click Submit to finalise enabling of Exclusion Rule.
Administrators may learn more about Exclusion Rule by clicking on the i icon beside Enable Exclusion Rule.
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Dow Jones Risk & Compliance User Interface User Guide
Default Content Set Content set settings will allow the administrator to configure the default content set selection of their users, Content set will continue to be configurable by users. It will not be possible to select Adverse Media only, if Adverse Media is checked, Watchlist will also be checked. Select the Content Sets and then click Submit to save the configured setting. Administrators may learn more about the content sets by clicking on the i icon beside Default Content Set.
Search Type Options The Search type selections here will be the available search type options for users of the account. Select the Search type option and then Click Submit to save the configured setting. To reset to the previously saved configuration, click Reset.
PEP Definition Filter The PEP Definition Filter provides administrators with options to set modify and remove Regions and/or Occupation Categories from Dow Jones Risk & Compliance search results. These settings determine the range of Regions and Occupation Category, thereby making this information available to users when they view profiles. Click PEP Definition Filter to open the PEP Definition administration page.
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Dow Jones Risk & Compliance User Interface User Guide
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Dow Jones Risk & Compliance User Interface User Guide
How to exclude Regions from search results Select a Region, or Regions, and click Submit to exclude a region from users‟ search results. Regions selected to be excluded from search results will be displayed in upper Regions list.
This action will exclude profiles containing the selected Region value(s) in the Citizenship, Resident, Jurisdiction, Reported Allegations of fields for Persons or Country of Affiliation, Registration or Reported Allegations fields for Entities. Note: A profile will not be excluded from user‟s results if it contains any values in these fields that are not in the exclusion list. For example, if “Afghanistan” region is selected for Exclusion, it will not be available in the Region filters; however, profiles containing “Afghanistan” and one or more different region values will remain searchable. Pres CTRL and select Regions to exclude multiple regions from users‟ search results.
How to exclude PEP Occupation Categories from search results Select a PEP Occupation Category and click Submit to exclude a PEP Occupation Category from users‟ search results. This action will exclude profiles that have been classified to the selected PEP Occupation Categories. PEP Occupation Categories selected to be excluded from search results will be displayed in upper PEP Occupation Categories list. A profile will not be excluded from users‟ results if it contains a Special Interest Person category or a Sanction/Other Official list or any other PEP Category except the ones that have been marked for exclusion.
Press CTRL and select PEP Occupation Categories to exclude multiple occupation categories from users‟ results.
Select Do Not Exclude to remove a Region or PEP Occupation Category from an exclusion list.
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Dow Jones Risk & Compliance User Interface User Guide
Back To navigate back to the Administration homepage click Back.
Risk Scores Risk Scores are intended to assist end users with determining the level of potential risk of a Politically Exposed Person as determined by an Administrator. Permissioned administrators can use the Risk Score feature to provide their users with guidance on the potential risk of PEP Occupation Categories and Regions.
Click Risk Scores to open the Risk Score administration page:
Risk Scores are determined by Administrators who assign a score of 1 to 5 for selected Regions and PEP Occupation Categories (Note: 1=low, 5=high).
PEP Risk Scores are calculated using the following formula: [Region Risk Score (1to5) + PEP Occupation Category Risk Score (1to5)] x 10
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Dow Jones Risk & Compliance User Interface User Guide
Examples Green Region Risk Score of 1 plus Occupation Risk Score of 2 produces a final Risk Score of 30%
Amber Region Risk Score of 4 plus Occupation Risk Score of 1 produces a final Risk Score of 50%.
Red Region Risk Score of 3 plus Occupation Risk Score of 5 produces a final Risk Score of 80%.
Setting Risk Scores for Regions Select a Region from the list for which a Risk Score is to be assigned. Select a Risk Score for the selected Region and click Submit to add the score to the Risk Score matrix.
Setting Risk Scores for PEP Occupation Categories Select a PEP Occupation Category from the list for which a Risk is to be assigned. Select a Risk Score for the selected Region and click Submit to add the Score to the Risk Score matrix.
Deleting Risk Score To delete categories and/or regions from the Risk Score matrix, click on a Risk Score number value and then click on Delete in the popup window...
Display of Risk Scores Risk Score information is displayed in all profiles that contain a Region and/or PEP Occupation Category that have been included in the Risk Score matrix.
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Dow Jones Risk & Compliance User Interface User Guide
Notes: Click the Risk Score Flag in a PEP profile to view the exact Risk Score for that individual based upon his or her region and occupation.
If the PEPs country of citizenship and country of residence differ, the country with the higher Risk Score will be used in the calculation.
Export Data Click “Export Data” to export Risk Score settings to a MS Excel spreadsheet.
Note: If a popup blocker is installed, it is recommended to hold the CTRL button and click Export Data; keep CTRL held until a window asking to Open, Save or Cancel the report appears.
Add Custom Messages Click Add Custom Message to open a popup window to where custom messages/guidelines for the each colour Risk Score can be saved. This information is displayed in the Risk Score Guidance section of a selected profile when the Risk Score icon is selected:
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Dow Jones Risk & Compliance User Interface User Guide
Back To navigate back to the Administration homepage click Back.
News Filter Settings News filters are Administrator search strategies that users can employ when looking for news about peoples and entities included in Factiva. The Dow Jones Risk & Compliance Administration feature allows a permissioned administrator to build and save news filters. Click “News Filter Settings” to open the news Filter Builder page:
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Dow Jones Risk & Compliance User Interface User Guide
How to build a News Filter? In the Name field, enter the name of the filter. The maximum number of characters allowed for this field is 50. The “Examples” link contains useful information on building the search string. In the Free Text field, enter any text and/or Factiva search query language. The maximum number of characters allowed for this field is unlimited. Add any required Dow Jones Intelligent Indexing Crime/National Security or Language codes.
Note: There is no limitation on the number of News Filters that can be saved.
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Dow Jones Risk & Compliance User Interface User Guide
Selecting a Subject Click Subject or the “+” sign preceding it to expand the list of subjects. A list of Crime/National Security subjects is displayed. Click “+” preceding the name of the subject to view its respective sub-items. Select one or more items from this list to add them to the search criteria. Double click a subject to exclude it from a News Filter.
Selecting a Language: Click Language or the “+” sign preceding it to expand the list of languages. A list of languages is displayed. Select one or more items from the list to add them to the search criteria. Double click a language to exclude it from a News Filter.
More options are available to further refine News Filters: Search for free-text terms in – selects where the News Filter will look for matches in news stories. Exclude – selects the types of news story to be excluded by the News Filter, e.g. „Obituaries, Sport, Calendars, etc.
Save Filter Click Save Filter to save the News Filter.
Clear Filter Click Clear Filter to clear criteria from a News Filter.
How to view Saved News Filters? Click Saved News Filters to view the saved filters. A list of saved News Filters is displayed. Click Delete Filter to delete a News Filter.
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Dow Jones Risk & Compliance User Interface User Guide
Click Select Filter to open a News Filter for editing.
Back To navigate back to the Administration homepage click Back.
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