information services for comprehensive compliance...20 years depth of archive 17,5 million notices...

INFORMATION SERVICES FOR COMPREHENSIVE COMPLIANCE

YAKOVLEV SERGEYINTERFAX GROUP

RISK & COMPLIANCE PRODUCT MARKET

CLIENT IDENTIFICATION

PERSON’S SCREENING: PEP’S, CLOSE ASSOCIATES, SANCTIONS…

INTERFAX INFORMATION SYSTEMS

1. KYC, legal entities and persons linkages identification, GBO analysis

2. FATF requirements and Russian AML laws special compliance product

SPARK IN NUMBERS

30 million registration data on legal entities and private entrepreneurs

More than 65official sources

14 years presence on the market

0,5 million data on payment discipline of legal entities

20 yearsdepth of archive

17,5 millionnotices of bankruptcies and arbitration court cases

24 million commercial and government contracts

27 millionfinancial statements

SPARK KEY SOURCES

Interfax Payment Monitoring systemInformation on payment discipline of legal entities and private entrepreneurs

Federal State Statistics ServiceClassification codes, details of companies and accounting statements

Central Bank of RussiaReporting by banks and companies in the financial sector

Corporate Information Disclosure CenterReporting, issue of securities, corporate events, incorporation

Federal TreasuryState contracts, register of mala fide suppliers

Federal Service for Intellectual PropertyIntangible assets and trademarks

SCANSystem of media monitoring and analysis

RISK FACTORSBankruptcies, litigation, ownership changes

Supreme Court of the Russian FederationArbitration cases, claims, enforcement proceedings

Single Federal Bankruptcies Information RegisterAnnouncements about bankruptcies, sale of property, securities

State Registration BulletinAnnouncements about the reorganization and liquidation of legal entities

REGISTRATION DATARegistration of companies and individual entrepreneurs

Federal Tax ServiceUnified State Register of Legal Entities, Unified State Register of Individual Entrepreneurs

Dun & BradstreetBusiness information on legal entities all over the world

REPORTINGAnnual and quarterly reporting by legal entities

ACTIVITYParticipation in tenders, audits, staff recruitment

COMPANY CARD

UBOS & AFFILIATIONS

NEW RISK MEASURING

X-Compliance – simple and usable web interface to be

compliant with KYC requirements

Transition from data extraction to its classification and deep analysis, routine process automatisation

Red flag reports under risk-oriented approach

Bulk client verification with setting up of search parameters

Daily update of PEP’s lists

Russian and Global sanction and terrorists lists

Information on incomes and property of civil servants

9

Persons

Companies

Subsidiaries

Shareholders

Counterparties

Representatives

Ultimate Beneficiaries

Owners

Governing body

Executives

Beneficiaries

Board of directors

Legal entity

ASSESSMENT STEPS:

1. Finding connections between individuals and companies

2. Company's risk factors in accordance with 499-PCentral bank requirements

3. Sanction screening, PEP’s matching, reputation monitoring

Compliance Risks

Country risk

Reputation

Financial Strength

PEP’s

Sanctions

MULTI-STAGE RISK ASSESSMENT

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PROFILE MANAGING STEPS:

1. Compliance risks allocation, which are critical for yourcompany.

2. Adjustment of the risk boundary for each of the factors (green, yellow, red levels).

3. Front-office risk assessment.

Санкции

ПДЛ

Финансовое положение

Проверка на аффилированность

Деловая репутацияСтадии ликвидации и банкротства

Страновой риск

Негативныя информация в СМИ

Пользовательские признаки

Санкции

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Санкции

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Санкции

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Sanctions

Country Risk

Financial Strength

Reputation

PEP’sUser’s factors to monitor

Affiliation check

Liquidation monitoring

Negative media environment

MANAGING YOUR COMPLIANCE RISK PROFILE

THANK YOU FOR YOUR ATTENTION!

YAKOVLEV [email protected]

information services for comprehensive compliance...20 years depth of archive 17,5 million notices...

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