2071 WCoData Spec Text FATCAPlus 1.0

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E D U G E C N E R E F E R L A C I N H C E T

Text File Specification

for Files with FATCA (Foreign Account Tax Compliance Act) Data in LexisNexis® WorldCompliance™ Data Plus

This publication provides information about version 1.0 of the All Segments file. FATCA data is not available in the Sanctions & Enforcements file or the Sanctions file.

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CONFIDENTIAL

The recipient of this material (hereinafter "the Material") acknowledges that it contains confidential and proprietary data the disclosure to, or use of which by, third parties will be damaging to LexisNexis Risk Solutions and its affiliated companies (hereinafter "LexisNexis Risk Solutions"). Therefore, recipient agrees to hold the Material in strictest confidence, not to make use of it other than for the purpose for which it is being provided, to release it only to employees requiring such information, and not to release or disclose it to any other party. Upon request, recipient will return the Material together with all copies and modifications, if any, to LexisNexis Risk Solutions.

LexisNexis Risk Solutions shall not be liable for technical or editorial errors or omissions contained herein. The information in this publication is subject to change without notice and is provided "as-is" without a warranty of any kind. Nothing herein should be construed as constituting a warranty, as any applicable warranty is exclusively contained in your signed agreement with LexisNexis Risk Solutions.

All names, addresses, birth dates or other identifying information in the text, or on the sample reports and screens shown in this document, are of fictitious persons and entities and have been created for illustrative purposes only. Any similarity to the name of any real person, school, business, other entity, address, date of birth, or other identifying information is purely coincidental.

LexisNexis and the Knowledge Burst logo are registered trademarks of RELX Inc. WorldCompliance is a registered trademark of World Compliance, Inc. WorldCompliance is a trademark of World Compliance, Inc. Other products and services may be trademarks or registered trademarks of their respective companies.

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Con t ent s

WorldCompliance Data Plus. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Full Files and Delta Files. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Import WorldCompliance Delta Files. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Data Organization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7

GUID Keys. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Text File Specification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11

AssociatedEntity File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

ConsolidatedSanction File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Entity File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

EntityAddress File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

EntityAdverseMedia File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

EntityAdverseMediaSubCategory File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

EntityAlias File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16

EntityCountryAssociation File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

EntityDOB File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

EntityDeletes File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

EntityEnforcement File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

EntityEnforcementSubCategory File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

EntityIdentification File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20

EntityPEP File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

EntityPEPSubCategory File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

EntityPosition File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

EntityRelationship File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

EntityRemark File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

EntitySanction File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

EntitySOE File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

EntitySOEDomain File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

EntitySOESubCategory File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

EntitySourceItem File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

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FATCARegInst File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

IHSOFACVessels File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .29

IHSRegVessels File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

MarijuanaRegBus File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

OwnershipOrControl File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

SWIFTBICEntity File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

UAEMSB File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .37

USMSB File. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .38

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Wo rldC o mp liance Data Plus

The LexisNexis® WorldCompliance™ Data Plus service lets you incorporate the LexisNexis® WorldCompliance™ files into your processing. WorldCompliance data can help your organization identify individuals, companies, and other entities as part of a risk-based approach to AML (anti-money laundering) and CTF (counter-terrorist financing) screening.

Entity Profiles

WorldCompliance data includes profiles for directly-qualifying entities and profiles for indirectly-qualifying entities. Entities directly qualify for inclusion because they are linked to WorldCompliancesegments. Entities indirectly qualify for inclusion because they are related to or have associations with entities that directly qualify, but do not directly qualify on their own.

The entity profiles included in your WorldCompliance data also depend on your service subscription. For example, you must formally request Registrations data.

About This Publication

LexisNexis® Risk Solutions offers the All Segments file with FATCA (Foreign Account Tax Compliance Act) data. This data is not available in the Sanctions & Enforcement file or the Sanctions file.

This publication explains the structure of the All Segments file when provided in a text format. LexisNexis Risk Solutions can also provide this file in an XML format.

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Additional Documentation

Additional WorldCompliance documentation is available that provides more specific information about the following topics:

• WorldCompliance Data Plus in XML format

See the Text File Specification for LexisNexis® WorldCompliance™ Data Plus technical reference guide for FATCA at https://lnrs.my.site.com/CustomerSup...s/article/2071.

• WorldCompliance Data Plus overview

See the LexisNexis® WorldCompliance™ Data Plus technical reference guide at https:// lnrs.my.site.com/CustomerSupportHub/s/article/2037.

• Entity inclusion criteria

See the Entity Inclusion Principles for LexisNexis® WorldCompliance™ Data technical white paper at https://lnrs.my.site.com/CustomerSup...s/article/2022.

• Segments

See the Segments for LexisNexis® WorldCompliance™ Data Plus technical reference guide at https:// lnrs.my.site.com/CustomerSupportHub/s/article/2481.

• Data sources

See the Data Sources for LexisNexis® WorldCompliance™ technical reference guide at https:// lnrs.my.site.com/CustomerSupportHub/s/article/1952.

Full Files and Delta Files

You use full files and delta files to manage your WorldCompliance data. Each set of files includes the Entity parent file and all the children files that relate to the parent file. LexisNexis Risk Solutions provides the set of text files as a zipped file. The text files are provided in a DSV (delimiter-separated values) text format that uses the pipe character (|) as the delimiter. The files are UTF-8 encoded.

LexisNexis Risk Solutions provides a full file during the initial setup to load the entire set of WorldCompliance data. Full files contain every profile that you have purchased.

LexisNexis Risk Solutions periodically provides delta files for you to quickly update your WorldCompliance data. Delta files contain the changes that occurred since the previous delta file was generated. You must use all the files in chronological order.

For updated profiles, the delta file includes the parent record and all children records regardless of which specific record was changed. For updated profiles of directly-qualifying entities, delta files also include all profiles for the indirectly-qualifying entities that are related to or have associations with the updated entity, including related or associated profiles that have not changed.

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Text delta files include a delete file that you use as a reference to delete the entity profiles that are no longer included in the WorldCompliance data. You delete the parent record that is included in your delta file. You should delete the entity profiles that are listed in the delete file and the child records that are related to the profile to help ensure that there is no orphaned data or broken links.

If you miss a delta file, then you can use a full file to update the data. You can also use full files to periodically refresh your data.

For more information about how LexisNexis Risk Solutions provides data files, see the LexisNexis® WorldCompliance™ Data Plus technical reference guide.

Import Wor ld Co mp li ance Delta Files

You import delta files to include updates and additions to your existing WorldCompliance data.

Procedure:

For each EntityGUID key that is listed in the EntityDeletes file, delete the parent records and related child records that exist in your data storage application.

For each EntityGUID key that is listed in the Entity file where IsRelatedEntity=0, delete the parent records and related child records that exist in your data storage application.

For each EntityGUID key that is listed in the Entity file where IsRelatedEntity=0, insert the parent records and related child records from the delta file into your data storage application.

Review each EntityGUID key that is listed in the Entity file where IsRelatedEntity=1. If the LastUpdated value in the Entity file is greater than the LastUpdated value in your data storage application, then update the parent records and related child records in your data storage application with the corresponding records in the delta file.

Data Organization

A WorldCompliance profile is comprised of a record in the Entity parent file and all the records in children files that are related to the parent record. An Entity parent record can have a one-to-many relationship with the children files. Multiple records in a child file can be related to a record in a parent file, but a record in a child file can only be related to one record in a parent file.

The Entity parent file contains the profiles of directly-qualifying entities or indirectly-qualifying entities. See "Entity File" on page 12.

The EntityDeletes file contains information about profiles that should be deleted from your data. Only delta files include EntityDeletes files. See "EntityDeletes File" on page 18.

The children files provide the following types of data:

Core Entity Data

WorldCompliance includes core data for each entity in the database.

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The following files contain key identifying information for each entity:

• EntityAddress

See "EntityAddress File" on page 14.

• EntityAliases

See "EntityAlias File" on page 16.

• EntityCountryAssociation

See "EntityCountryAssociation File" on page 16.

• EntityDOB

See "EntityDOB File" on page 17.

• EntityIdentification

See "EntityIdentification File" on page 20.

The following files contain inclusion reasons, entity relationships, and data sources for each entity:

• EntityPosition

See "EntityPosition File" on page 23.

• EntityRelationship

See "EntityRelationship File" on page 24.

• EntityRemark

See "EntityRemark File" on page 24.

• EntitySourceItem

See "EntitySourceItem File" on page 28.

Data Segments

WorldCompliance includes data segments for the risk categories to which the directly-qualifying entities are linked. For more information about data segments, see the Segments for LexisNexis® WorldCompliance™ Data Plus technical reference guide. The following files contain adverse media information:

• EntityAdverseMedia

See "EntityAdverseMedia File" on page 15.

• EntityAdverseMediaSubCategory

See "EntityAdverseMediaSubCategory File" on page 15.

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The following files contain enforcement information:

• EntityEnforcement

See "EntityEnforcement File" on page 18.

• EntityEnforcementSubCategory

See "EntityEnforcementSubCategory File" on page 19.

The following files contain PEP (politically exposed person) information:

• EntityPEP

See "EntityPEP File" on page 21.

• EntityPEPSubCategory

See "EntityPEPSubCategory File" on page 23.

The following files contain sanctions information:

• EntitySanction

See "EntitySanction File" on page 25.

• IHSOFACVessels

See "IHSOFACVessels File" on page 29.

The following files contain SOE (state-owned enterprise) and SWF (sovereign wealth fund) information:

• EntitySOE

See "EntitySOE File" on page 26.

• EntitySOEDomain

See "EntitySOEDomain File" on page 27.

• EntitySOESubCategory

See "EntitySOESubCategory File" on page 28.

Additional Data Segments

WorldCompliance includes additional data segments for entities that are associated with sanctioned entities, but that may not be sanctioned themselves.

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The following files contain information about entities that are associated with an entity that is listed in a targeted sanctions source:

• AssociatedEntity

See "AssociatedEntity File" on page 11.

• OwnershipOrControl

See "OwnershipOrControl File" on page 36.

• SWIFTBICEntity

See "SWIFTBICEntity File" on page 36.

Registrations Data

The Registrations data contains information about entities that have registered with certain regulatory agencies for specific purposes. An entity's inclusion in a Registrations source may indicate the entity is conforming to regulation, particularly in the case of the FATCA Reg Inst (FATCA Registered Institutions) segment. To receive Registrations data, you must formally request that your service subscription includes the data. The following files contain Registrations information:

• FATCARegInst

See "FATCARegInst File" on page 29.

• IHSRegVessels

See "IHSRegVessels File" on page 32.

• MarijuanaRegBus

See "MarijuanaRegBus File" on page 35.

• UAEMSB

See "UAEMSB File" on page 37.

• USMSB

See "USMSB File" on page 38.

Consolidated Sanctions List Data

The ConsolidatedSanction file indicates which sanctioned entity profiles are part of the WorldCompliance Consolidated Sanctions List source. See "ConsolidatedSanction File" on page 12.

GUID K eys

LexisNexis Risk Solutions uses GUID (globally unique identifier) keys to relate records to each other.

Each record in a file includes a GUID primary key that LexisNexis Risk Solutions uses to identify the record. Typically, this primary key is contained in a field with a similar name to the file name. For example, each record in the EntityAlias file includes an EntityAliasGUID field that contains the primary key.

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Each child record also includes a GUID foreign-key reference that relates the child record to a parent record. Typically, this foreign-key reference is contained in a field with a similar name to the parent record's primary key. For example, each record in the EntityAlias file includes an EntityGUID field that contains the foreign-key reference.

WorldCompliance profiles can also be related to each other through GUID keys. The EntityRelationship file includes a foreign-key reference field that relates the EntityRelationship record's parent Entity record to another, separate Entity record.

Text F il e Specification

The text file specification explains the fields in each file.

Data is provided as a text string. Each field may have a maximum character length. MAX indicates that the field has no character limit.

AssociatedEntity File

The AssociatedEntity file contains information about entities who are associated with the sanctioned entities.

The Associated Entity segment contains information about family members and associates of sanctioned entities, when the associated entity is mentioned in targeted sanctions lists.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the record subcategory. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS. This field contains the WorldCompliance source that published the information.

AssociatedEntityGUID

SubCategoryLabel LastUpdated

40 23

Source Name

200

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ConsolidatedSanction File

The ConsolidatedSanction file contains a foreign-key reference to a consolidated sanctions profile for each sanctioned entity.

A consolidated sanctions profile is a collection of data that the single sanctions sources provide for the entity as well as data from publicly available, non-sanctions sources and from various WorldCompliance value-added sources. There is one consolidated profile for each sanctioned entity in the WorldCompliance database.

Field Descriptions

Field Name

Size

Description

ConsolidatedSanctionGUID

This field contains a GUID primary key that is unique to the record. This field contains a GUID foreign-key reference to a parent consolidated sanctions profile with the same EntityGUID key. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

EntityGUID

LastUpdated

Entity File

The Entity file contains the parent profiles of directly-qualifying entities and of indirectly-qualifying entities.

For an individual entity type, the entity name is provided in the following ways:

• The Name field contains the entity's unparsed full name. • The FirstName, MiddleName, LastName, Prefix, Suffix, and Title fields contain the entity's parsed

name components.

For aircraft, country, organization, or vessel entity types, the entity name is provided in the Name field and in the LastName field.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID primary key that is unique to the record. This field contains the entity type. This field contains the entity's gender.

EntityTypeDesc Gender

20 20

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Field Descriptions (Continued)

Field Name

Size

Description

Name

500

This field contains the entity's unparsed name. For individuals, the format is LastName, FirstName MiddleName.

FirstName MiddleName LastName

100 100 255

This field contains an individual entity's first name. This field contains an individual entity's middle name. This field contains an individual entity's last name or a non-individual entity's full name. This field contains an individual entity's name prefix. This field contains an individual entity's name suffix. This field contains an individual entity's title. This field indicates whether the entity is deceased. A value of 1 (True) indicates that the entity is deceased. A value of 0 (False) indicates that the entity is alive, or that the entity's deceased state is unknown or not applicable (for example, if the entity is not an individual).

Prefix Suffix Title IsDeceased

30 10 500 1

DeceasedYear DeceasedMonth DeceasedDay IsRelatedEntity

4 2 2 1

This field contains the deceased date year. This field contains the deceased date month. This field contains the deceased date day. This field indicates whether the entity is included in the data because of a relationship to another entity. A value of 1 (True) indicates that the profile is for an indirectly-qualifying entity. A value of 0 (False) indicates that the profile is for a directly-qualifying entity. Relationship information is provided in the EntityRelationship file.

Regardless of the value in this field, the entity profile may have relationships with other entity profiles in the data set.

EntityID

This field contains a GUID primary key that is unique to the record. This field contains a GUID foreign-key reference that links the record to records with the same GUID key in the LexisNexis® WorldCompliance™ Online Search Tool (OST). This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

LookupID

LastUpdated

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EntityAddress File

The EntityAddress file contains the address information that is associated with directly-qualifying entities or indirectly-qualifying entities.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the address type. This field contains the address line 1 information (for example, street address). This field contains the address line 2 information (for example, apartment number or suite number). This field contains the address city. This field contains the address state, province, or region. This field contains the address postal code. This field contains the address country or territory. This field contains a standard code of letters that refer to the specific country or territory. Possible values: ISO (International Organization for Standardization) Alpha-3 Code

EntityAddressGUID

AddressTypeDesc Address1

40 255

Address2

255

City StateProvinceRegion

50 50

PostalCode Country ISOStandard

15 100 40

This is an international three-letter code.

ISO Alpha-4 Code

This is an international four-letter code for a country that no longer exists.

WorldCompliance Alpha-3 Code

This three-letter code is assigned by LexisNexis Risk Solutions when an official ISO code does not exist.

LastUpdated

This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

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EntityAdverseMedia File

The EntityAdverseMedia file contains the Adverse Media incidents that are associated with directly- qualifying entities.

The Adverse Media segment contains information about entities that are linked to AML and CTF illicit activities based on news that is published by credible media sources. This adverse media information has been constructed by WorldCompliance researchers from news that is published in dozens of languages.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the adverse media type. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

EntityAdverseMediaGUID

AdverseMediaDesc LastUpdated

MAX 23

EntityAdverseMediaSubCategory File

The EntityAdverseMediaSubCategory file contains the Adverse Media segment subcategories that are associated with the EntityAdverseMedia records.

Field Descriptions

Field Name

Size

Description

EntityAdverseMediaGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same GUID key. This field contains a GUID primary key that is unique to the record. This field contains the record subcategory. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

EntityAdverseMediaSubCategoryGUID

SubCategoryLabel LastUpdated

40 23

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EntityAlias File

The EntityAlias file contains the aliases that are associated with directly-qualifying entities or indirectly- qualifying entities.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the alias type. This field contains a description in English of the alias script type. This field contains the native script name. This field contains the first name. This field contains the middle name. This field contains the last name or the non-individual alias name. This field contains the name prefix. This field contains the name suffix. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

EntityAliasGUID

AliasTypeDesc EnglishDescription

50 40

Name FirstName MiddleName LastName

500 100 100 255

Prefix Suffix LastUpdated

30 10 23

EntityCountryAssociation File

The EntityCountryAssociation file contains the countries that are associated with directly-qualifying entities or indirectly-qualifying entities.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the type of association that the entity has with a country. This field contains the associated country or territory.

EntityCountryAssociationGUID

AssociationTypeDesc

AdministrativeUnitName

100

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Field Name

Size

Description

ISOStandard

This field contains a standard code of letters that refer to the specific country or territory. Possible values: ISO Alpha-3 Code

This is an international three-letter code.

ISO Alpha-4 Code

This is an international four-letter code for a country that no longer exists.

WorldCompliance Alpha-3 Code

This three-letter code is assigned by LexisNexis Risk Solutions when an official ISO code does not exist.

OwnershipPercentageCalc

This field contains the country ownership percentage for an SOE. The percentage calculation is based on the company- to-company relationships in the ownership tree of the SOE, as indicated in the OwnershipPercentage entry in the EntityRelationship data. The former ownership percentage may be retained in this field when the IsActive field in the EntitySOE data has a value of 0. The value is a maximum five-digit number, with two digits always in the decimal place (for example, 100.00 or 45.98).

LastUpdated

This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

EntityDOB File

The EntityDOB file contains the DOB (date of birth) values that are associated with directly-qualifying entities or indirectly-qualifying entities.

Field Descriptions

Field Name

Size

Description

EntityGUID

EntityDOBGUID

BirthYear BirthMonth

4 2

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Size

Description

Field Name

2 23

This field contains the DOB day. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

BirthDay LastUpdated

EntityDeletes File

The EntityDeletes file lists the entity profiles that have been deleted from the WorldCompliance database since the previous delta file was generated.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates to a parent profile record that you should delete from your database, along with all associated child data. This field contains the date when the entity profile was deleted. The format is yyyy-MM-dd hh:mm:ss:SSS.

DateDeleted

EntityEnforcement File

The EntityEnforcement file contains the Enforcement incidents that are associated with directly- qualifying entities.

The Enforcement segment contains information that originates from monitoring material that is published by official government agencies, international organizations, industry regulators, and disciplinary boards for events that meet qualifying standards and definitions.

Field Descriptions

Field Name

Size

Description

EntityGUID

EntityEnforcementGUID

EnforcementDesc

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Field Name

Size

Description

SourceName

200

This field contains the WorldCompliance source that published the information. The sources are subject to change.

SourceNameAbbrev

This field contains the WorldCompliance source name abbreviation. This field contains the country or territory where the enforcement source is published. This field contains a standard code of letters that refer to the specific country or territory. Possible values: ISO Alpha-3 Code

AdministrativeUnitName

100

ISOStandard

This is an international three-letter code.

ISO Alpha-4 Code

This is an international four-letter code for a country that no longer exists.

WorldCompliance Alpha-3 Code

This three-letter code is assigned by LexisNexis Risk Solutions when an official ISO code does not exist.

LastUpdated

This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

EntityEnforcementSubCategory File

The EntityEnforcementSubCategory file contains the Enforcement segment subcategories that are associated with the EntityEnforcement records.

Field Descriptions

Field Name

Size

Description

EntityEnforcementGUID

EntityEnforcementSubCategoryGUID

SubCategoryLabel LastUpdated

40 23

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EntityIdentification File

The EntityIdentification file contains the IDs that are associated with directly-qualifying entities or indirectly-qualifying entities.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the country or territory that issued the identification. This field contains a standard code of letters that refer to the specific country or territory. Possible values: ISO Alpha-3 Code

EntityIdentificationGUID

AdministrativeUnitName

100

ISOStandard

This is an international three-letter code.

ISO Alpha-4 Code

This is an international four-letter code for a country that no longer exists.

WorldCompliance Alpha-3 Code

This three-letter code is assigned by LexisNexis Risk Solutions when an official ISO code does not exist.

IdentificationIssuer

255

This field contains the agency that issued the identification. This field contains the ID type. This field contains the ID number that is associated with the entity. This field contains the ID issue year. This field contains the ID issue month. This field contains the ID issue day. This field contains the ID expiration year. This field contains the ID expiration month. This field contains the ID expiration day. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

IdentificationTypeDesc IdentificationNumber

85 20

IssueYear IssueMonth IssueDay ExpirationYear ExpirationMonth ExpirationDay LastUpdated

40 2 2 4 2 2 23

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EntityPEP File

The EntityPEP file contains the PEP roles that are associated with directly-qualifying entities.

The PEP segment contains information about individuals who act in a senior prominent public function and their family members and associates. The PEP database adheres to FATF (Financial Action Task Force) and Wolfsberg Group global standards. Coverage is ensured by the PEP framework where entities are identified and organized by the country's or territory's structure of governance.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field indicates whether the entity is a primary PEP. A value of 1 (True) indicates that the entity is a primary PEP. A value of 0 (False) indicates that the entity is a secondary PEP.

EntityPEPGUID

IsPrimaryPEP

IsActivePEP

This field indicates whether the PEP role is active. A value of Y (Yes) indicates that the PEP role is active. A value of N (No) indicates that the PEP role is inactive. A blank value indicates that the entity is a secondary PEP with a subcategory value that is not MSOE or MSWF. These secondary PEP records do not have PEP role information.

IsInCountryPEPOnly

This field indicates whether the PEP role has been identified from a country-specific definition. A value of Y (Yes) indicates that the PEP role is defined in a sovereign state's national regulation that does not meet global standards. A value of N (No) indicates that the PEP role meets global standards. No value is applied to secondary PEP records.

PEPAdminLevelDesc

This field contains the WorldCompliance label for the PEP role level of government.

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Field Name

Size

Description

ISOAdministrativeUnitLevel0

100

This field contains a standard code of letters that refer to the specific country or territory. Possible values: ISO Alpha-3 Code

This is an international three-letter code.

ISO Alpha-4 Code

This is an international four-letter code for a country that no longer exists.

WorldCompliance Alpha-3 Code

This three-letter code is assigned by LexisNexis Risk Solutions when an official ISO code does not exist.

AdministrativeUnitLevel0

100

This field contains the top-level administrative unit of the PEP role within a government or organization. This field contains the first-level administrative unit of the PEP role within a government or organization. This field contains the second-level administrative unit of the PEP role within a government or organization. This field contains the third-level administrative unit of the PEP role within a government or organization. This field contains the fourth-level administrative unit of the PEP role within a government or organization. This field contains the authoritative body within a given area of government in which the PEP serves. This field contains the role within the governing institution in which the PEP serves. This field contains the PEP role effective year. This field contains the PEP role effective month. This field contains the PEP role effective day. This field contains the PEP role expiration date type. This field contains the PEP role expiration year. This field contains the PEP role expiration month. This field contains the PEP role expiration day. This field contains the PEP role effective date type. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

AdministrativeUnitLevel1

100

AdministrativeUnitLevel2

100

AdministrativeUnitLevel3

100

AdministrativeUnitLevel4

100

GoverningInstitution

100

GoverningRole

100

EffectiveYear EffectiveMonth EffectiveDay EffectiveDateTypeDesc ExpirationYear ExpirationMonth ExpirationDay ExpirationDateTypeDesc LastUpdated

4 2 2 100 4 2 2 100 23

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EntityPEPSubCategory File

The EntityPEPSubCategory file contains the PEP segment subcategories that are associated with the EntityPEP records.

Field Descriptions

Field Name

Size

Description

EntityPEPGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same GUID key. This field contains a GUID primary key that is unique to the record. This field contains the record subcategory. This field contains the record subcategory description. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

EntityPEPSubCategoryGUID

SubCategoryLabel SubCategoryDesc LastUpdated

40 MAX 23

EntityPosition File

The EntityPosition file contains the entity inclusion summaries about why WorldCompliance researchers added directly-qualifying entities or indirectly-qualifying entities.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains entity positions, titles, criminal convictions, sanctions, relationships, or other reasons the entity was included in the database. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

EntityPositionGUID

Position

500

LastUpdated

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EntityRelationship File

The EntityRelationship file contains the relationships of directly-qualifying entities or indirectly- qualifying entities.

Field Descriptions

Field Name

Size

Description

ParentEntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID foreign-key reference that links the record to a related entity profile with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the relationship type. This field contains the relationship description. This field contains the company-to-company ownership percentage that WorldCompliance researchers identity from open sources. The value is a maximum five-digit number, with two digits always in the decimal place (for example, 100.00 or 45.98).

RelatedEntityGUID

EntityRelationshipGUID

GroupDesc RelationshipDesc OwnershipPercentage

50 50 6

LastUpdated

This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

EntityRemark File

The EntityRemark file contains additional information about directly-qualifying entities or indirectly- qualifying entities.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record.

EntityRemarkGUID

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Field Name

Size

Description

Remark

MAX

This field contains information about the entity and summaries of articles that are associated with the entity. The aim of this data is to explain in more detail why the entity is included in the WorldCompliance database. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

LastUpdated

EntitySanction File

The EntitySanction file contains the Sanctions incidents that are associated with directly-qualifying entities.

The Sanctions segment contains information from targeted sanctions lists worldwide.

Each record includes a GUID foreign-key reference that relates the record to a record in the ConsolidatedSanction parent file.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the record subcategory. This field contains a GUID foreign-key reference that relates the record to the parent ConsolidatedSanction record with the same ConsolidatedSanctionGUID key. This field contains the WorldCompliance source that published the information. The sources are subject to change.

EntitySanctionGUID

SubCategoryLabel ConsolidatedSanctionGUID

40 36

SourceName

200

SourceNameAbbrev

This field contains the WorldCompliance source name abbreviation. This field contains the country or territory where the sanction source is published.

AdministrativeUnitName

100

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Size

Description

Field Name

This field contains a standard code of letters that refer to the specific country or territory. Possible values: ISO Alpha-3 Code

ISOStandard

This is an international three-letter code.

ISO Alpha-4 Code

This is an international four-letter code for a country that no longer exists.

WorldCompliance Alpha-3 Code

This three-letter code is assigned by LexisNexis Risk Solutions when an official ISO code does not exist.

This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

LastUpdated

EntitySOE File

The EntitySOE file contains the SOE information that is associated with directly-qualifying entities.

The SOE segment contains information about entities that are majority or minority owned by governments around the world.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record.

EntitySOEGUID

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Field Name

Size

Description

IsActive

This field indicates the current ownership status of the SOE and SWF entity. A value of 1 (True) indicates that there is active government ownership of the entity. A value of 0 (False) indicates that the entity was privatized or dissolved, or that the government otherwise divested ownership. When the value is 0, the former ownership percentage may be retained in the OwnershipPercentageCalc field in the EntityCountryAssociation data.

LastUpdated

This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

EntitySOEDomain File

The EntitySOEDomain file contains the SOE segment domains that are associated with the EntitySOE records.

Domains in the SOE segment are the sectors or industries in which the SOE or SWF entity operates.

Field Descriptions

Field Name

Size

Description

EntitySOEGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same GUID key. This field contains a GUID primary key that is unique to the record. This field contains a sector or industry in which the SOE or SWF operates. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

EntitySOEDomainGUID

SOEDomainDesc

LastUpdated

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EntitySOESubCategory File

The EntitySOESubCategory file contains the SOE segment subcategories that are associated with the EntitySOE records.

Field Descriptions

Field Name

Size

Description

EntitySOEGUID

EntitySOESubCategoryGUID

SubCategoryLabel LastUpdated

40 23

EntitySourceItem File

The EntitySourceItem file contains the web addresses for the data sources that are associated with directly-qualifying entities or indirectly-qualifying entities.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains a URL for an online data source. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

EntitySourceItemGUID

SourceURI LastUpdated

MAX 23

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FATCARegInst File

The FATCARegInst file contains FATCA REG INST segment data that is associated with directly-qualifying entities.

The FATCA Reg Inst (FATCA Registered Institutions) subcategory includes profiles of financial institutions that are foreign to the United States that have registered with the IRS (Internal Revenue Service) to confirm their compliance with the U.S. FATCA law. This subcategory is part of the Registrations data.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the record subcategory. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS. This field contains the WorldCompliance source that published the information.

FATCARegInstGUID

SubCategoryLabel LastUpdated

40 23

Source Name

200

IHSOFACVessels File

The IHSOFACVessels file contains IHS OFAC Vessels segment data that is associated with directly- qualifying entities.

The IHS OFAC Vessels segment contains information about vessels that also have the Sanctions segment applied to them and are associated with the Consolidated Sanctions List source, when the entity is listed on a targeted OFAC (Office of Foreign Assets Control) source.

Field Descriptions

Field Name

Size

Description

EntityGUID

IHSOFACVesselsGUID

SubCategoryLabel

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Field Name

Size

Description

LastUpdated

This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS. This field contains the Statcode 5 vessel type identifier from S&P Global. The identifier describes the vessel type (for example, General Cargo Ship, Container Ship, or Vehicles Carrier). This field contains the measure of a ship's overall internal volume. The gross tonnage is used to determine port dues and registration fees. This field contains the country name where ship was manufactured, based on first or only builder. This field contains the year that the vessel was completed and put into service. This field contains the number that is assigned to the vessel during construction. This number is also referred to as a hull number. This field contains the vessel's present trading status. The trading status indicates the physical state of the vessel at the time. This field contains the total weight of cargo a vessel carries or can carry at a particular draft in tonnes (1,000 kg). This field contains the port and corresponding code which that on the stern of the vessel under the ship name. The port of registry, or hailing port, is the port at which the vessel is registered with a flag authority. This field contains the WorldCompliance source that published the information. This field contains the vessel's most recent previous name. This field contains the date the ship's flag went into effect. This field contains the date that the vessel's trading (activity) status became applicable. This field contains the name of the controlling interest behind a fleet and the ultimate beneficiary from ownership (the parent company of the registered owner). This field contains the company code for the vessel's group beneficial owner. This field contains the country or flag of controlling interest for the vessel's group beneficial owner. This field contains the country of domicile for the vessel's group beneficial owner.

Vessel Type

200

Gross Tonnage

200

Country of Build

200

Year of Build

200

Yard Number

200

Ship Status

200

Deadweight

200

Port of Registry

200

Source Name

200

ExName

200

FlagEffectiveDate

200

ShipStatusEffectiveDate

200

GroupBeneficialOwner

200

GroupBeneficialOwnerCompanyCode

200

GroupBeneficialOwnerCountryOfControl

200

GroupBeneficialOwnerCountryofDomicile

200

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Field Name

Size

Description

Operator

200

This field contains the name of the company that is responsible for commercial decisions concerning the employment of the vessel and the direct beneficiary of profits from the vessel's operations. This field contains the company code and decode name for the vessel's operator. This field contains the country or flag of controlling interest for the vessel's operator. This field contains the country of domicile for the vessel's operator. This field contains the country or flag of registration for the vessel's operator. This field contains the name of the company that holds the legal title of ownership that appears on the vessel's registration documents. This field contains the decoded name of the vessel's registered owner. This field contains the country or flag of controlling interest for the vessel's registered owner. This field contains the country of domicile for the vessel's registered owner. This field contains the country or flag of registration for the vessel's registered owner. This field contains the name of the company that was designated by the vessel's owner or charter to be responsible for the day-to-day commercial operation of the vessel. This field contains the IMO (International Maritime Organization) code for the vessel's ship manager. This field contains the country or flag of controlling interest for the vessel's ship manager. This field contains the country of domicile for the vessel's ship manager. This field contains the country or flag of registration for the vessel's ship manager. This field contains the name of the vessel's technical manager. This field contains the company code for the vessel's technical manager. This field contains the country where the vessel's control of decisions lies. This field contains the country where the vessel's company is domiciled. This field contains the country where the vessel's company is incorporated.

OperatorCompanyCode

200

OperatorCountryOfControl

200

OperatorCountryofDomicileName

200

OperatorCountryOfRegistration

200

RegisteredOwner

200

RegisteredOwnerCode

200

RegisteredOwnerCountryOfControl

200

RegisteredOwnerCountryofDomicile

200

RegisteredOwnerCountryOfRegistration

200

ShipManager

200

ShipManagerCompanyCode

200

ShipManagerCountryOfControl

200

ShipManagerCountryofDomicileName

200

ShipManagerCountryOfRegistration

200

TechnicalManager

200

TechnicalManagerCode

200

TechnicalManagerCountryOfControl

200

TechnicalManagerCountryOfDomicile

200

TechnicalManagerCountryOfRegistration

200

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Size

Description

Field Name

200

This field contains the vessel's DOC (Department Of Compliance) company name. This field contains the vessel's DOC company code. This field contains the country or flag of controlling interest for the vessel's DOC company. This field contains the country of domicile for the vessel's DOC company. This field contains the country or flag of registration for the vessel's DOC company. This field contains the last date that S&P Global updated the vessel data. This field contains the name of the shipbuilder that constructed the vessel. This field contains the yard or hull number that was issued by the subcontracted shipyard. This field contains the name of the shipbuilder subcontractor. This field contains the country or flag of registration for the vessel's group beneficial owner.

DOCCompany

200 200

DocumentofComplianceDOCCompanyCode DOCCountryOfControl

200

DOCCompanyCountryofDomicile

200

DOCCountryOfRegistration

200

LastUpdateDate

200

Shipbuilder

200

ShipbuilderSubContractorShipyardYardHul

200

ShipbuilderSubContractor

200

GroupBeneficialOwnerCountryOfReg

IHSRegVessels File

The IHSRegVessels file contains IHS Reg Vessels segment data that is associated with directly- qualifying entities.

The IHS Reg Vessels subcategory includes the profiles of vessels that are registered with S&P Global, which merged with IHS Markit® in 2022. Each vessel has a country flag that is associated with a high-risk country on the FATF "call for action" list or the FATF list of "countries with strategic deficiencies." This subcategory is part of the Registrations data.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the record subcategory. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS.

IHSRegVesselsGUID

SubCategoryLabel LastUpdated

40 23

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Field Descriptions (Continued)

Field Name

Size

Description

Vessel Type

200

This field contains the Statcode 5 vessel type identifier from S&P Global. The identifier describes the vessel type (for example, General Cargo Ship, Container Ship, or Vehicles Carrier). This field contains the measure of a ship's overall internal volume. The gross tonnage is used to determine port dues and registration fees. This field contains the country name where ship was manufactured, based on first or only builder. This field contains the year that the vessel was completed and put into service. This field contains the number that is assigned to the vessel during construction. This number is also referred to as a hull number. This field contains the vessel's present trading status. The trading status indicates the physical state of the vessel at the time. This field contains the total weight of cargo a vessel carries or can carry at a particular draft in tonnes (1,000 kg). This field contains the port and corresponding code which that on the stern of the vessel under the ship name. The port of registry, or hailing port, is the port at which the vessel is registered with a flag authority. This field contains the WorldCompliance source that published the information. This field contains the vessel's most recent previous name. This field contains the date the ship's flag went into effect. This field contains the date that the vessel's trading (activity) status became applicable. This field contains the name of the controlling interest behind a fleet and the ultimate beneficiary from ownership (the parent company of the registered owner). This field contains the company code for the vessel's group beneficial owner. This field contains the country or flag of controlling interest for the vessel's group beneficial owner. This field contains the country of domicile for the vessel's group beneficial owner. This field contains the name of the company that is responsible for commercial decisions concerning the employment of the vessel and the direct beneficiary of profits from the vessel's operations.

Gross Tonnage

200

Country of Build

200

Year of Build

200

Yard Number

200

Ship Status

200

Deadweight

200

Port of Registry

200

Source Name

200

ExName

200

FlagEffectiveDate

200

ShipStatusEffectiveDate

200

GroupBeneficialOwner

200

GroupBeneficialOwnerCompanyCode

200

GroupBeneficialOwnerCountryOfControl

200

GroupBeneficialOwnerCountryofDomicile

200

Operator

200

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Field Descriptions (Continued)

Field Name

Size

Description

OperatorCompanyCode

200

This field contains the company code and decode name for the vessel's operator. This field contains the country or flag of controlling interest for the vessel's operator. This field contains the country of domicile for the vessel's operator. This field contains the country or flag of registration for the vessel's operator. This field contains the name of the company that holds the legal title of ownership that appears on the vessel's registration documents. This field contains the decoded name of the vessel's registered owner. This field contains the country or flag of controlling interest for the vessel's registered owner. This field contains the country of domicile for the vessel's registered owner. This field contains the country or flag of registration for the vessel's registered owner. This field contains the name of the company that was designated by the vessel's owner or charter to be responsible for the day-to-day commercial operation of the vessel. This field contains the IMO code for the vessel's ship manager. This field contains the country or flag of controlling interest for the vessel's ship manager. This field contains the country of domicile for the vessel's ship manager. This field contains the country or flag of registration for the vessel's ship manager. This field contains the name of the vessel's technical manager. This field contains the company code for the vessel's technical manager. This field contains the country where the vessel's control of decisions lies. This field contains the country where the vessel's company is domiciled. This field contains the country where the vessel's company is incorporated. This field contains the vessel's DOC (Department Of Compliance) company name. This field contains the vessel's DOC company code.

OperatorCountryOfControl

200

OperatorCountryofDomicileName

200

OperatorCountryOfRegistration

200

RegisteredOwner

200

RegisteredOwnerCode

200

RegisteredOwnerCountryOfControl

200

RegisteredOwnerCountryofDomicile

200

RegisteredOwnerCountryOfRegistration

200

ShipManager

200

ShipManagerCompanyCode

200

ShipManagerCountryOfControl

200

ShipManagerCountryofDomicileName

200

ShipManagerCountryOfRegistration

200

TechnicalManager

200

TechnicalManagerCode

200

TechnicalManagerCountryOfControl

200

TechnicalManagerCountryOfDomicile

200

TechnicalManagerCountryOfRegistration

200

DOCCompany

200

DocumentofComplianceDOCCompanyCode

200

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Field Descriptions (Continued)

Size

Description

Field Name

200

This field contains the country or flag of controlling interest for the vessel's DOC company. This field contains the country of domicile for the vessel's DOC company. This field contains the country or flag of registration for the vessel's DOC company. This field contains the last date that S&P Global updated the vessel data. This field contains the name of the shipbuilder that constructed the vessel. This field contains the yard or hull number that was issued by the subcontracted shipyard. This field contains the name of the shipbuilder subcontractor. This field contains the country or flag of registration for the vessel's group beneficial owner.

DOCCountryOfControl

200

DOCCompanyCountryofDomicile

200

DOCCountryOfRegistration

200

LastUpdateDate

200

Shipbuilder

200

ShipbuilderSubContractorShipyardYardHul

200

ShipbuilderSubContractor

200

GroupBeneficialOwnerCountryOfReg

MarijuanaRegBus File

The MarijuanaRegBus file contains Marijuana Reg Bus segment data that is associated with directly- qualifying entities.

The Marijuana Reg Bus (Marijuana Registered Business) subcategory includes profiles of aggregated MRB (marijuana registered business) lists that are issued by U.S. states. Coverage includes an MRB that is officially licensed for medical or recreational use. This subcategory is part of the Registrations data.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the record subcategory. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS. This field contains the WorldCompliance source that published the information.

MarijuanaRegBusGUID

SubCategoryLabel LastUpdated

40 23

Source Name

200

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CONFIDENTIAL

OwnershipOrControl File

The OwnershipOrControl file contains information about entities that may be affected by sanctions because they have legal relationships with the sanctioned entities.

The Ownership Or Control segment contains information about entities that are owned or controlled by certain sanctioned entities.

LexisNexis Risk Solutions recommends that you conduct due diligence research on these entities to help reduce your risk.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the record subcategory. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS. This field contains the WorldCompliance source that published the information. The sources are subject to change.

OwnershipOrControlGUID

SubCategoryLabel LastUpdated

40 23

Source Name

200

As Of Date

200

This field is not applicable to FATCA entities.

SWIFTBICEntity File

The SWIFTBICEntity file contains information about entities that may be affected by sanctions because they have legal relationships with the sanctioned entities.

The SWIFT BIC Entity segment contains information about branches and operational units of sanctioned institutions based on information from SWIFT (Society for Worldwide Interbank Financial Telecommunication).

LexisNexis Risk Solutions recommends that you conduct due diligence research on these entities to help reduce your risk.

BIS281-EN_US — 6 March 2024

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CONFIDENTIAL

Field Descriptions

Size

Description

Field Name

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the record subcategory. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS. This field contains the WorldCompliance source that published the information.

EntityGUID

SWIFTBICEntityGUID

40 23

SubCategoryLabel LastUpdated

200

Source Name

UAEMSB File

The UAEMSB file contains UAE MSB segment data that is associated with directly-qualifying entities.

The UAE MSB subcategory includes profiles of entities that have registered as an MSB (money services business) with the Central Bank of the United Arab Emirates. This subcategory is part of the Registrations data.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the record subcategory. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS. This field contains the type of registration that the MSB applied for. This field contains the number of MSB branches or branch offices. This field contains the WorldCompliance source that published the information. This field contains the date that the registration application was received. This field contains the date that the MSB registration was authorized.

UAEMSBGUID

SubCategoryLabel LastUpdated

40 23

Registration Type

200

Number of Branches

200

Source Name

200

Receive Date

200

Authorized Signature

200

BIS281-EN_US — 6 March 2024

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CONFIDENTIAL

USMSB File

The USMSB file contains US MSB segment data that is associated with directly-qualifying entities.

The US MSB subcategory contains profiles of entities that have registered as an MSB, as required by the BSA (Bank Secrecy Act) regulations at 31 CFR (Code of Federal Regulations) 1022.380(a)-(f). FinCEN (Financial Crimes Enforcement Network) administers the BSA regulations. An MSB includes providers that service money orders, traveler's checks, money transmission, check cashing, currency exchange, currency dealing, and prepaid access. This subcategory is part of the Registrations data.

Field Descriptions

Field Name

Size

Description

EntityGUID

This field contains a GUID foreign-key reference that relates the record to a parent record with the same EntityGUID key. This field contains a GUID primary key that is unique to the record. This field contains the record subcategory. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS. This field contains the type of registration that the MSB applied for. This field contains the number of MSB branches or branch offices. This field contains the WorldCompliance source that published the information. This field contains the date that the registration application was received. This field contains the date that the MSB registration was authorized.

USMSBGUID

SubCategoryLabel LastUpdated

40 23

Registration Type

200

Number of Branches

200

Source Name

200

Receive Date

200

Authorized Signature Date

200

BIS281-EN_US — 6 March 2024

WorldCompliance Text File Specification V1.0 (FATCA Plus) Page 38