2073 WCoData Spec XML 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

XML File Specification

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

Version 1.0

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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Full Files and Delta Files. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Import WorldCompliance Delta Files. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Data Organization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6

GUID Keys. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

XML File Specification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10

AdditionalSegments Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .35

Segment Types. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

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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 files when provided in an XML format. LexisNexis Risk Solutions can also provide this file in a text format.

This publication includes the XSD (XML Schema Definition) file as an attachment.

To view the XSD, open the Attachments pane in your PDF reader, and select and save the XSD file. The specific steps depend on your PDF reader.

The attachment opens in the program that is associated with the .xsd file extension. If you have not specified a program for the file extension, then you must associate a text editor or source code editor program (for example, Notepad++) with the file extension before the XSD file can correctly open.

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Additional Documentation

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

• WorldCompliance Data Plus in text 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 and Relationship parent elements and all the children elements that the parent elements contain. LexisNexis Risk Solutions provides the XML files as a zipped file. 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. 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 element and all children elements regardless of which specific element was changed. Delta files also contain all relationships for the updated entities that meet the WorldCompliance inclusion criteria, regardless of whether the profile for the related entity changed.

Delta files also include a delete file that you use as a reference to delete the profiles of entities that are no longer included in the WorldCompliance data. You delete the parent element that is included in your delta file. You should delete the complete entity profiles that are listed in the delete file including the child elements to help ensure that there is no orphaned data or broken links.

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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.

Im port Wo r l dCo m p lian ce 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 element, delete the parent records and related child records that exist in your data storage application.

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

For each EntityGUID key that is listed in the Entities element, 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 Relationships element. If the LastUpdated value in the Relationships element 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 an Entity or Relationship parent element and all the children elements that are within the parent element.

The Entity parent element contains the profiles of directly-qualifying entities. See "Entity" on page 10.

The Relationship parent element contains the profiles of indirectly-qualifying entities. See "Relationship" on page 22.

The EntityDeletes element contains information about the profiles that should be deleted from your data. Only delta files include EntityDeletes elements. See "EntityDeletes" on page 34.

The children elements 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 elements contain key identifying information for each entity:

• EntityAddress

See "EntityAddress" on page 11.

• EntityAliases

See "EntityAlias" on page 12.

• EntityCountryAssociation

See "EntityCountryAssociation" on page 12.

• EntityDOB

See "EntityDOB" on page 13.

• EntityIdentification

See "EntityIdentification" on page 13.

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

• EntityPosition

See "EntityPosition" on page 14.

• EntityRelationship

See "EntityRelationship" on page 15.

• EntityRemark

See "EntityRemark" on page 15.

• EntitySourceItem

See "EntitySourceItem" on page 15.

Data Segments

WorldCompliance includes data segments for the risk categories to which the directly-qualifying entities are linked. The following elements contain adverse media information:

• EntityAdverseMedia

See "EntityAdverseMedia" on page 16.

• EntityAdverseMediaSubcategories

See "EntityAdverseMediaSubcategories" on page 16.

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The following elements contain enforcement information:

• EntityEnforcement

See "EntityEnforcement" on page 16.

• EntityEnforcementSubcategories

See "EntityEnforcementSubcategories" on page 17.

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

• EntityPEP

See "EntityPEP" on page 17.

• EntityPEPSubcategories

See "EntityPEPSubcategories" on page 19.

The following elements contain sanctions information:

• EntitySanction

See "EntitySanction" on page 19.

• IHSOFACVessels

See "IHSOFACVessels Fields" on page 36.

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

• EntitySOE

See "EntitySOE" on page 20.

• EntitySOEDomain

See "EntitySOEDomains" on page 21.

• EntitySOESubcategories

See "EntitySOESubcategories" on page 21.

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

• AssociatedEntity

See "AssociatedEntity Fields" on page 36.

• OwnershipOrControl

See "OwnershipOrControl Fields" on page 41.

• SWIFTBICEntity

See "SWIFTBICEntity Fields" on page 42.

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 elements contain Registrations information:

• FATCARegInst

See "FATCARegInst Fields" on page 36.

• IHSRegVessels

See "IHSRegVessels Fields" on page 39.

• MarijuanaRegBus

See "MarijuanaRegBus Fields" on page 41.

• UAEMSB

See "UAEMSB Fields" on page 42.

• USMSB

See "USMSB Fields" on page 43.

Consolidated Sanctions List Data

The ConsolidatedSanction element indicates which sanctioned entity profiles are part of the WorldCompliance Consolidated Sanctions List source. See "ConsolidatedSanction" on page 20.

GUID K eys

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

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

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Some record elements also include a GUID foreign-key reference that relates the record element to another record element. Typically, this foreign-key reference is contained in a field with a similar name to the related record element's primary key. For example, each ConsolidatedSanction element includes an EntityGUID field element that contains the foreign-key reference.

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

XML F il e Specificatio n

The XML file specification explains the elements in the file.

Data is provided as a text string. Each element that can contains a text string may have a maximum character length. MAX indicates that the element has no character limit. N/A indicates that the element is not a data field.

XSD Structure

Element Name

Size

Description

WCOData

N/A

The WCOData element contains the WorldCompliance data set. The Entities element contains the parent profiles of directly-qualifying entities. The Entity element contains the parent profile for an entity that is linked to LexisNexis Risk Solutions risk categories. For an individual entity type, the entity name is provided in the following ways: • The Name field contains the entity's unparsed full

Entities

N/A

Entity

N/A

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.

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

EntityTypeDesc Gender Name

20 20 500

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XSD Structure (Continued)

Element Name

Size

Description

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

DeceasedDate

N/A

This field contains the numeric year, month, and day components of a date. This date indicates the deceased date that is associated with the entity, if the entity is an individual and is recorded as deceased. This field contains the deceased date year. This field contains the deceased date month. This field contains the deceased date day. 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. The EntityAddresses element contains the address information that is associated with the entity. The EntityAddress element contains an address. 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.

DeceasedYear DeceasedMonth DeceasedDay EntityID

4 2 2 10

LookupID

LastUpdated

EntityAddresses

N/A

EntityAddress EntityAddressGUID

N/A 36

AddressTypeDesc Address1

40 255

Address2

255

City StateProvinceRegion

50 50

PostalCode Country

15 100

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XSD Structure (Continued)

Element Name

Size

Description

ISOStandard

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

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. The EntityAliases element contains the aliases that are associated with the entity. The EntityAliases element contains an alias. 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. The EntityCountryAssociations element contains the countries that are associated with the entity. The EntityCountryAssociation element contains an associated country. 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.

EntityAliases

N/A

EntityAlias EntityAliasGUID

N/A 36

AliasTypeDesc EnglishDescription

50 40

Name FirstName MiddleName LastName

500 100 100 255

Prefix Suffix LastUpdated

30 10 23

EntityCountryAssociations

N/A

EntityCountryAssociation

N/A

EntityCountryAssociationGUID

AssociationTypeDesc

AdministrativeUnitName

100

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XSD Structure (Continued)

Element 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.

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).

OwnershipPercentageCalc

This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS. The EntityDOBs element contains the DOB (date of birth) values that are associated with the entity. The EntityDOB element contains a DOB. This field contains a GUID primary key that is unique to the record. This field contains the numeric year, month, and day components of a date. This date indicates the DOB that is associated with the entity, if the entity is an individual. This field contains the DOB year. This field contains the DOB month. 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. The EntityIdentifications element contains the IDs that are associated with the entity. The EntityIdentification element contains an ID. This field contains a GUID primary key that is unique to the record.

LastUpdated

EntityDOBs

EntityDOB EntityDOBGUID

BirthDate

BirthYear BirthMonth BirthDay LastUpdated

4 2 2 23

EntityIdentifications

N/A

EntityIdentification EntityIdentificationGUID

N/A 36

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XSD Structure (Continued)

Element Name

Size

Description

AdministrativeUnitName

100

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

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 numeric year, month, and day components of a date. This date indicates when the identification number was issued. 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 numeric year, month, and day components of a date. This date indicates when the identification number expires. 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. The EntityPositions element contains the entity inclusion summaries about why WorldCompliance researchers added the entity. The EntityPosition element contains an inclusion summary. 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.

IdentificationTypeDesc IdentificationNumber

85 20

IssueDate

N/A

IssueYear IssueMonth IssueDay ExpirationDate

4 2 2 N/A

ExpirationYear ExpirationMonth ExpirationDay LastUpdated

4 2 2 23

EntityPositions

N/A

EntityPosition

N/A

EntityPositionGUID

Position

500

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XSD Structure (Continued)

Element 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. The EntityRelationships element contains the relationships that the entity has with other entities. The EntityRelationship element contains a relationship. 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).

EntityRelationships

N/A

EntityRelationship

N/A

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. The EntityRemarks element contains additional information about the entity. The EntityRemark element contains a remark. This field contains a GUID primary key that is unique to the record. 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. The EntitySourceItems element contains the web addresses for the data sources that are associated with the entity. The EntitySourceItem element contains a URL. 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.

EntityRemarks

N/A

EntityRemark EntityRemarkGUID

N/A 36

Remark

MAX

LastUpdated

EntitySourceItems

N/A

EntitySourceItem EntitySourceItemGUID

N/A 36

SourceURI LastUpdated

MAX 23

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XSD Structure (Continued)

Element Name

Size

Description

EntitySegments

N/A

The EntitySegments element contains segments of risk information that is associated with the profiled entity. The EntityAdverseMedias element contains the Adverse Media incidents that are associated with the entity. 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.

EntityAdverseMedias

N/A

EntityAdverseMedia

N/A

The EntityAdverseMedia element contains an Adverse Media incident. 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. The EntityAdverseMediaSubCategories element contains the Adverse Media segment subcategories that are associated with the EntityAdverseMedia record. The Subcategory element contains an Adverse Media subcategory. 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. The EntityEnforcements element contains the Enforcement incidents that are associated with the entity. 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.

EntityAdverseMediaGUID

AdverseMediaDesc LastUpdated

MAX 23

EntityAdverseMediaSubcategories

N/A

Subcategory

N/A

EntityAdverseMediaSubCategoryGUID

SubCategoryLabel LastUpdated

40 23

EntityEnforcements

N/A

EntityEnforcement

N/A

The EntityEnforcement element contains an Enforcement incident. This field contains a GUID primary key that is unique to the record. This field contains the enforcement type.

EntityEnforcementGUID

EnforcementDesc

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XSD Structure (Continued)

Element 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. The EntityEnforcementSubcategories element contains the Enforcement segment subcategories that are associated with the EntityEnforcement record. The Subcategory element contains an Enforcement subcategory. 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. The EntityPEPs element contains the PEP roles that are associated with the entity. 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.

EntityEnforcementSubcategories

N/A

Subcategory

N/A

EntityEnforcementSubCategoryGUID

SubCategoryLabel LastUpdated

40 23

EntityPEPs

N/A

EntityPEP

N/A

The EntityPEP element contains a PEP role.

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XSD Structure (Continued)

Element Name

Size

Description

EntityPEPGUID

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.

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

ISOAdministrativeUnitLevel0

100

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.

AdministrativeUnitLevel1

100

AdministrativeUnitLevel2

100

AdministrativeUnitLevel3

100

AdministrativeUnitLevel4

100

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XSD Structure (Continued)

Element Name

Size

Description

GoverningInstitution

100

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 numeric year, month, and day components of a date. This date indicates when the PEP position is initially effective. 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 effective date type. This field contains the numeric year, month, and day components of a date. This date indicates when the PEP position expires. 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 expiration date type. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS. The EntityPEPSubcategories element contains the PEP segment subcategories that are associated with the EntityPEP record. The Subcategory element contains a PEP subcategory. 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. The EntitySanctions element contains the Sanctions incidents that are associated with the entity. The Sanctions segment contains information from targeted sanctions lists worldwide.

GoverningRole

100

EffectiveDate

N/A

EffectiveYear EffectiveMonth EffectiveDay EffectiveDateTypeDesc ExpirationDate

4 2 2 100 N/A

ExpirationYear ExpirationMonth ExpirationDay ExpirationDateTypeDesc LastUpdated

4 2 2 100 23

EntityPEPSubcategories

N/A

Subcategory EntityPEPSubCategoryGUID

N/A 36

SubCategoryLabel SubCategoryDesc LastUpdated

40 MAX 23

EntitySanctions

N/A

EntitySanction

N/A

The EntitySanction element contains a Sanctions incident. This field contains a GUID primary key that is unique to the record. This field contains the record subcategory. This field contains the WorldCompliance source that published the information. The sources are subject to change.

EntitySanctionGUID

SubCategoryLabel SourceName

40 200

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XSD Structure (Continued)

Element Name

Size

Description

SourceNameAbbrev

This field contains the WorldCompliance source name abbreviation. This field contains the country or territory where the sanction 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. The ConsolidatedSanction element 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.

ConsolidatedSanction

N/A

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. The EntitySOEs element contains the SOE information that is associated with the entity. The SOE segment contains information about entities that are majority or minority owned by governments around the world.

EntityGUID

LastUpdated

EntitySOEs

N/A

EntitySOE EntitySOEGUID

N/A 36

The EntitySOE element contains an SOE incident. This field contains a GUID primary key that is unique to the record.

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XSD Structure (Continued)

Element 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. The EntitySOEDomains element contains the SOE segment domains that are associated with the EntitySOE record. Domains in the SOE segment are the sectors or industries in which the SOE or SWF entity operates. The EntitySOEDomain element contains an SOE domain. 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. The EntitySOESubcategories element contains the SOE segment subcategories that are associated with the EntitySOE record. The Subcategory element contains an SOE subcategory. 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. The AdditionalSegments element contains the list of data segments that are associated with the profiled entity, that do not align with the EntitySegments data. For more information about how AdditionalSegments data is provided in the XML data file, see "AdditionalSegments Data" on page 35.

EntitySOEDomains

N/A

EntitySOEDomain

N/A

EntitySOEDomainGUID

SOEDomainDesc

LastUpdated

EntitySOESubcategories

N/A

Subcategory

N/A

EntitySOESubCategoryGUID

SubCategoryLabel LastUpdated

40 23

AdditionalSegments

N/A

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XSD Structure (Continued)

Element Name

Size

Description

Segment

N/A

The Segment element contains a list of additional data segment records for a single type of additional data segment from the list of additional data segment types. This attribute contains the data segment type. The Record element contains information about a single additional data segment record in the list. For a list of possible data segment types, see "AdditionalSegments Data" on page 35.

N/A N/A

@Type

Record

N/A

This attribute contains a GUID primary key that is unique to the record. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS. This element contains a field name and the corresponding value for the record. This field contains the name of the data field. For a list of possible fields, see "AdditionalSegments Data" on page 35.

@GUID

LastUpdated

Field

N/A

DerivedName

DerivedValue

200 N/A

This field contains the record's value for the data field. The Relationships element contains the parent profiles of indirectly-qualifying entities. The Relationship element contains the parent profile for an entity that is related to or has associations with entities that are linked to LexisNexis Risk Solutions risk categories. For an individual entity type, the entity name is provided in the following ways: • The Name field contains the entity's unparsed full

Relationships

Relationship

N/A

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.

EntityGUID

EntityTypeDesc Gender Name

20 20 500

FirstName MiddleName

100 100

This field contains an individual entity's first name. This field contains an individual entity's middle name.

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XSD Structure (Continued)

Element Name

Size

Description

LastName

255

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

DeceasedDate

N/A

This field contains the numeric year, month, and day components of a date. This date indicates the deceased date that is associated with the entity, if the entity is an individual and is recorded as deceased. This field contains the deceased date year. This field contains the deceased date month. This field contains the deceased date day. 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 WorldCompliance OST. This field contains the date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS. The EntityAddresses element contains the address information that is associated with the entity. The EntityAddress element contains an address. 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.

DeceasedYear DeceasedMonth DeceasedDay EntityID

4 2 2 10

LookupID

LastUpdated

EntityAddresses

N/A

EntityAddress EntityAddressGUID

N/A 36

AddressTypeDesc Address1

40 255

Address2

255

City StateProvinceRegion

50 50

PostalCode Country

15 100

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XSD Structure (Continued)

Element 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.

LastUpdated

EntityAliases

N/A

EntityAlias EntityAliasGUID

N/A 36

AliasTypeDesc EnglishDescription

50 40

Name FirstName MiddleName LastName

500 100 100 255

Prefix Suffix LastUpdated

30 10 23

EntityCountryAssociations

N/A

EntityCountryAssociation

N/A

EntityCountryAssociationGUID

AssociationTypeDesc

AdministrativeUnitName

100

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XSD Structure (Continued)

Element 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 date when the record was last updated. The format is yyyy-MM-dd hh:mm:ss:SSS. The EntityDOBs element contains the DOB values that are associated with the entity. The EntityDOB element contains a DOB. This field contains a GUID primary key that is unique to the record. This field contains the numeric year, month, and day components of a date. This date indicates the DOB that is associated with the entity, if the entity is an individual. This field contains the DOB year. This field contains the DOB month. 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. The EntityIdentifications element contains the IDs that are associated with the entity. The EntityIdentification element contains an ID. This field contains a GUID primary key that is unique to the record.

LastUpdated

EntityDOBs

EntityDOB EntityDOBGUID

BirthDate

BirthYear BirthMonth BirthDay LastUpdated

4 2 2 23

EntityIdentifications

N/A

EntityIdentification EntityIdentificationGUID

N/A 36

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XSD Structure (Continued)

Element Name

Size

Description

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

IdentificationTypeDesc IdentificationNumber

85 20

IssueDate

N/A

IssueYear IssueMonth IssueDay ExpirationDate

4 2 2 N/A

ExpirationYear ExpirationMonth ExpirationDay LastUpdated

4 2 2 23

EntityPositions

N/A

EntityPosition

N/A

EntityPositionGUID

Position

500

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XSD Structure (Continued)

Element Name

Size

Description

LastUpdated

EntityRelationships

N/A

EntityRelationship

N/A

RelatedEntityGUID

EntityRelationshipGUID

GroupDesc RelationshipDesc OwnershipPercentage

50 50 6

LastUpdated

EntityRemarks

N/A

EntityRemark EntityRemarkGUID

N/A 36

Remark

MAX

LastUpdated

EntitySourceItems

N/A

EntitySourceItem EntitySourceItemGUID

N/A 36

SourceURI LastUpdated

MAX 23

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XSD Structure (Continued)

Element Name

Size

Description

EntitySegments

N/A

EntityAdverseMedias

N/A

EntityAdverseMedia

N/A

EntityAdverseMediaGUID

AdverseMediaDesc LastUpdated

MAX 23

EntityAdverseMediaSubcategories

N/A

Subcategory

N/A

EntityAdverseMediaSubCategoryGUID

SubCategoryLabel LastUpdated

40 23

EntityEnforcements

N/A

EntityEnforcement

N/A

The EntityEnforcement element contains an Enforcement incident. This field contains a GUID primary key that is unique to the record. This field contains the enforcement type.

EntityEnforcementGUID

EnforcementDesc

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XSD Structure (Continued)

Element Name

Size

Description

SourceName

200

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

SourceNameAbbrev

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. The EntityEnforcementSubcategories element contains the Enforcement segment subcategories that are associated with the EntityEnforcement record. The Subcategory element contains an Enforcement subcategory. 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. The EntityPEPs element contains the PEP roles that are associated with the entity. 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 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.

EntityEnforcementSubcategories

N/A

Subcategory

N/A

EntityEnforcementSubCategoryGUID

SubCategoryLabel LastUpdated

40 23

EntityPEPs

N/A

EntityPEP

N/A

The EntityPEP element contains a PEP role.

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XSD Structure (Continued)

Element Name

Size

Description

EntityPEPGUID

IsPrimaryPEP

IsActivePEP

IsInCountryPEPOnly

PEPAdminLevelDesc

ISOAdministrativeUnitLevel0

100

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

AdministrativeUnitLevel1

100

AdministrativeUnitLevel2

100

AdministrativeUnitLevel3

100

AdministrativeUnitLevel4

100

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XSD Structure (Continued)

Element Name

Size

Description

GoverningInstitution

100

GoverningRole

100

EffectiveDate

N/A

EffectiveYear EffectiveMonth EffectiveDay EffectiveDateTypeDesc ExpirationDate

4 2 2 100 N/A

ExpirationYear ExpirationMonth ExpirationDay ExpirationDateTypeDesc LastUpdated

4 2 2 100 23

EntityPEPSubcategories

N/A

Subcategory EntityPEPSubCategoryGUID

N/A 36

SubCategoryLabel SubCategoryDesc LastUpdated

40 MAX 23

EntitySanctions

N/A

EntitySanction

N/A

EntitySanctionGUID

SubCategoryLabel SourceName

40 200

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XSD Structure (Continued)

Element Name

Size

Description

SourceNameAbbrev

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

ConsolidatedSanction

N/A

ConsolidatedSanctionGUID

EntityGUID

LastUpdated

EntitySOEs

N/A

EntitySOE EntitySOEGUID

N/A 36

The EntitySOE element contains an SOE incident. This field contains a GUID primary key that is unique to the record.

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XSD Structure (Continued)

Element Name

Size

Description

IsActive

LastUpdated

EntitySOEDomains

N/A

EntitySOEDomain

N/A

EntitySOEDomainGUID

SOEDomainDesc

LastUpdated

EntitySOESubcategories

N/A

Subcategory

N/A

EntitySOESubCategoryGUID

SubCategoryLabel LastUpdated

40 23

AdditionalSegments

N/A

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XSD Structure (Continued)

Element Name

Size

Description

Segment

N/A

N/A N/A

@Type

Record

N/A

@GUID

LastUpdated

Field

N/A

DerivedName

DerivedValue

200 N/A

This field contains the record's value for the data field. The EntityDeletes element lists the entity profiles that have been deleted from the WorldCompliance database since the previous delta file was generated. The EntityDelete element contains a deleted entity profile. This field contains a GUID foreign-key reference that relates to a parent profile element 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.

EntityDeletes

EntityDelete

N/A

EntityGUID

DateDeleted

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AdditionalSegments Data

The AdditionalSegments data contains information about the entities that meet the WorldCompliance inclusion criteria that does not align with the EntitySegments data (for example, Registrations data). The AdditionalSegments structure provides a generic record format that can be adapted to hold various data segment types.

Each Segment element in the AdditionalSegments data includes a @Type attribute that contains one of the following data segment types:

• AssociatedEntity • FATCARegInst • IHSOFACVessels • IHSRegVessels • MarijuanaRegBus

• OwnershipOrControl • SWIFTBICEntity • UAEMSB • USMSB

Each Segment element can contain multiple Record elements when more than one record is returned for the data segment type. Each Record element includes a @GUID attribute that contains a GUID primary key that is unique to the record. Each Record element contains a LastUpdated element and at least one Field element.

Each Field element in the Record element contains a DerivedName element and a DerivedValue element. The DerivedName element contains a field name for the record, and the DerivedValue element contains the related field value.

Snippet of an IHS Registered Vessel Record

2018-01-01 10:00:00.000

Vessel Type

Fishing Vessel

Gross Tonnage

444

Segm en t T ype s

Each type of Segment data in the AdditionalSegments element contains a unique set of DerivedName fields.

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Associated En ti ty F i elds

The AssociatedEntity segment type 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.

This segment type only contains one possible DerivedName field. The field name is Source Name. This field contains the WorldCompliance source that published the information.

FATCAReg In s t Fi e ld s

The FATCARegInst segment type 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.

This segment type only contains one possible DerivedName field. The field name is Source Name. This field contains the WorldCompliance source that published the information.

IHSOFACV es s e l s F iel ds

The IHSOFACVessels segment type 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.

The following table describes the possible DerivedName fields for this data segment. The fields are listed according to the order in which they appear in the data.

Field Descriptions

Field Name

Description

Vessel Type

Gross Tonnage

Country of Build

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Field Descriptions (Continued)

Field Name

Description

Year of Build

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. 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.

Yard Number

Ship Status

Deadweight

Port of Registry

Source Name

ExName FlagEffectiveDate ShipStatusEffectiveDate

GroupBeneficialOwner

GroupBeneficialOwnerCompanyCode

GroupBeneficialOwnerCountryOfControl

GroupBeneficialOwnerCountryofDomicile

Operator

OperatorCompanyCode

OperatorCountryOfControl

OperatorCountryofDomicileName

OperatorCountryOfRegistration

RegisteredOwner

RegisteredOwnerCode

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Field Descriptions (Continued)

Field Name

Description

RegisteredOwnerCountryOfControl

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. 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.

RegisteredOwnerCountryofDomicile

RegisteredOwnerCountryOfRegistration

ShipManager

ShipManagerCompanyCode

ShipManagerCountryOfControl

ShipManagerCountryofDomicileName

ShipManagerCountryOfRegistration

TechnicalManager TechnicalManagerCode

TechnicalManagerCountryOfControl

TechnicalManagerCountryOfDomicile

TechnicalManagerCountryOfRegistration

DOCCompany

DocumentofComplianceDOCCompanyCode DOCCountryOfControl

DOCCompanyCountryofDomicile

DOCCountryOfRegistration

LastUpdateDate

Shipbuilder

ShipbuilderSubContractorShipyardYardHul

ShipbuilderSubContractor GroupBeneficialOwnerCountryOfReg

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IHSRegV es s e ls Fie l ds

The IHSRegVessels segment type 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.

The following table describes the possible DerivedName fields for this data segment. The fields are listed according to the order in which they appear in the data.

Field Descriptions

Field Name

Description

Vessel Type

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).

Gross Tonnage

Country of Build

Year of Build

Yard Number

Ship Status

Deadweight

Port of Registry

Source Name

ExName FlagEffectiveDate ShipStatusEffectiveDate

GroupBeneficialOwner

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Field Descriptions (Continued)

Field Name

Description

GroupBeneficialOwnerCompanyCode

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. 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.

GroupBeneficialOwnerCountryOfControl

GroupBeneficialOwnerCountryofDomicile

Operator

OperatorCompanyCode

OperatorCountryOfControl

OperatorCountryofDomicileName

OperatorCountryOfRegistration

RegisteredOwner

RegisteredOwnerCode

RegisteredOwnerCountryOfControl

RegisteredOwnerCountryofDomicile

RegisteredOwnerCountryOfRegistration

ShipManager

ShipManagerCompanyCode ShipManagerCountryOfControl

ShipManagerCountryofDomicileName

ShipManagerCountryOfRegistration

TechnicalManager TechnicalManagerCode

TechnicalManagerCountryOfControl

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Field Descriptions (Continued)

Field Name

Description

TechnicalManagerCountryOfDomicile

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. 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.

TechnicalManagerCountryOfRegistration

DOCCompany

DocumentofComplianceDOCCompanyCode DOCCountryOfControl

DOCCompanyCountryofDomicile

DOCCountryOfRegistration

LastUpdateDate

Shipbuilder

ShipbuilderSubContractorShipyardYardHul

ShipbuilderSubContractor GroupBeneficialOwnerCountryOfReg

Marijuan aR egB u s F ields

The MarijuanaRegBus segment type 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.

This segment type only contains one possible DerivedName field. The field name is Source Name. This field contains the WorldCompliance source that published the information.

Owne rshi pO r Co nt ro l Fields

The OwnershipOrControl segment type 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.

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

The following table describes the possible DerivedName fields for this data segment. The fields are listed according to the order in which they appear in the data.

Field Descriptions

Field Name

Description

Source Name

This field contains the WorldCompliance source that published the information. This field is not applicable to FATCA entities.

As Of Date

SWIFTBIC En ti ty F i eld s

The SWIFTBICEntity segment type 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.

This segment type only contains one possible DerivedName field. The field name is Source Name. This field contains the WorldCompliance source that published the information.

UAEMSB Fie l ds

The UAEMSB segment type 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.

The following table describes the possible DerivedName fields for this data segment. The fields are listed according to the order in which they appear in the data.

Field Descriptions

Field Name

Description

Registration Type

This field contains the type of registration that the MSB applied for. This field contains the number of MSB branches or branch offices.

Number of Branches

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Field Descriptions (Continued)

Description

Field Name

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.

Source Name

Receive Date

Authorized Signature

USMSB Fi el ds

The USMSB segment 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.

The following table describes the possible DerivedName fields for this data segment. The fields are listed according to the order in which they appear in the data.

Field Descriptions

Field Name

Description

Registration Type

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.

Number of Branches

Source Name

Receive Date

Authorized Signature Date

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