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LexisNexis® WorldCompliance™ Data Plus List

R E P A P E T I H W

L A C I N H C E T

in LexisNexis® Bridger Insight® XG (XG) 5

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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.

Due to the nature and origin of public record information, the public records and commercially available data sources used in reports may contain errors.

The LexisNexis Bridger Insight XG and LexisNexis WorldCompliance services are not provided by "consumer reporting agencies," as that term is defined in the Fair Credit Reporting Act (15 U.S.C. 1681, et seq.) (FCRA), and do not constitute "consumer reports," as that term is defined in the FCRA. Accordingly, the Bridger Insight XG and WorldCompliance services may not be used in whole or in part as a factor in determining eligibility for credit, insurance, employment or for any other eligibility purpose that would qualify it as a consumer report under the FCRA.

LexisNexis, LexID, and the Knowledge Burst logo are registered trademarks of RELX Inc. Bridger Insight is a registered trademark of LexisNexis Risk Solutions Inc. WorldCompliance is a registered 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 List. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4

Update Schedule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Enhanced Data Structure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Focused Searches. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Detailed Results. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Profile Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

List Entity Information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12

Screening List Information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Segment Data and Relationships. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13

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CONFIDENTIAL

Wo rldC o mp liance Data Plus List

LexisNexis® WorldCompliance™ Data Plus paired with LexisNexis® Bridger Insight® XG (XG) empowers your organization to quickly search vast amounts of data to collect the key entity information that you need for your risk processes.

LexisNexis® 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.

XG features a configurable list screening service with sophisticated false positive reduction capabilities in an all-in-one tool that includes workflow, case management, and reporting functionality. Your organization can use XG to effectively leverage the enhanced data structure provided by the WorldCompliance Data Plus list to customize your searches for the most informative results.

Additional References

This publication is designed to provide you with a strong overall understanding of the WorldCompliance Data Plus list in XG. Additional documentation is available that provides more specific information about the following topics:

• Segments

See the Segments for LexisNexis® WorldCompliance™ Data Plus technical reference guide at https:// lnrs.my.site.com/CustomerSupportHub/s/article/2481. This publication includes lists of possible subcategories, PEP (politically exposed person) administrative levels, and SOE (state-owned enterprise) domains.

• Data sources

See the Data Sources for LexisNexis® WorldCompliance™ technical reference guide at https:// lnrs.my.site.com/CustomerSupportHub/s/article/2008.

• Search criteria

See the Search Criteria for the LexisNexis® WorldCompliance™ Data Plus List in LexisNexis® Bridger Insight® XG 5 technical white paper at https://lnrs.my.site.com/CustomerSupportHub/s/ article/2493. • XG functionality

See the LexisNexis® Bridger Insight® XG Help in the application.

Update Schedule

LexisNexis® Risk Solutions updates the WorldCompliance Data Plus screening list every day. The list is updated by 18:00 Mountain Time (UTC (coordinated universal time) -6/-7) with the changes that the WorldCompliance data team made since the previous list update.

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Enhanc e d Data Str ucture

The WorldCompliance Data Plus list features an enhanced structure to house WorldCompliance data elements in designated fields.

In addition, WorldCompliance Data Plus can provide data from multiple segments for each entity. This flexibility allows for multiple values per data element. The following examples help show the level of entity information that is available:

• Country association data such as citizenship, residency, and ownership • ID data that can include country of issue, issuer, issue date, and expiration date • AKA (also known as) data that includes alias type, native script, CCC (Chinese Commercial Code), and

DBA (doing business as) name

• Deceased data that can include a deceased indicator and a death date • Vessel data from OFAC (Office of Foreign Assets Control) or IHS Markit® that can include the following

information: • Associated company names (for example, group beneficial owner, registered owner, or operator) • Countries that are associated with the company (for example, country of control or country of

registration)

• Dates that are parsed out by year, month, and day

Segments

The extensive WorldCompliance database is composed of the following segments:

Adverse Media

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 credible news that is published in dozens of languages. WorldCompliance Data Plus may provide incident information from multiple subcategories in this segment for each entity (for example, Fraud and Terrorism).

Enforcement

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. WorldCompliance Data Plus may provide enforcement information from multiple subcategories and sources in this segment for each entity (for example, Asset Freeze or Organized Crime).

PEP

The PEP segment contains information about individuals who occupy a senior prominent public function. The PEP database adheres to FATF (Financial Action Task Force) global standards.

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The PEP data includes the following information:

• Primary and secondary PEP indicators for each PEP role • Multiple PEP subcategories (for example, Legislature for a primary PEP or Associate for a

secondary PEP)

• Designated fields that describe each PEP role:

• Governing institution • Governing role • Active PEP indicator • Effective date of the role • Expiration date of the role

• Administrative levels that are mapped to administrative units per country (for example,

National or Metro)

Sanctions

The Sanctions segment contains information from targeted sanctions lists worldwide. 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 sanctions source. To provide flexible options for sanctions screening, LexisNexis Risk Solutions provides the following forms of sanctions profiles:

Single Sanctions

LexisNexis Risk Solutions provides profiles that are associated with a single sanctions source. These profiles are created when a government agency that is tasked with administering sanctions adds an entity to a targeted sanctions list that is included in WorldCompliance coverage. These profiles contain only data that was sourced from the single sanctions source. An example of a single sanctions source is US-U.S. Office of Foreign Asset Control (OFAC) - SDN List. A given entity can be listed on any number of single sanctions sources. Each single sanctions profile is linked to a consolidated profile.

Consolidated Sanctions

LexisNexis Risk Solutions provides a consolidated profile for each sanctioned entity. This profile is associated with a WorldCompliance source that is curated by LexisNexis Risk Solutions, Consolidated Sanctions List. The profile is a collection of data that the single sanctions sources provide for the entity as well as data that is located in publicly available, non-sanctions sources and from various WorldCompliance value-added sources. Examples of publicly available data are native script names, DOB (date of birth) values, IDs, and addresses. Examples of data from WorldCompliance value-added sources are vessel data from IHS Markit and BIC (Business Identifier Code) numbers from SWIFT (Society for Worldwide Interbank Financial Telecommunication).

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LexisNexis Risk Solutions provides one consolidated profile for each sanctioned entity in the WorldCompliance database. WorldCompliance sanctions coverage is global, so selecting the Consolidated Sanctions List source effectively searches a consolidated view of every sanctioned entity in the WorldCompliance global coverage. As they effectively act as a repository for all information that is located for the entity, consolidated profiles also tend to contain more data than the associated single sanctions source profiles (for example, more aliases).

SOE

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

• Multiple subcategories (for example, Multiple Majority or SWF) • Designated fields that describe each SOE entry:

• Ownership countries • Ownership percentages • Special voting rights countries • Active indicator • Domain

Additional Segments

WorldCompliance also includes additional data segments that do not align with the other data segments. WorldCompliance researchers profile these entities due to their relationship to an entity that has been named in a targeted sanctions source in WorldCompliance coverage. The following additional segments are available: Associated Entity, Ownership and Control, and SWIFT BIC Entity.

Registrations

The Registrations data contains information about entities that have registered with certain enforcement or 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 segment. The Registrations data includes the following segments:

• FATCA REG INST (FATCA (Foreign Account Tax Compliance Act) Registered Institutions) • IHS Reg Vessels (IHS Registered Vessels) • Marijuana Reg Bus (Marijuana Registered Business) • UAE MSB (UAE Money Service Business) • US MSB (US Money Service Business)

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Fo cu sed S earches

XG offers you a way to search only WorldCompliance data that meets specified search criteria.

The large volume of data that is available in the WorldCompliance Data Plus list is a powerful resource for your due diligence and compliance processes. However, searches against the entire list can overwhelm those processes with results that are not as relevant for your purposes.

XG features search criteria functionality that lets you focus your searches on specific data elements for more granular results. For example, you can choose to search only PEP data or only enforcement incidents that are associated with certain countries.

The following image shows the multiple tabs of search criteria that are organized by segment and the search criteria groups that are available for the PEP segment.

Search Criteria Options

Let's say you want to search list records that contain OFAC sanctions information for Zach Thul. You could use the search criteria to filter the list records by sanction source and country.

XG would search a list record that contains OFAC sanctions information for Zachary Thul because the record meets the criteria. XG would also search a list record that contains OFAC sanctions information and adverse media incidents for Thul Construction because the record meets the criteria even though the record contains additional adverse media data.

XG would not search a list record that only contains adverse media incidents for Zachary P. Thul, because without OFAC sanctions information, the record does not meet the search criteria. Consequently, XG would not return a result for the entity name match for this list record when your purpose was searching for sanctions information.

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SOE Search Example

The following SOE search example shows how you can use search criteria to focus your search.

You want to search for a Chinese SWF (sovereign wealth fund) that has special voting rights and operates in the manufacturing domain with headquarters in the United States.

You search the WorldCompliance Data Plus list with the following search criteria options set in the SOE segment:

• The China search criteria in the SOE: Ownership or Special Voting Right Country group

• The Manufacturing search criteria in the SOE: Domains group

• The Special Voting Rights search criteria in the SOE: Total Minimum Ownership Percentage

and Special Voting Right group

• The SWF search criteria in the SOE: Subcategory group

XG searches the SWF records that contain the China, Manufacturing, Special Voting Rights, and SWF search criteria.

Detai l ed Res ul ts

XG returns all matches for an input entity in a single alert. The data for each match against a WorldCompliance entity is grouped by segment with clearly-labeled fields. This segmentation lets you focus on the entity data that is most relevant to your business needs.

Alert Example

LexisNexis Risk Solutions strongly recommends that you use the new alert view when you view alerts that contain WorldCompliance Data Plus matches in the application. Alerts in the classic alert view do not display all list entity information.

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Profile Data

For each match, XG provides profile data about the input entity, the list entity, and the match results. This profile data summarizes the match.

The following result information is provided for the match based on the availability of the information in open-source media:

• Profile picture • List entity name • Profile ID

The profile ID, also called a proprietary UID (user identification number), is a unique ID that LexisNexis Risk Solutions generates for the list entity. This ID is not the LexID® number.

• Match summary

Match Summary

The match summary provides information in a table format about the input entity, the list entity, and the search core analysis.

For the list entity, the match summary uses the following icons to indicate whether the data element was a match:

(highly likely match)

•

(somewhat likely match)

•

(less likely match)

The search core analysis may indicate whether the data element was a match or lists the match confidence score.

Profile Data Example

Depending on the entity type, the following information is provided for the match:

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Business Entities

For business entities, the following input information may be provided in the match summary:

• Entity type • Entity name

For the entity names in the list record, the table may indicate the type of entity, AKA, or native script. • ID numbers

For the ID numbers in the list record, the table may indicate the ID type, the associated country, the issue date, or the issuer.

• Addresses

For addresses in the list record, the table may indicate the address type or country association type.

Individual or Unknown Entities

For individual or unknown entities, the following input information may be provided in the match summary:

• Entity type • Entity name

For the entity names in the list record, the table may indicate the type of entity, AKA, or native script.

• Date of birth • Gender • ID numbers

For the ID numbers in the list record, the table may indicate the ID type, the associated country, the issue date, or the issuer.

• Address

For addresses in the list record, the table may indicate the address type or country association type.

• Place of Birth • Citizenship

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List Entity Information

For each match, XG provides the list entity information from the record that contained the match. This information includes screening list information, entity data that is organized by segment or provided for relationships, comments, and record sources.

Example of List Entity Information

Screen in g L i s t In f o r mation

For each match, XG provides information from the list record that contained the match.

Example of Screening List Information

The screening list information includes the list name, the date that the list file was built, the date that the record was created, and the date that the record was last updated.

In addition, the reason that the entity was listed may be provided for only matches against screening lists that are provided by LexisNexis Risk Solutions, legacy WorldCompliance lists, and custom screening lists.

In addition, the position and entity status may be provided only for matches against the WorldCompliance Data Plus list.

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When XG determines that the match is an automatic false positive, the following information is displayed:

• The false positive confidence score that XG determined for the match, which is based on the specified

rules for LexisNexis® Intelligent Match Decision Solution (IMDS) This score indicates how confident the rules are that the match is a false positive. The score can range from 0.0000 (no confidence of a false positive) to 10.0000 (full confidence of a false positive).

This value is not the same as the match confidence score (70-100) that XG determines for each match to indicate how likely that the input entity is a possible match.

• The reason codes that were returned for the match, which are based on the specified rules for IMDS • The intelligent match decision rules that were used to determine that the match was an automatic

false positive

This information is available only if rules were configured in the predefined search and used to determine that the match was an automatic false positive.

For more information about the rules for IMDS and possible reason codes, see the Rules for LexisNexis® Intelligent Match Decision Solution technical reference guide.

Segm en t D a ta a nd Relationships

For each match, XG provides information about the matching list entity. This information is organized by data segment and also includes information about the entity's relationships.

Segment Data

The following segment data may be returned:

Sanctions

Each sanctions listing can contain the country and the WorldCompliance source.

Enforcements

Each enforcement incident can contain the following information:

• Country • Subcategory • WorldCompliance source

Adverse Media

Each adverse media incident can contain the description and the subcategory.

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PEP

Each PEP role can contain the following information:

• PEP status

Possible values: • Active • Inactive • Unknown

• PEP type: Primary or Secondary • Country • Administrative unit • Administrative level (for example, National) • Subcategories • Country role

Possible values: • MicroPEP • PEP • Unknown

• Governing institution (for example, Office of the President) • Governing role (for example, President) • Effective date of the role • Expiration date of the role

SOE

Each SOE entity can contain the following information:

• Status • Total ownership percentage • Subcategory • Domain • Ownership country • Ownership country percentage

Registration

Each registrations entry can contain the subcategory and the WorldCompliance source.

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Additional Segments

Each additional segment entry can contain the subcategory and the WorldCompliance source.

Example of Segment Data

Relationships

Each relationship can contain the following information:

• Entity name

The name links to the list record for the related entity.

• Relationship group Possible values: • Associations • Companies • Family • MSOE MSWF

• Relationship type (for example, Relative or Associate) • Ownership percentage • Segment

Example of Relationships

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About LexisNexis® Risk Solutions

LexisNexis® Risk Solutions harnesses the power of data and advanced analytics to provide insights that help businesses and governmental entities reduce risk and improve decisions to benefit people around the globe. We provide data and technology solutions for a wide range of industries including insurance, financial services, healthcare and government. Headquartered in metro Atlanta, Georgia, we have offices throughout the world and are part of RELX Group (LSE: REL/NYSE: RELX), a global provider of information and analytics for professional and business customers across industries. RELX is a FTSE 100 company and is based in London. For more information, please visit www.risk.lexisnexis.com and www.relx.com.

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