INFORMATION SERVICES FOR COMPREHENSIVE COMPLIANCE YAKOVLEV SERGEY INTERFAX GROUP

Transcription

1 INFORMATION SERVICES FOR COMPREHENSIVE COMPLIANCE YAKOVLEV SERGEY INTERFAX GROUP

2 RISK & COMPLIANCE PRODUCT MARKET CLIENT IDENTIFICATION PERSON S SCREENING: PEP S, CLOSE ASSOCIATES, SANCTIONS

3 INTERFAX INFORMATION SYSTEMS 1. KYC, legal entities and persons linkages identification, GBO analysis 2. FATF requirements and Russian AML laws special compliance product

4 SPARK IN NUMBERS 30 million registration data on legal entities and private entrepreneurs More than 65 official sources 0,5 million data on payment discipline of legal entities 17,5 million notices of bankruptcies and arbitration court cases 14 years presence on the market 24 million commercial and government contracts 27 million financial statements 20 years depth of archive

5 SPARK KEY SOURCES REGISTRATION DATA Registration of companies and individual entrepreneurs REPORTING Annual and quarterly reporting by legal entities ACTIVITY Participation in tenders, audits, staff recruitment RISK FACTORS Bankruptcies, litigation, ownership changes Federal Tax Service Unified State Register of Legal Entities, Unified State Register of Individual Entrepreneurs Federal State Statistics Service Classification codes, details of companies and accounting statements Federal Treasury State contracts, register of mala fide suppliers Supreme Court of the Russian Federation Arbitration cases, claims, enforcement proceedings Dun & Bradstreet Business information on legal entities all over the world Central Bank of Russia Reporting by banks and companies in the financial sector Federal Service for Intellectual Property Intangible assets and trademarks Single Federal Bankruptcies Information Register Announcements about bankruptcies, sale of property, securities Interfax Payment Monitoring system Information on payment discipline of legal entities and private entrepreneurs Corporate Information Disclosure Center Reporting, issue of securities, corporate events, incorporation SCAN System of media monitoring and analysis State Registration Bulletin Announcements about the reorganization and liquidation of legal entities

6 COMPANY CARD

7 UBOS & AFFILIATIONS

8 NEW RISK MEASURING Transition from data extraction to its classification and deep analysis, routine process automatisation Red flag reports under risk-oriented approach Bulk client verification with setting up of search parameters Daily update of PEP s lists X-Compliance simple and usable web interface to be compliant with KYC requirements Russian and Global sanction and terrorists lists Information on incomes and property of civil servants

9 MULTI-STAGE RISK ASSESSMENT Governing body Executives Beneficiaries Board of directors Owners Ultimate Beneficiaries Representatives Persons ASSESSMENT STEPS: 1. Finding connections between individuals and companies 2. Company's risk factors in accordance with 499-P Central bank requirements 3. Sanction screening, PEP s matching, reputation monitoring Country risk Legal entity Subsidiaries Reputation Compliance Risks Companies Sanctions Shareholders Financial Strength PEP s Counterparties 9

10 Негативныя информация в СМИ Страновой риск Пользовательские признаки Стадии ликвидации и банкротства Санкции Деловая репутация ПДЛ Проверка на аффилированность Финансовое положение MANAGING YOUR COMPLIANCE RISK PROFILE Sanctions PROFILE MANAGING STEPS: User s factors to monitor PEP s 1. Compliance risks allocation, which are critical for your company. Financial Strength Reputation 2. Adjustment of the risk boundary for each of the factors (green, yellow, red levels). 3. Front-office risk assessment. Country Risk Negative media environment Liquidation monitoring Affiliation check 10

11 THANK YOU FOR YOUR ATTENTION! YAKOVLEV SERGEY