Sanctioned Securities Monitoring Service

Sanctioned Securities Monitoring Service

Identify sanctioned domiciles, entities and all their issued securities to avoid significant fines.

Identifying securities linked to individuals, companies and beneficial owners so they can be added to your ‘do-not-trade, hold or service’ list every day is tedious and complex but of critical importance to avoid potentially staggering fines.

With the introduction of sectorial sanctions and the “50 percent rule” imposed by EU Member States and the U.S., navigating the maze of sanctioned securities is increasingly blurred. Effective sanctions compliance depends entirely on accurate identification of tainted entities and their issued securities.


   

Our Sanctioned Securities Monitoring Service

We help compliance professionals meet the challenge of observing the many global economic sanctions not only by simplifying the process of identifying securities but by keeping you up-to-date as the political and regulatory situation evolve.

The service provides a scrubbed daily list of securities related to an affected issuer or controlling person, identifying the regime(s) under which each is sanctioned, drawing from various international regimes, such as the EU, HK, UN, UK and US. As part of the service, we add a descriptive statement to each black-listed/flagged security detailing how it is linked to a sanctioned person or company. This alleviates the need for additional research by client advisors and gives you a clear at-a-glance overview.

By providing a comprehensive view of persons, related entities and their issued securities for pre- and post-trade screening, the SIX service allows clients to remain confident to transact and service in a regulatory environment that changes rapidly. Firms benefit by saving time and money on complex data sourcing, scrubbing and mapping, all the while minimizing the significant risk of reputational damage and large fines. This specialist single-source service allows our customers to reduce costly and resource-intensive data processing by subscribing to a straightforward list of affected securities and issuers. 

Key benefits

Reduce operational risk - your firm’s ‘do not trade, hold or service’ list is valid and current based on the all-encompassing SIX service

Reliably and automatically identify controlling ownership, circular ownership and sanctioning regime

Automation supported with a flexible delivery that integrates easily into any security master database, workflows and trading systems.

Ease the burden of your advisory and compliance team with narrative content about each sanctioned security

Key features

  • Know the controlling ownership of the securities you’re confronted with - even when complex structures or cross-border holdings aren't fully transparent
  • Extensive coverage of global and sectorial sanctions lists
  • Eliminate complex data sourcing, scrubbing, mapping and cross-referencing
  • Full load or delta files to support efficient security master updates
  • Narrative statement on explicit and implicit sanctioned securities
  • SIX proprietary risk factor of potentially sanctioned securities
     

Three service packages

All-encompassing pre- and post-trade screening

Russian Sanctions

Prohibitive War Material Restrictions

csv, xml

csv or xml

csv

Controlling ownership
 

Global & Sectorial sanctioned Securities

 

Risk factor of implicitly sanctioned securities

 

Switzerland, United-Nations, Europe, Office of Foregin Assets Control (OFAC) Regimes

 

Narrative statement

Affected issuers and their master data

 

All directly and potentially affected issued instruments from sanctioned companies

 

Options and underlying instruments of sanctions firms that were issued after  various sanctions effective dates

 

Structured products and their underlying instruments of sanctioned companies that were issued after various sanctions effective dates

Cluster Munitions

 

Anti-personal mines

 

Add-ons: Canada, Hong-Kong, United-Kingdom, Australia, Russian Sanctions, Prohibitive War Material Restrictions

 

 

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