Please check below for press releases, updates and other information from regulatory authorities, analyses and comments from relevant information providers and more.
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The pandemic has highlighted the need for remote customer onboarding. The EBA has developed some helpful guidelines for onboarding customers safely and in line with AML/CFT obligations.Coverage of this article:
What Are The EBA Guidelines?
The Legal Basis for the Development of the EBA Guidelines
What Are The EBA Guidelines for Remote Onboarding?
How Technology Can Assist Financial Institutions With the Implementation of EBA Guidelines
List updates available for selected sanctions lists/programmes involving
US OFAC SDN Lists (through US CSL List),
EU Consolidated Sanction List,
United Nations Sanctions and
United Kingdom HMT Sanction Lists.
Breakdown by sanction programme/regime where possible. Further lists to be added in the future.
Please note that for the analyzed US lists, the aggregated CSL list from the US Department of Commerce was considered, which includes OFAC lists, but has a different structure.
Key information on additional lists available.
Updates:
On a regular basis for defined lists. Date/time reflects the date of data retrieval from the website of the respective regulator, unless otherwise noted.
Please note that there may be time lags between OFAC published data and their availability in the CSL List of the U.S. Department of Commerce International | Trade Administration (ITA).
Higher update frequency on request.
Methodology:
Meta data analysis for additions, changes and removals of entries conducted with GCRD methodology (delta comparison), based on sources as indicated above.
Please keep in mind, that a listed party can be subject to different sanctions programs/regimes on a consolidated list. Changes in the sanctions program affiliations of a listed party may be counted as 'change' (and not as additions to or removals from a certain program/regime), unless otherwise noted.
Figures:
Primary name of listed party and additional names/identities (Alias/AKA), which also includes spelling variations. Analysis subject to list structure/availability. In the case of the EU List, the total number of names was considered, minus the number of unique identities in order to calculate AKA figures and comparable results.
Types:
Classification according to the respective sanction list. Please note that several lists categorize by 'entities' and 'persons' only (such as EU list). Vessels for example are not explicitly mentioned in these lists, however single vessels were included in the number of entities in the past.
Countries:
Country affiliations of the listed parties by address, carrier flag, citizenship or other data, based on analyzed information from the respective sanction list.
List action explained:
Added
New entry was added to the respective list.
Changed [ I ]
Entry has changed. Meta information on changed datafields in most cases available.
Changed [ II ]
Entry has changed in frequently changing data fields or has formatting changes.
Please note that field content may be inconsistent in terms of format across list versions, resulting in a high number of hits.
Please check possible relevance for your purpose in each case.
Changes may incude for example:
UK HMT Sanction Lists: Leading zeros or leading/trailing blanks in data fields such as 'ni_number', 'passport_details' or 'addresses'.
UN Sanction Lists: Leading zeros or leading/trailing blanks in data fields.
US Sanction Lists: Data field 'Source List Url' (through US CSL List).
EU Sanction Lists: Data field 'pdf_link'.
In addition, these changes may include spelling variations regarding small and capital letters or special characters.
Removed
Entry was removed from a respective list. Date reflects earliest available date/time where entry was not identified anymore.
Table "Sanctions Profiles":Columns explained
Sanction List
Releasing authority and name of sanctions program/regime.
Entries
"Primary names" and "Alias/AKA" entries for a respective party, which includes additional names, alias identities / AKAs or name variations/spelling variations.
Country affiliations
Country affiliations of listed parties were mapped from the relevant data fields in the respective lists such as by address, nationality/citizenship or other data and processed with gcrd methodology/algorythms. Click on the respective sanctions program and find more details about country affiliations.
Data formats
Click on document icon to open the consolidated list version in .pdf format.
Online Search
Click on magnifier icon to search directly on the website of the respective authority
As of / changes
Shows date of last check for updates and the date of last identified change.
More Info
Click on "i" icon to open detailed profile of the respective sanctions programme with additional information.
Please note that all figures are preliminary only and work in progress. Methodology is under development and subject to changes. See disclaimer ans FAQ for further information.
