A CONSISTENT APPROACH FOR INTERNATIONAL CUSTOMER DUE DILIGENCE

IN COMPLIANCE WITH

ANTI MONEY LAUNDERING (AML) AND ANTI BRIBERY & CORRUPTION (ABC)
LEGISLATION

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Business Drivers

1. Comply with the existing International legal and regulatory requirements surrounding sanctions checking

2. To improve the efficiency of the sanctions checking process and thus support more frequent screening activity.

3. Deploy electronic systems that promote and facilitate effective Risk Oversight and Management Reporting

4. Demonstration and installation of international frameworks of good Risk Management and Compliance, support FSA (Banking)License

5. Create a consistent and cost effective approach for improved screening against countries targeted individuals, and institutions

6. Adopt a risk based approach to screening in turn reducing false positives and maximising efficiencies

7. Automate and maintain a complete audit trial of all activities performed as part of the counterparty screening process

8. Ensure the chosen solution is flexible and scalable to integrate with existing systems and additional data types (such IDv, Company Info)

9. Enable simple introduction of internal do not do business with lists

10. Maintain searchable central repository of activities for management, audit and regulatory visits

11. Deliver Workflow management and effective Case Management

12. Reduce Financial Crime losses

13. Realise cost savings and efficiencies through uniformity of CDD approach and integration with CRM’s

14. Successfully demonstrate compliance of the 2 minute rule when under internal Audit

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 How our Risk Solutions fit in the workflow

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Pause, Listen, Reflect, Improve

1. There is no need to reinvent the wheel

o development existing Policies to include a corruption and anti money laundering perspective.
Not forgetting to revise procedures and recommend systems and controls that demonstrate a
commitment to instill improved frameworks of compliance and risk management.

2. Involve stakeholders from across the business

o Understand the barriers to implement policies, procedures and controls. Establish business,
technical and regulatory buy in from each business unit and assess the levels of investment.

3. Technology can be an enabler

o Integrate automated systems, controls alerts with existing IT infrastructure. Ensure the new
systems enable a risk based approach when performing due diligence at the point of client
opening and on an ongoing/monitoring basis.

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Complete and Controlled Watchlist Screening

1. Faster and Safer Account Opening

o The simple UI and aggregated data set permits Lexis®Diligence to support an integrated and
consistent approach for effective client due diligence. With its full reporting capabilities and
intgeration with Bridger XG, you can feel safe and secure with the complete audit trial.

2. Easy, Efficient and Automated Ongoing Monitoring

o Performing risk-based ongoing due diligence on your entire customer base is made simple
and easy through using Bridger XG. Its intelligent Fuzzy Logic search engine coupled with
intuitive Case Management, Management Reporting and Integration tools eliminates
duplicate False Positive Matches reduces the time spent processing potential matches.

3. Complete, Secure and Full Audit Trial and Management Reports

o Demonstrating adequate procedures, whilst adhering to corporate security policies has never
been simpler. With Bridger XG’s comprehensive Systems Log, Usage Metrics and Password
policy, one can be assured that information is secure and correctly tracked throughout it’s
lifetime.

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Our AML and ABC Solutions

1. Lexis®Diligence
 The Lexis®Diligence application enables users to quickly check high-risk entities against global databases of news, company
filings, biographies, international legal case history sanctions and PEP lists to assist proof of identity and reveal associated
interests. Additional functionality can target derogatory news that has appeared in an unparalleled archive stretching back 35
years and covering 26,000 sources. Lexis®Diligence content includes the must-have world-class sources, as well as hard to find
specialised content. Lexis®Diligence is used by the world's top banks, law firms and blue chip companies to mitigate risk every
day

2. Bridger Insight™ XG
 XG can be configured to launch multiple simultaneous searches of your choice, all with a single transaction request.
 Extensive watchlist screening - with powerful search logic and low false positive rates
 Politically Exposed Persons (PEP) Screening - Utilises a strategic relationship between LexisNexis® and World-Check / Dow Jones
to provide integrated access to a database of known heightened-risk individuals and businesses. Coverage includes money
launderers, fraudsters, terrorists, organized crime and sanctioned entities, plus individuals and businesses from over a dozen
other categories
 Custom "hot list" - Protects your institution by creating a list of people and entities you do not want to do business with

3. LexisNexis Analytics
 There is a vast amount of news feeds to track in order to identify new risks when they arise. The challenge is to turn this flood
of information into intelligent alerts that add value rather than waste time and distract from the task at hand. Lexis Analytics is
built to monitor any chosen entity for potentially harmful references such as bankruptcy, terrorism or corruption in a more
effective manner. Each Analytics alert has been custom built against a unique combination of entity name, relevant issue and
selected content. This means that alerts will be focussed and relevant rather than meaningless noise.

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 Keu Benefits?

• Gain unique insight and make informed & confident decisions

• Protect your organisation from fraud, extremism and activism, counterfeiting, political risk
and other criminal activities with our enhanced due diligence solution for corporate security
professionals

• Mitigate financial risks and safeguard your corporate reputation with our extensive
investigative due diligence resources

• Fully auditable – includes time and date stamping to demonstrate compliance and provide an
audit trail.

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 SOLUTION
ILLUSTRATIONS

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One Simple User Interface for Individuals & Businesses

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Case Management & Workflow

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Risk and Compliance Oversight

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Adverse Media Batch Monitoring

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Adhoc Enhanced Company Information Research

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Adhoc Enhanced Company Information Research

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Adhoc Enhanced Company Information Research

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