CyberGrants' Standard List Package
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Description
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| The following are the standard watchlists used by CyberGrants for baseline scanning across all programs. |
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| Australia Dept of Foreign Affairs and Trade | Australia enacted a charter in response to a United Nations (UN) resolution following the September 11, 2001, terrorist attacks on the United States. Australia's charter includes entities listed in the UN Consolidated List, plus unique entities designated by Australia's Minister for Foreign Affairs. The consolidated list of entities is maintained by Australia's Department of Foreign Affairs and Trade (DFAT), which is active in Asia-Pacific and other world-wide efforts to counter terrorism. Australia passed legislation making it a criminal offense to give, use, or deal with funds, other financial assets, and economic resources owned or controlled by entities on this list. |
| Bureau of Industry and Security |
The LexisNexis® Risk Solutions Bureau of Industry and Security watchlist is a compilation of three unique lists published by the United States Department of Commerce, Bureau of Industry and Security (BIS):
Denied Persons List — individuals and entities denied export privileges.
Unverified List — parties where BIS has been unable to verify the end-user for prior transactions.
Entity List — parties whose presence in a transaction can trigger a license requirement under the Export Administration Regulations.
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| Commodity Futures Trading Commission Sanctions |
Congress created the Commodity Futures Trading Commission (CFTC) in 1974 as an independent agency with the mandate to regulate commodity futures and option markets in the United States. The agency's mandate has been renewed and expanded several times since then, most recently by the Commodity Futures Modernization Act of 2000.
The CFTC's mission is to protect market users and the public from fraud, manipulation, and abusive practices related to the sale of commodity and financial futures and options, and to foster open, competitive, and financially sound futures and option markets.
Our CFTC list represents the CFTC's Reparations Sanctions in Effect list and Administrative Sanctions in Effect list. The CFTC's Reparations Sanctions in Effect list contains disciplinary records for entities that have not paid awards levied against them in proceedings under the CFTC reparations program and those listed cannot trade on any contract market. The CFTC's Administrative Sanctions in Effect list contains registration and trading sanctions currently in effect as a result of administrative enforcement or statutory disqualification proceedings.
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| Defense Trade Controls DTC Debarred Parties | The U.S. Department of State maintains lists of persons who are not allowed to participate, either directly or indirectly, in any transaction that requires a State Department license or State Department approval. Our DTC (Defense Trade Controls) Debarred Parties list contains the names of individuals and companies who are subject to export-related sanctions by the U.S. government, particularly regarding defense articles or services. The entities are prohibited from participating directly or indirectly in the export of defense articles, technical data, and defense services. This list is a consolidation of the U.S. Department of State lists: Statutorily Debarred Parties and Administratively Debarred Parties. |
| Excluded Party List System (EPLS) |
The U.S. federal government publishes a list of individuals and firms excluded by various federal government agencies. It includes those who are not allowed to receive federal contracts or federally approved subcontracts as well as those who are excluded from certain types of federal financial and nonfinancial assistance and benefits. The Excluded Parties List System (EPLS) is published by the U.S. General Services Administration (GSA) and is intended to be a single comprehensive list regarding such exclusions.
Various U.S. government agencies include their sanction and/or exclusion information in the EPLS. For example, OFAC (Office of Foreign Assets Control) includes its list of Specially Designated Nationals and the U.S. Bureau of Industry and Security (BIS) includes its Denied Persons List. In many such cases, the federal agencies maintain an internal agency system similar to EPLS, and LexisNexis® Risk Solutions may publish those watchlists independently from the EPLS watchlist. For example, if you scan against EPLS
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| EU (European Union) Consolidated List | A consolidated list of entities subject to EU financial sanctions was developed and is maintained for the European Commission by the European Banking Federation, the European Savings Banks Groups, the European Association of Co-operative Banks, and the European Association of Public Banks. All persons and entities doing business in the EU, including non-EU citizens and businesses established in the EU but doing business outside the EU, are required to freeze all funds and economic resources of entities on the list, and are prohibited from making funds or economic resources available. |
| FATF Financial Action Task Force |
The FATF Financial Action Task Force watchlist is used by firms to help identify locations that may pose a higher risk of money laundering or terrorist financing. FATF is the global standard setting body for anti-money laundering and combating the financing of terrorism (AML/CFT). In order to protect the international financial system from money laundering and terrorist financing risks, and to encourage greater compliance with AML/CFT standards, the FATF identified jurisdictions that have strategic deficiencies. Along with the FATFstyle regional bodies, FATF works with jurisdictions to address those deficiencies that pose a risk to the international financial system.
Most regulators agree that an institution should understand and evaluate the specific risks associated with doing business in, opening accounts for customers from, or facilitating transactions involving these locations.
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| FBI Most Wanted | The Federal Bureau of Investigation (FBI) most wanted watchlist contains the FBI's Featured Fugitives and FBI's Crime Alerts. The featured fugitives are grouped according to crime categories, Crimes Against Children, Criminal Enterprise Investigations, Cyber Crimes, Domestic Terrorism, Violent Crimes, and White Collar Crimes. The watchlist includes detailed descriptions of the fugitives. |
| FBI Most Wanted Terrorists | Alleged terrorists on the Federal Bureau of Investigation (FBI) Most Wanted Terrorists list have been indicted by federal grand juries in various jurisdictions in the United States. Although this list was released following the September 11, 2001, attacks on the United States, these alleged terrorists are charged with other activities, including participation in the 1993 World Trade Center bombings; bombing of embassies in Tanzania and Kenya; hijacking a jetliner in 1985; and detonating a tanker truck in 1996 at Khobar Towers military complex in Saudi Arabia. The indictments allow the individuals to be arrested and brought to justice. The FBI works with the State Department to offer a reward for information leading to the arrest of the individuals on this list. |
| FBI Seeking Information | In its war on terrorism, the Federal Bureau of Investigation (FBI) maintains a list of persons who may be involved or can help locate those believed to be involved in terrorist activities. The FBI Seeking Information list contains photographs and other descriptive information on such persons. |
| FBI Top Ten Most Wanted | The Foreign Agents Registration Act (FARA) is a disclosure statute requiring that agents representing the interests of foreign powers be properly identified to the U.S. public. Disclosure of the required information facilitates evaluation by the U.S. government and the American people of the statements and activities of such persons in light of their function as foreign agents. The FARA Registration Unit of the Counterespionage Section (CES) in the National Security Division (NSD) is responsible for the administration and enforcement of the act.
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| Her Majesty's Treasury Investment Ban List | Published by HM Treasury in the UK, the Investment Ban List contains the names of investment ban targets designated by the EU under legislation relating to current financial sanctions regimes. The individuals and entities on this source list were designated in relation to EU measures against Burma/Myanmar. As the designees are named under programs that lack legal basis for asset freezing in the UK, these designees are not duplicated in the Consolidated List of Financial Sanctions Targets, also published by HM Treasury in the UK. |
| HM Treasury Sanctions Watchlist | Our HM Treasury Sanctions watchlist contains jurisdictions subject to financial sanctions or economic measures administered by Her Majesty's Treasury in the United Kingdom. In addition to restrictions targeting specific individuals and entities, sanctions programs sometimes control or restrict certain activities to and from other persons, entities, or bodies within a jurisdiction. Accordingly, files containing information relative to such jurisdictions are flagged to prompt enhanced due diligence before proceeding. |
| Hong Kong Monetary Authority | Established in April of 1993, the Hong Kong Monetary Authority (HKMA) is the government authority in Hong Kong responsible for maintaining monetary and banking stability. One of its main functions is to promote the safety of Hong Kong’s banking system through the regulation of banking business and the supervision of authorized institutions.
To give effect to UN resolutions that prohibit making of funds available to designated terrorists, a list of designated terrorists is published in the Gazette. Banks subject to the authority of HKMA should check the names against their records and report any current or past transactions or relationships with the named individuals or entities to the Joint Financial Intelligence Unit and the HKMA. For Hong Kong-incorporated authorized institutions, the requirements also apply to their overseas branches or subsidiaries.
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| Interpol Most Wanted | Interpol is the world’s largest international police organization, with almost 200 member countries. It facilitates cross-border police cooperation, and assists organizations, authorities, and services whose mission is to prevent or combat international crime. Interpol collects and analyzes data from its member countries.
The persons on Interpol's Most Wanted list are provided in Red Notices issued by Interpol to seek the provisional arrest of a wanted person with a view to extradition based on an arrest warrant or court decisions. These wanted persons are sought by various national jurisdictions or the International Criminal Tribunals. Interpol's role is to assist the national police forces in identifying or locating these persons. Publicity gained from exposure on the Most Wanted List allows the warrant to be seen by people all over the world.
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| Ireland Financial Regulator Unauthorized Firms | The Financial Regulator in Ireland publishes warning notices naming entities operating as investment firms in Ireland without appropriate authorization from the Central Bank of Ireland.
These warnings are used to make our Ireland Financial Regulator Unauthorized Firms watchlist.
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| Japan FSA | The Japan Ministry of Economy, Trade, and Industry (METI) is comprised of many bureaus and government agencies. This watchlist contains entities listed on the Trade and Economic Cooperation Bureau's Trade Control’s Security Export Control Policy Division’s weapons of mass destruction (WMD) foreign end user list. |
| Japan MOF Sanctions |
The Japan MOF International Bureau generates the sanction list comprised of United Nations (UN) and Japanese sanctions programs. This watchlist contains information about entities sanctioned under programs that are rooted in the UN Sanctions Programs. The data included in this watchlist contains individuals and entities designated under the following UN sanctions programs:
- Al Qaida and the Taliban: Resolution 1267 (1999)
- Côte d'Ivoire: Resolution 1572 (2004)
- Democratic People's Republic of Korea (DPRK): Resolution 1718 (2006)
- Democratic Republic of the Congo: Resolution 1533 (2004)
- Iran: Resolution 1737 (2006)
- Iraq: Resolution 1518 (2003) and Resolution 1483 (2003)
- Liberia: Resolution 1521 (2003) (Travel Ban and Asset Freeze)
- Libya: Resolutions 1970 and 1973 (2011)
- Sierra Leone: Resolution 1132 (1997) (Travel Ban only)
- Somalia and Eritrea: Resolutions 751 (1992) and 1907 (2009)
- Sudan: Resolution 1591 (2005)
This watchlist contains unique content as well. Additional sanctions programs contained in the MOF include:
- Former Yugoslavian President Slobodan Milosevic and associates
- Terrorists designated by the Government of Japan
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| Limited Denial of Participation, HUD Funding Disqualifications (HUD LDP) | The United States Department of Housing and Urban Development publishes information about parties (individuals & companies) who fail to comply with HUD program standards. Actions taken against these parties are called Limited Denials of Participation (LDP). Parties who have been issued an LDP should be prevented from new participation in a HUD program. In most cases, the causes of an LDP action could be remedied by the party. Generally speaking, LDPs are effective nationwide in the United States unless otherwise noted by HUD, and an LDP typically expires in one year. |
| Nonproliferation Sanctions | The Nonproliferation Sanctions watchlist contains entities designated by the Department of State's Bureau of International Security and Nonproliferation (ISN). The United States imposes sanctions under various legal authorities against foreign individuals, private entities, and governments that engage in proliferation activities. The ISN is responsible for managing a broad range of nonproliferation and arms control functions, including nonproliferation sanctions lists. We compile these into our single Nonproliferation Sanctions watchlist. |
| OFAC Non-SDN Entities
| The U.S. OFAC created a list of persons who are elected to the Palestinian Authority on the party slate of terrorist organizations, including Hamas. These persons do not appear on the Specially Designated Nationals (SDN) list. To uniquely identify these names, OFAC created the program code, NS-PLC, which stands for Non-SDN Palestinian Legislative Council.
In July 2012, the President of the United States signed an Executive Order ("E.O.") "Authorizing Additional Sanctions With Respect to Iran" adding additional names to the List of Foreign Financial Insititutions Subject to Part 561 (the Part 561 list).
The LexisNexis OFAC Non-SDN list contains both the NS-PLC list and the Part 561 list.
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| OFAC Sanctions (COUNTRY.CDF) | The OFAC Sanctions Programs List contains several countries with which financial transactions, imports and/or exports, and travel are strictly controlled. Entities included in OFAC's Sanctions Programs are believed to be a threat to the national security or foreign policy of the United States.
We obtain the information for this watchlist from OFAC. An index of the current sanctions programs is available at OFAC's Website. The presence of a country's name on this index does not necessarily mean that the entire country is sanctioned. Each sanctions program is unique because each is designed to achieve specific foreign policy goals. Some programs may be very comprehensive, while others may be limited, involving only certain individuals. Many are somewhere in between. Because they vary widely, a compliance officer typically reviews each program for its requirements.
If a sanctions program targets only specific individuals, and those individuals are also named on the SDN list, we generally do not include that country name in this watchlist.
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| OFAC SDN | The LexisNexis® OFAC Specially Designated Nationals and Blocked Persons (SDN) watchlist contains entities that are subject to economic sanctions programs administered by the US Department of Treasury, Office of Foreign Assets Control (OFAC). This watchlist includes individuals and organizations associated with such activities as narcotics trafficking, terrorism, democratic opposition and non-proliferation. We obtain information for this watchlist from the OFAC SDN list, which includes thousands of individuals, companies, organizations, shipping vessels, and banks. Our SDN watchlist also includes unique vessel owner records where OFAC has indicated a particular vessel has an owner.
OFAC updates their SDN list frequently, but not according to a schedule. Rather, names are added or removed as information or foreign policy changes.
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| OIG Exclusions | United States legislation, primarily the Social Security Act, prevents certain individuals and businesses from participating in federally-funded health care programs, including Medicare and Medicaid. Reasons for being excluded from such federally funded programs (both direct and indirect funding) include convictions for program-related fraud and patient abuse, licensing board actions and default on Health Education Assistance Loans. The Office of the Inspector General (OIG) maintains a list of all currently excluded parties called the List of Excluded Individuals/Entities (LEIE). |
| OSFI Consolidated List |
The LexisNexis® OSFI Consolidated List—Canada contains entities subject to financial sanctions administered by the Office of the Superintendent of Financial Institutions (OSFI) in Canada.
OSFI supervises and regulates Canadian financial institutions. We compile this watchlist to help institutions comply with specific regulatory measures in Canada. As of March 2011, the OSFI Consolidated List—Canada contains the following data provided by OSFI and Foreign Affairs and International Trade Canada (DFAIT):
- Burma - Democratic People's Republic of Korea (DPRK)
- Iran—Includes: Special Economic Measures Regulations (SEMA) and UN Iran
- Freezing Assets of Corrupt Foreign Officials—Egypt
- Freezing Assets of Corrupt Foreign Officials—Tunisia
- North Korea—Democratic People's Republic of Korea
- Syria
- Terrorism (AQ, Taliban, and Canadian Criminal Code) - Zimbabwe
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| OSFI COUNTRY |
The LexisNexis® Risk Solutions OSFI Country watchlist contains certain jurisdictions subject to financial sanctions or economic measures administered by the Office of the Superintendent of Financial Institutions (OSFI) in Canada. OSFI supervises and regulates Canadian financial institutions.
The list contains countries sanctioned by Canada's Special Economic Measures Act:
- Iran
- North Korea
- Syria
- Zimbabwe
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| Primary Money Laundering Concern 1 | LexisNexis® Risk Solutions maintains two watch lists of foreign jurisdictions and institutions designated as entities of “Primary Money Laundering Concern” under Section 311 of the USA PATRIOT Act. The file pmlcj.cdf contains the names of designated jurisdictions. The pmlc.bdf contains the names of designated institutions. Both are standard watch lists available in the Bridger Insight product line.
To learn more about compliance requirements related to the USA PATRIOT Act, we recommend that you consult the following Financial Crime Enforcement Network (FinCEN) Web site: http://www.fincen.gov/statutes_regs/patriot/index.html
The Treasury, through FinCEN, may require domestic financial institutions and agencies to take any of five following "special measures" against a PMLC designee. Therefore, if you determine that you have a true match to an entity on one of the PMLC lists, review the specific documentation (including the Federal Regsiter notice) about that entity at http://www.fincen.gov/statutes_regs/patriot/section311.html.
Regulatory Toll-Free Helpline: 1-800-949-2732 (Monday-Friday, 8 a.m. - 8 p.m., EST) This helpline is for financial institutions with questions relating to Bank Secrecy Act and USA PATRIOT Act requirements and forms.
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Primary Money Laundering Concern 2 |
LexisNexis® Risk Solutions maintains two watch lists of foreign jurisdictions and institutions designated as entities of “Primary Money Laundering Concern” under Section 311 of the USA PATRIOT Act. The file pmlcj.cdf contains the names of designated jurisdictions. The pmlc.bdf contains the names of designated institutions. Both are standard watch lists available in the Bridger Insight product line.
To learn more about compliance requirements related to the USA PATRIOT Act, we recommend that you consult the following Financial Crime Enforcement Network (FinCEN) Web site: https://www.fincen.gov/resources/statutes-regulations/usa-patriot-act
The Treasury, through FinCEN, may require domestic financial institutions and agencies to take any of five following "special measures" against a PMLC designee. Therefore, if you determine that you have a true match to an entity on one of the PMLC lists, review the specific documentation (including the Federal Regsiter notice) about that entity at https://www.fincen.gov/resources/statutes-and-regulations/311-and-9714-special-measures
Regulatory Toll-Free Helpline: 1-800-949-2732 (Monday-Friday, 8 a.m. - 8 p.m., EST) This helpline is for financial institutions with questions reating to Bank Secrecy Act and USA PATRIOT Act requirements and forms.
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| Southern Poverty Law Center Hate Map | Founded in 1971, the Southern Poverty Law Center (SPLC) is an American 501(c)(3) nonprofit legal advocacy organization specializing in civil rights and public interest litigation. Since the 2000s, the SPLC has maintained a listing of classified hate groups and extremists. This list is updated on an annual basis. |
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Terrorist Exclusion List | The Terrorist Exclusion List (TEL) was created within section 411 of the USA PATRIOT Act and authorizes the Secretary of State to designate terrorist organizations for immigration purposes. Foreign persons who provide support or are otherwise associated with a TEL organization may be refused entry into or may be deported from the United States, thus they are “excluded” from U.S. soil. |
| Unauthorized Banks |
Banking regulatory agencies frequently issue alerts about unofficial organizations acting as banks, financial services companies, and other financial institutions.
We gather data regarding unauthorized banks from several sources, including:
- U.S. Department of the Treasury
- Office of the Comptroller of the Currency (OCC)
- Financial Crime Enforcement Network (FinCEN)
- Office of the Superintendent of Financial Institutions (OSFI)
- Federal Deposit Insurance Corporation (FDIC) - Central Bank of the Bahamas
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| UK FSA |
The United Kingdom (UK) Financial Services Authority (FSA) is a nongovernmental and independent body that regulates the financial services industry in the UK. The industries regulated include banks and building societies, mortgage and insurance brokers and advisers. FSA publishes lists of unauthorized firms and individuals that are currently targeting UK investors. These lists are used to make the LexisNexis UK FSA watchlist.
There are four types of unauthorized entities in this watchlist all of which are not authorized or approved by UK FSA to offer financial services:
- Unauthorised firms and individuals
- Unauthorised overseas firms operating in the UK
- Unauthorised internet banks
- Notices and warnings issued by other foreign regulatory authorities
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| UK HM Treasury Asset Freezing Unit Consolidated List (formerly Bank of England Consolidated List) |
The source for this list is the United Kingdom Her Majesty's (HM) Treasury's Consolidated List of Financial Sanctions Targets list. A consolidated list of targets identified by the UN, European Union (EU), and United Kingdom (UK), this list may include narcotic traffickers and terrorists.
The responsibility for the administration of financial sanctions in the UK now resides with Her Majesty’s Treasury’s Asset Freezing Unit. Prior to October 2007, it was administered by the Bank of England (BOE) Financial Sanctions Unit. Many people still refer to this watchlist as the "Bank of England" or "BOE" watchlist.
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| UN Consolidated List |
UN Resolution 1267 established the Security Council Committee, which oversees sanctions imposed on individuals and entities belonging or related to the Taliban, Usama Bin Laden, and the Al-Qaida organization.
LexisNexis obtains information for this watchlist from those UN Security Council sanctions programs that involve asset freeze and/or travel ban requirements. The UN Consolidated List contains the following resolutions that have listed entities for asset freeze and travel bans, including the latest round of sanctions on Iran, resolution 1929, and the Eritrea/Somalia sanctions:
- Al Qaida: Resolution 1267 (1989 and 1999)
- Côte d'Ivoire: Resolution 1572 (2004)
- Democratic People's Republic of Korea (DPRK): Resolution 1718 (2006)
- Democratic Republic of the Congo: Resolution 1533 (2004)
- Guinea-Bissau Travel Ban: Resolution 2048
- Iran: Resolution 1737 (2006) and 1929 (2010)
- Iraq: Resolution 1518 (2003) and Resolution 1483
- Lebanon: Resolution 1636 (2005) (no data to date)
- Liberia: Resolution 1521 (2003) (Travel Ban and Asset Freeze)
- Libya: Resolution 1970 (2011) (Travel Ban, Arms Embargo, and Asset Freeze)
- Somalia and Eritrea: Resolutions 751 (1992) and 1907 (2009)
- Sudan: Resolution 1591 (2005)
- Taliban: Resolution 1988
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| World Bank Ineligible Firms |
The World Bank maintains a list of individuals and firms with which it refuses to do business because they were found to have violated the fraud and corruption provisions of the World Bank's Procurement Guidelines or Consultants Guidelines.
If debarred, entities become ineligible to be awarded any contract financed by World Bank, either permanently or for the period of time specified on each entry. World Bank’s ban extends to any company where a listed individual is the majority owner. For firms, the ban extends to related companies, defined by whether the firm either owns, or is owned by, any other company. In this case, ownership is again defined by establishing whether majority ownership exists.
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CyberGrant's Pharmaceutical Watchlist Package
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Description
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This watchlist package includes several lists focused on the pharmaceutical industry, including many lists from the U.S. Food & Drug Administration (FDA) | |
| FDA CLIIL | Once in the quarter the US Food & Drug Administration (FDA) issues a comprehensive list with all clinical investigators inspected and finally classified since 1977. In addition to name, address and contact details the list also comprises information on the classification, but also on deficiencies found. The list also contains addresses outside of the US. For the planning of studies with relevance for the US market the list provides an indispensable overview. |
| FDA Debarment List (Drug Imports) | The FDA Debarment List (Drug Imports) is a public list of persons currently debarred pursuant to sections 306(b)(3)(A) or (B) of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 335(b)(3)(A) or (B)) as published in the FEDERAL REGISTER (http://www.gpoaccess.gov/fr/) (FR) |
| FDA Debarment List (Drug Product App) | Firms or persons convicted of a felony under Federal law for conduct relating to the development or approval, including the process for development or approval, of any new or abbreviated drug application. |
| FDA Disqualification Proceedings | The Clinical Investigator - Disqualification Proceedings database provides a list of clinical investigators who are or have been subject to an administrative clinical investigator disqualification action and indicates the current status of that action. For each clinical investigator who is listed, links to related FDA regulatory documents (e.g., NIDPOEs, NOOHs, Presiding Officer Reports, Commissioner's Decisions) are provided, when available. |
| FDA Warning Letters | When FDA finds that a manufacturer has significantly violated FDA regulations, FDA notifies the manufacturer. This notification is often in the form of a Warning Letter. The Warning Letter identifies the violation, such as poor manufacturing practices, problems with claims for what a product can do, or incorrect directions for use. The letter also makes clear that the company must correct the problem and provides directions and a timeframe for the company to inform FDA of its plans for correction. FDA then checks to ensure that the company’s corrections are adequate. Matters described in FDA warning letters may have been subject to subsequent interaction between FDA and the recipient of the letter that may have changed the regulatory status of the issues discussed in the letter. |
