Anti-Corruption, Adverse Media Watchlist RISK DATABASE

1 The Dow Jones Risk & Compliance online interface is the online solution for critical information on high-risk persons and entities from around the world. From here users can access the anti - corruption , Adverse Media and Watchlist content sets. The hints and tips below will ensure users get the most out of their subscription. RISK DATABASE The Risk DATABASE tab provides comprehensive records on the following Watchlist content categories: Politically Exposed Person / Government Official Relative/Close Associate of either a PEP or Special Interest Person/Entity Special Interest Person or Special Interest Entity cited in a Sanctions List Special Interest Person Special Interest Person or Special Interest Entity cited in an Other Official List anti - corruption subscribers have access to two additional content categories: State-Owned or State-Controlled Corporation Represents members of the supervisory board, board of directors or management board of State-Owned Companies.

2 Adverse Media * subscribers have access to two additional categories: Adverse Media Person Relative/Close Associate of an Adverse Media Person * Adverse Media focuses on individuals who may have committed lower level crimes within the categories of Financial Crime, Organised Crime, corruption and Trafficking. This data complements the Special Interest Person (SIP) category, which focuses on higher level crime. Within the Risk DATABASE tab there are three Search tabs: Search Search by Name Type Search by ID Number Type Copyright 2013 Dow Jones & Company. All rights reserved. 1. Search Choose Content Set The search can be restricted to a particular content set or content sets. The options available will depend on the user s subscription. Free-Text Search Box Type search criteria in the free-text box to search for persons or entities or both. Searches can be refined using the following options: a) Use the radio buttons above the free-text box to limit searches to persons or entities b) Select from the available Search Types; Precise, Near and Broad.

3 The Search Types displayed will depend on the settings determined by the Account Administrator. The settings options are: Precise + Near, Precise + Broad, or Precise + Near + Broad. For a more detailed overview of the Search Types see the Enhanced Linguistic Search section. Copyright 2013 Dow Jones & Company. All rights reserved. c) Expand the search to Profile Notes and/or Occupation Title fields. Use the tick boxes beneath the free-text box. The search will look for the name or term entered in the Profile Notes or Occupation Title field. o Profile Notes These provide an explanation as to why a person or entity has a , or label and are based on open source information. Links to related articles are also provided for profiles. The search looks for an exact match within the profile notes of the term entered. It does not look for a fuzzy match. o Occupation Titles The search includes current and former positions.

4 The search looks for an exact match of the individual terms entered within the occupation titles. It does not look for a fuzzy match. Date of Birth Search Users can search a Date of Birth or Year of Birth Range in conjunction with a name to narrow the results to records that match the name as well as the date of birth. On the Date of Birth tab users can search on the day/ month/year, month/year, or year of birth. If a profile does not have a date of birth the profile will be returned as a potential match. If Strict Date Match is not selected and day and month values are selected, the search results will include those profiles where the day and month values are the opposite way around. If Strict Date Match is selected, the search looks for exactly the date entered. There will be no match if the day and month values in the search and profiles are swapped. Sample Search: Profile of Adam Smith has DoB 5th Apr 1973 Name Searched DoB search terms Strict Date Match Result Adam Smith 05 Apr 1973 Not checked Profile found Adam Smith 04 May 1973 Not checked Profile found Adam Smith 05 Apr 1973 Checked Profile found Adam Smith 04 May 1973 Checked Profile not found On the Year of Birth Range tab users can select a year range for the search, search between 1970 and 1976.

5 Copyright 2013 Dow Jones & Company. All rights reserved. Using Search Filters Each person or entity record is indexed using a robust and granular taxonomy that allows users to search on very specific search criteria to minimise false positives. Using Search Filters users can refine their search to certain countries, PEP or Special Interest categories, Sanctions Lists or Other Official Lists. Click on + next to any category and highlight the relevant criteria by clicking once. Double click on a term to exclude it from the search. The State Ownership Filter allows users to filter results based on current state ownership levels of State-Owned Corporations. Search Filters can be used in conjunction with a free-text search or on their own. 2. Search by Name Type Copyright 2013 Dow Jones & Company. All rights reserved. Choose Content Set The search can be restricted to a particular content set or content sets.

6 The options available will depend on the user s subscription. Name Search Boxes Within the Search by Name Type tab select the Person or Entity tabs. Enter a person or entity name into the relevant fields for a more targeted search. On the Person tab, if a name is entered in the Surname field, the search will only look for that name in the surname field. It will not return results if that surname is in a first name field on a record. Select from the available Search Types; Precise, Near and Broad. The Search Types displayed will depend on the settings determined by the Account Administrator The settings options are: Precise + Near, Precise + Broad, or Precise + Near + Broad. For a more detailed overview of the Search Types see the Enhanced Linguistic Search section. Date of Birth Search This functionality is described in section above. Using Search Filters This functionality is described in section above.

7 3. Search by ID Number Type Users can search the Risk DATABASE content using the ID Number Types listed above. Included in the list is the Dow Jones Profile ID, the unique number Dow Jones allocates to each profile. By searching on the ID types or, once known, the Dow Jones Profile ID, users can save time, finding relevant records quickly. Copyright 2013 Dow Jones & Company. All rights reserved. Enhanced Linguistic Search Enhanced Linguistic Search is the Search on the Risk DATABASE tab. It combines the strength of a standard fuzzy search with a phonetic and linguistic search. Search results are given a % match and listed in order of relevance to the search allowing users to take a targeted approach to match clearing. There are three Search Type settings: Precise, Near and Broad. The default setting is Precise + Near. Precise The Search Type Precise looks for exact and very close matches to the search criteria.

8 Very close matches are those where the first name and surname are inverted or the first name searched is in the middle name field on a profile. For example: Search Match % David Cameron David Cameron 100% David Cameron David William Donald Cameron 100% David Cameron Bruce David Cameron 96% Precise does not look for linguistic matches. Precise does not find a match if there are typos in the searched name or if characters are transposed between the name searched and the name on the profiles. For example searching Sani Abatcha would not find the record for Sani Abacha, searching David Caberon/David Camreon would not find the profile for David Cameron, David William Donald Cameron or Bruce David Cameron. Precise is useful for focusing on the closest match to a name. Near The Search Type Near goes beyond Precise to look for linguistic matches such as phonetic and transcription variations and long and short forms of names.

9 It can match common numbers with words and symbols in entity names. It can also match typos in words of a certain length. For example: Variation Search Match % Phonetic Elizabeth Whyte Elisabeth Whyte 96% Transcription Boris Jelzin Boris Eltsin 94% Transcription Abd laziz Buteflika Abdelaziz Bouteflika 90% Transcription Mija l Serg yevich Gorbachov Mikhail Sergeyevich Gorbachev 92% Transcription Lyu Youqing Lu Youqing 94% Transcription Somsak Kietsuranon Somsak Kiatsuranont 94% Short/Long Form Joe Allman Joseph Allman 90% Entity Abbreviation Aberdeen Management Ltd. Aberdeen Management Limited 98% Common numbers/symbols 1st Transport Management OJSC First Transport Management OJSC 99% Typo* David Caberon David Cameron 77% *Typos are only tolerated on names over five characters long if another name element is a 100% match. Otherwise typos are only tolerated on Near on name elements over seven characters long.

10 On the Search tab, if one element of a person s name is entered Near will look for that name in the Surname field. Please note: owing to the characteristics of different scripts, not all of the above variations apply to all scripts. Near is recommended to take advantage of the linguistic search capability. Near finds close and feasible matches. Copyright 2013 Dow Jones & Company. All rights reserved. Broad The Search Type Broad looks for the same as in Near matches, plus less common linguistic variations, typos in shorter name elements and transposed characters. For example: Variation Search Match % Typo* Angelb Merkle Angela Merkel 54% Transposed characters Myanmar Salt and Marine Chemcials Enterprise Myanmar Salt and Marine Chemicals Enterprise 94% Transposed characters David Camreon David Cameron 71% Transcription Julia Tymoszenko Yulia Volodymyrivna Timoshenko 84% *Typos are tolerated on words over five characters long using the Search Type Broad.