Dow Jones Risk & Compliance Portal Quick Start …

1 Dow Jones Risk & Compliance Portal Quick Start guide management dashboard The management dashboard provides a comprehensive overview of recent regulatory trends and developments as well as an at-a-glance view of the current risks facing your organization. Recent Trends Click on a headline to read articles from the Wall Street Journal s Corruption Currents blog. Note: some articles are only available in full to paid subscribers. Risk Overview Gain a high-level understanding of risk based on your Compliance Screening results. See Compliance Screening section, p3, for more information. Country Risk Access data from Transparency International s 2011 Corruption Perceptions Index. Clicking on a country name will download a Dow Jones Risk & Compliance country profile (where available). 2 Search Look up individuals or companies against Dow Jones Risk & Compliance data to identify potential regulatory, reputational or business risk in the following categories: State-Owned Companies Relatives & Close Associates (of Politically Exposed Persons) Board Members (of State-Owned Companies) Sanctions Lists and Other Official Lists Politically Exposed Persons/Public Officials Special Interest Persons (persons with negative media) Free Text Search Enter the name of a company or individual for instant search results.

2 Search Report View a report of your search criteria and results and download a PDF for audit purposes. Category Icons Icons provide an instant view of the type of risk presented. Relevancy Scores Scores show the relevancy of each result to your original search query. Record View Click on a name to view the full record for an individual or company. Add to Screening Add a company or individual to your Compliance Screening directly from the record view. 3 Compliance Screening Compliance Screening offers the ability to upload and regularly screen third party relationships for risk. This area allows you to quickly view the risk status of your relationships, review and clear matches and track Compliance activities. Uploading Relationships for Screening Bulk Uploads Hit the Upload button to bring up File Upload options and to access the Relationship Upload Templates.

3 Individual Fields: ID, LASTNAME, MIDDLENAME, FIRSTNAME, TYPE, ADDRESS, CITY, POSTALCODE, COUNTRY, DOB, PHONE, EMAIL, COMPANYNAME, COMPANYID, OCCUPATION, ACTIVE, ORIGINAL SCRIPT NAME, BILLING CODE, PROJECT CODE, IDTYPE, IDVALUE Company Fields: ID, COMPANYNAME, REGISTRATIONNUMBER, TYPE, ADDRESS, CITY, POSTALCODE, COUNTRY, PHONE, SECTOR, ACTIVE, ORIGINAL SCRIPT NAME, BILLING CODE, PROJECT CODE, IDTYPE, IDVALUE Please Note: The fields shown in bold below are required. The file must be saved as .csv, and you are advised to use a CSV file editor that supports UTF-8. The fields listed below must be the first row of the file. Screen Uploaded Relationships Select this box to immediately screen newly uploaded relationships. Upload by Type Select Individual or Company and complete the relevant template to perform a bulk upload.

4 See examples below. 4 The ACTIVE field will only accept the values YES or NO . A YES value will include a relationship in Compliance Screening , a NO value will upload a relationship, but not screen it. Screening can be turned on and off after relationships are uploaded. The DOB (Date Of Birth) field format must be DD/MM/YYYY. Values in the Country fields should be entered in English Latin script, ISO2 or ISO3 country codes1. Manual Uploads Use the Add button to manually input individual relationships. 1 5 Compliance Screening dashboard My Company Relationship List Select multiple relationships to immediately screen, add or remove from automated screening or delete. Icons provide an at-a-glance view of the status of each relationship, and indicate whether screening and news tracking is enabled.

5 Daily Reports Download past screening reports. Screening Activity Audit View a comprehensive audit trail of all Compliance activities related to your screened relationships, and download a full audit log. Relationship Filters Access your highest risk alerts by selecting either alerts To be confirmed or Confirmed hits. 6 Status Icons Screening status: No Risk Alert / Relationship not yet screened Risk Alert detected Match confirmed Risk Alert cleared Type of relationship: Individual Company Screening enabled/disabled. Click icon to amend options. News tracking enabled/disabled. Click icon to amend options. Tracking Options Clicking on the Screening or Tracking icons will open a Tracking Options box. 7 Tracking Options Tracking Options: Screen against Compliance Data (default option) Screen a relationship against Dow Jones Compliance Data according to your selected screening intervals.

6 Track entity in Internet news sources Automatically monitor a selection of global Internet sources for mentions of a company or individual. Results will be displayed in the News dashboard . Track entity in Factiva global news database Automatically monitor the news archive for mentions of a company or individual. Results will be displayed in the News dashboard . Select Languages Factiva provides news from 200 countries in 27 languages. Select to track news in languages relevant to you. Company/Executive Options Factiva codes for companies and executives help you refine your news tracking results. 8 Additional options are available to further refine news tracking within Factiva: Include Factiva news risk filters Add pre-defined news filters to your search query for more targeted results. (Filters are added in the Preferences tab, see relevant section for details.)

7 Languages Select to track news in up to 27 languages By Company Name / Key Executive For improved accuracy of search results you can select the relevant company or executive from a list (based on Factiva company and executive codes). This ensures that results are always relevant to the specific entity you are tracking in the news. If you do not believe that any of the results displayed are a match you can select OK , which will set up news tracking using a free text search query. You may select either a company name/key executive OR industry, not both. Please note: Not all companies/executives have a Factiva code and therefore you will not always have the option to select from a list. By Industry You may select to refine your search query by limiting results to companies or executives associated to a particular industry (based on a pre-defined list of Factiva industries).

8 You may select either a company name/key executive OR industry, not both. 9 Relationship Investigation Clicking on the Investigate button above My Company Relationship List , or double-clicking on a relationship, will take you to the Relationship Investigation area. Note: This is only an option for relationships where a risk has been confirmed or detected . Risk Alerts Lists all potential matches for a relationship against Dow Jones Risk & Compliance data, with a relevancy score based on the amount of information matched. Users can set search thresholds in the Preferences section (see p 13) The Status column indicates whether an alert has been cleared , permanent cleared or confirmed . If no investigation has been started there will be nothing in the Status column. Tabs allow users to access further information about an alert.

9 Details: Information about a relationship from Dow Jones Risk & Compliance data Relationship: Information you have entered about a relationship Audit Log: Details of investigations carried out on potential matches including details of status Comments: Any comments inserted by users relating to potential matches 10 Handling Alerts A number of options are available within the Relationship Investigation screen: Open Allows you to re-open an alert that has previously been cleared or confirmed. Clear Marks an alert as cleared or permanent cleared. Permanent cleared will not cause the relationship to return back to risk alert detected (yellow) status due to an update on the permanent cleared risk alert. Updates to confirmed or cleared relationships will still cause the relationship to return to risk alert detected (yellow) status.

10 Confirm Confirms an alert and generates a report for this relationship containing details of all risk alerts. The report can be accessed from the Compliance Screening tab. Escalate to Dow Jones Send feedback directly to the Dow Jones Risk & Compliance research team. Comment Add internal comments about a relationship. Order Report Order a detailed Dow Jones Due Diligence report on a particular relationship. Please note that this service is charged separately to your Portal subscription. Please refer to the Due Diligence section for further details. If you do not currently have an agreement to use Dow Jones Due Diligence, please contact your Dow Jones representative. 11 News dashboard The News dashboard offers powerful functionality for monitoring relationships against global news media from Factiva and reputable internet news sources.