USER GUIDE - Factiva

1 user GUIDE . Revision Date: 19th August 2013. Dow Jones Risk & Compliance user Interface user GUIDE Document History Revision History Revision Revision Date Summary of Changes Number 19-Aug-2013 Update for Adverse Media Entity 30-Jan-2013 Update for Adverse Media 25-Nov-2012 Update for Adverse Media 31-May-2012 Updated copyright information 26-Sep-2011 Updated to reflect branding guidelines 18-July-2011 user Interface Re-Design 2-July-2010 Supported Language Update 10-Mar-2010 Separated Anti-Corruption Section, Added Exclusion Rule and Associated Entities 5-Feb-2010 Combined Watchlist Only and Joint user guides and added Corporate Connections related content 19-Jan-2010 Updated retrieving a profile details, added anti-corruption section fields 04-Jan-2010 Review and addition of Corporate Connections v1.

2 15-Sep-2009 Launch of New UI user GUIDE Feb-2009 Updated user GUIDE 2 2013 Dow Jones & Company, Inc. All rights reserved. Dow Jones Risk & Compliance user Interface user GUIDE Table of Contents COPYRIGHT AND LEGAL INFORMATION .. 5. ABOUT THIS user GUIDE .. 6. SOFTWARE REQUIREMENTS .. 6. LOGIN .. 6. INTERFACE LANGUAGE .. 8. SEARCH HELP .. 8. SUPPORT .. 8. 8. RISK DATABASE SEARCH OVERVIEW .. 8. MORE INFO ICON .. 9. CONTENT SET .. 9. BUILDING A SEARCH .. 9. SEARCH TAB .. 9. SEARCH BY NAME TYPE TAB ..11. NAME SEARCH NOTES ..12. SEARCH BY ID NUMBER TYPE ..12. SEARCH FILTERS ..12. PEP SPECIAL INTEREST CATEGORY ..15. SANCTIONS LISTS ..16. OTHER OFFICIAL LISTS ..17. FILTER SEARCH NOTES ..18. SEARCH RESULTS ..19. SORTING SEARCH RESULTS.

3 21. MODIFY SEARCH ..22. NEW SEARCH ..22. SEARCH RETRIEVING A PROFILE DETAILS ..24. STATE OWNED COMPANIES ..26. ADVERSE MEDIA ..27. SEARCH SUMMARY TAB ..27. VIEWING ORIGINAL SCRIPT NAMES ..27. ASSOCIATED EXCLUSION RULE ..29. RETURN ..29. PRINTING A VIEW A DOW JONES RISK & COMPLIANCE PROFILE IN PDF FORMAT ..30. FEEDBACK ..30. CORPORATE SEARCH .. 31. HOW TO RUN A COMPANY SEARCH ..31. RUN SEARCH ..31. VIEWING COMPANY SEARCH MODIFY COMPANY SEARCH ..32. NEW COMPANY SEARCH ..33. RETRIEVING COMPANY RECORD DETAILS ..33. HOW TO RUN A EXECUTIVE SEARCH ..34. RUN SEARCH ..34. VIEWING EXECUTIVE SEARCH RESULTS ..34. MODIFY EXECUTIVE SEARCH ..35. NEW EXECUTIVE SEARCH ..35. RETRIEVING EXECUTIVE RECORD 3 2013 Dow Jones & Company, Inc. All rights reserved.

4 Dow Jones Risk & Compliance user Interface user GUIDE NEWS SEARCH .. 36. HOW TO BUILD A DOW JONES RISK & COMPLIANCE NEWS SEARCH ..37. RUN SEARCH ..38. BACK ..38. CLEAR SEARCH ..38. VIEWING DOW JONES RISK & COMPLIANCE NEWS SEARCH RESULTS ..40. MODIFY NEWS SEARCH ..40. NEW SEARCH ..41. DISPLAY NEWS SEARCH ARTICLES IN RICH TEXT FORMAT (RTF) ..41. HOW TO SEND NEWS SEARCH STORIES VIA EMAIL ..42. CANCEL ..42. SEND ..42. ADMINISTRATION OVERVIEW .. 43. ACCOUNT SETTINGS ..ERROR! BOOKMARK NOT DEFINED. CONTENT SET ..ERROR! BOOKMARK NOT DEFINED. PEP DEFINITION FILTER ..ERROR! BOOKMARK NOT DEFINED. HOW TO EXCLUDE REGIONS FROM SEARCH ! BOOKMARK NOT DEFINED. HOW TO EXCLUDE PEP OCCUPATION CATEGORIES FROM SEARCH RESULTS ..ERROR! BOOKMARK NOT.

5 DEFINED. BACK ..ERROR! BOOKMARK NOT DEFINED. RISK SCORES ..ERROR! BOOKMARK NOT DEFINED. SETTING RISK SCORES FOR ! BOOKMARK NOT DEFINED. SETTING RISK SCORES FOR PEP OCCUPATION CATEGORIES ..ERROR! BOOKMARK NOT DEFINED. DELETING RISK SCORE ..ERROR! BOOKMARK NOT DEFINED. DISPLAY OF RISK SCORES ..ERROR! BOOKMARK NOT DEFINED. EXPORT DATA ..ERROR! BOOKMARK NOT DEFINED. ADD CUSTOM MESSAGES ..ERROR! BOOKMARK NOT DEFINED. BACK ..ERROR! BOOKMARK NOT DEFINED. NEWS FILTER SETTINGS ..ERROR! BOOKMARK NOT DEFINED. HOW TO BUILD A NEWS FILTER? ..ERROR! BOOKMARK NOT DEFINED. SELECTING A ! BOOKMARK NOT DEFINED. SELECTING A LANGUAGE: ..ERROR! BOOKMARK NOT DEFINED. MORE OPTIONS ARE AVAILABLE TO FURTHER REFINE NEWS FILTERS: ERROR! BOOKMARK NOT DEFINED.

6 SAVE FILTER ..ERROR! BOOKMARK NOT DEFINED. CLEAR FILTER ..ERROR! BOOKMARK NOT DEFINED. HOW TO VIEW SAVED NEWS FILTERS? ..ERROR! BOOKMARK NOT DEFINED. BACK ..ERROR! BOOKMARK NOT DEFINED. 4 2013 Dow Jones & Company, Inc. All rights reserved. Dow Jones Risk & Compliance user Interface user GUIDE Copyright and Legal Information Information in this document, including URL and other Internet web site references, is furnished for informational purposes only, is subject to change without notice, and should not be construed as creating or implying any obligation or commitment by Dow Jones Risk & Compliance. Unless otherwise noted, any companies, organisations, products, people and/or events mentioned in examples given in this document, are fictitious and no association with any real company, organization, product, person or event should be inferred.

7 Complying with all applicable copyright laws is the responsibility of the user . Without limiting the rights under copyright, no part of this document may be reproduced, stored in or introduced into a retrieval system, or transmitted in any form or by any means (electronically, mechanical, photocopying, recording, or otherwise), or for any purpose, without the express written permission of Dow Jones Risk & Compliance. Dow Jones Risk & Compliance may have patents, patent applications, trademarks, copyrights, or other intellectual property rights covering subject matter in this document. Except as expressly provided in any written licence agreement from Dow Jones Risk & Compliance, the furnishing of this document does not give you any licence to these patents, trademarks, copyrights, or other intellectual property.

8 The names of actual companies and products mentioned within this document may be the trademarks of their respective owners. 5 2013 Dow Jones & Company, Inc. All rights reserved. Dow Jones Risk & Compliance user Interface user GUIDE About this user GUIDE This user GUIDE will cover all aspects of the user Interface without regard to the type of user . Depending on your subscription, some aspects of this GUIDE might not be applicable. Software Requirements Microsoft Internet Explorer 6+ is required to access Dow Jones Risk & Compliance Internet products. Microsoft Office 2003+ is required to view Dow Jones Risk & Compliance Country Profiles (MS Word), Search Reports and Risk Score Reports (MS Excel). A PDF viewer is required to view Dow Jones Risk & Compliance Profile exported to PDF.

9 Login Complete the following steps to access the internet version of Dow Jones Risk & Compliance: Open Microsoft Internet Explorer. In the Address bar, type and click Go. Select your preferred interface language from the list available from Interface Language . Enter the user ID, Password, and Name Space provided by Dow Jones. Click Log in or press Enter Note: If the user ID or Password entered is incorrect, an error message is displayed. An error message displays if, o Either, the user ID, Password or Name Space fields are empty. o Either, the user ID, Password or Name Space fields are incorrect. 6 2013 Dow Jones & Company, Inc. All rights reserved. Dow Jones Risk & Compliance user Interface user GUIDE o Name Space contains non-numeric values.

10 For accounts that have IP address restrictions, users will not be allowed to login if they are accessing the from an IP address that is not in the list of permitted IP address. For Users who are behind a proxy or firewall, please ensure that the following IP. addresses are permitted access: o o For security purposes, user login credentials are not cookied. Users should therefore input their user ID, Password and Name Space information and select their preferred Interface Language at the start of every session. The Risk Database section will be displayed after a successful login: Note: Depending on which type of user , some parts of the screen will not be visible. 7 2013 Dow Jones & Company, Inc. All rights reserved. Dow Jones Risk & Compliance user Interface user GUIDE Interface Language Dow Jones Risk & Compliance supports 9 interface languages; English, French, German, Spanish, Russian, Japanese, Polish, Chinese (Traditional) and Chinese (Simplified).