Watch Lists

To help identify applicants that may require additional monitoring, screening against the following watch lists is provided within the IDENTITY CHEK service.

Sanctioning Bodies

Bank of England (BOFE)

Data is taken from the Financial Sanctions Unit at the Bank of England on behalf of the Treasury in the United Kingdom. These sanctions restrict persons from making payments or financial assets available to designated countries, institutions or persons.

European Union (EU)

The Council of the European Union issues sanctions, which will often follow those of the United Nations but may also be the result of European policy. They may also be enacted by the individual member states. The sanctions cover the following areas: Terrorists, Afghanistan, Angola, Burma, Iraq, Liberia, Yugoslavia, and Zimbabwe.

Guernsey Financial Services Commissions (GFSC)

The Guernsey Financial Services Commission is the regulatory body for the finance sector in the Bailiwick of Guernsey, an offshore banking center separate from the British mainland. The Commission’s primary objective is to regulate and supervise financial services in Guernsey. The GFSC releases sanctions information that follows the schedules released by the United Nations, they also release enforcement information known as “public warnings”. These warnings are an advisory of organizations or individuals operating fraudulently within the GFSC’s jurisdiction.

Home Office (HO)

The United Kingdom Secretary of State is able to proscribe organizations that are banned under Section 3, Schedule 2 of the UK’s The Terrorism Act 2000. The Act, amongst other things, makes it an offense to raise or arrange financing for proscribed terrorist organizations.

Hong Kong Monetary Authority (HKMA)

The Hong Kong Monetary Authority does not formally issue sanctions at present, but follows several of the United Nations Security Council resolutions including:

Resolution 1267 (1999) Afghanistan / Resolution 1333 (2000) Afghanistan
Resolution 1483 (2003) Iraq
Resolution 1532 (2004) Liberia

The resolutions are republished in the Government Gazette and follow those imposed by the Office of Foreign Assets Control under US Executive Order 13224, primarily Specially Designated Global Terrorist [SDGT] Entities and Foreign Terrorist Organizations [FTO].

Isle of Man (IMFS)

The sanctions within the Isle of Man, an offshore banking center separate from the British mainland, are broadly parallel to those in force in the United Kingdom. These sanctions restrict people from making payments or financial assets available to designated countries, institutions or persons.

Jersey Financial Services Commission (JFSC)

The Commission is responsible for the supervision of the financial services sector as well as depositor, investor and policyholder arrangements on Jersey, an offshore banking center separate from the British mainland. The Commission undertakes regulation and supervision of banking, collective investment funds, insurance business, investment business and trust, and company service providers. The JFSC releases information that follows the United Nations sanctions program while also following the precedent set by the United Kingdom.

Monetary Authority of Singapore (MAS)

The Monetary Authority of Singapore does not issue sanctions but follows several of the United Nations Security Council resolutions including:

Resolution 1267 (1999) Afghanistan
Resolution 1532 (2004) Liberia

Office of Foreign Assets Control (OFAC)

The Office of Foreign Assets Control of the US Department of the Treasury issues and enforces economic and trade sanctions against targeted foreign countries, terrorism sponsoring organizations and international narcotics traffickers, based upon US foreign policy and national security goals.

Office of the Superintendent of Financial Institutions (OSFI)

The Office of the Superintendent of Financial Institutions is the primary Canadian regulator of financial institutions and pension funds and has established a list of entities compiled under the Criminal Code or the United Nations Suppression of Terrorism Regulations.

United Nations Security Council Committee (UN)

The United Nations Security Council Committee has primary responsibility for the maintenance of international peace and security. To achieve this, the Council may issue economic sanctions (such as trade embargoes) against countries and designated persons and organizations.

United States Department of State (DOS)

Section 411 of the USA PATRIOT ACT of 2001 (8 U.S.C.§ 1182) authorized the Secretary of State, in consultation with or upon the request of the Attorney General, to designate terrorist organizations for immigration purposes. This authority is known as the “Terrorist Exclusion List (TEL)” authority. A TEL designation bolsters homeland security efforts by facilitating the USG’s ability to exclude aliens associated with entities on the TEL from entering the United States. Two other categories also used by the State Department include:

Comprehensive LIST of Terrorist & Groups identified under Executive Order 13224
Most Wanted Terrorist List

Law Enforcement

Federal Bureau of Investigation (FBI)

The Federal Bureau of Investigation issues most wanted lists that cover both criminal and terrorist suspects.

Most Wanted Fugitives, Ten Most Wanted, Most Wanted Terrorists
Seeking Information
Hijack Suspects

Interpol (IP)

Interpol Wanted Fugitives are persons wanted by national jurisdictions. Interpol’s role is to assist national police forces in identifying or locating those persons with a view towards their arrest and extradition. The data is taken from Interpol ‘Red Notices’ which are those notices approved for public dissemination and represent only a small proportion of the full list.

Regulatory Enforcement

Asian/Pacific Enforcement Bodies

Hong Kong Monetary Authority (HKMA)

The Hong Kong Monetary Authority was established on 1 April 1993 by merging the Office of the Exchange Fund with the Office of the Commissioner of Banking. The Exchange Fund Ordinance and the Banking Ordinance govern its main functions and responsibilities. The HKMA releases alerts to the public advising them of suspected fraudulent websites operating within their jurisdiction.

Monetary Authority of Singapore (MAS)

The MAS issues a form of enforcements known as the “Investors Alert List”, this list contains individuals and organizations that are not regulated by the MAS and are therefore deemed unsuitable to conduct business with.

North American Enforcement Bodies

Commodity Futures Trading Commission (CFTC)

The Commodity Futures Trading Commission is mandated to regulate commodity futures and option markets in the United States. CFTC has the power to settle and bring charges, levy fines, prohibit persons from trading in the market for a specific period, arrange restitution to aggrieved persons, revoke registration of staff at member firms for a specified period. Enforcements and complaints are issued against individuals and organizations that have broken set rules.

Financial Crimes Enforcement Network (FCEN)

Under the Bank Secrecy Act (BSA), the U.S. Financial Crimes Enforcement Network (FinCEN) may bring an enforcement action against individuals or entities for violations of the reporting, record-keeping or other requirements of the BSA. Note: This list is NOT related to Section 314A of USA PATRIOT Act.

Office of Foreign Assets Control (OFAC)

Office of Foreign Assets Control publishes, on a weekly basis, information about civil penalties imposed and informal settlements. It is made available pursuant to Section 501.805, Part 501, Reporting and Procedures Regulations, Title 31, Code of Federal Regulations.

Office of the Superintendent of Financial Institutions (OSFI)

As part of its contribution to the soundness of the Canadian financial system, the Office of the Superintendent of Financial Institutions publishes a warning list of names that it believes may be of concern to the business community and the public. Neither the individuals nor the organizations named are regulated by OSFI or licensed under any Canadian federal regulations.

Office of the Comptroller of the Currency (OCC)

The U.S. Office of Comptroller of Currencies supervises the following entities and has the statutory authority to take enforcement actions against them: national banks, federal branches and agencies of foreign banks and institution-affiliated parties (IAP’s), including: officers, directors, employees, controlling stockholders, agents and certain other individuals.

Securities and Exchange Commission (SEC)

The U.S. Securities and Exchange Commission protects investors and maintains the integrity of the securities markets. Each year the SEC brings civil enforcement actions against individuals and companies that break the securities laws.

UK Enforcement Bodies

Financial Services Authority (FSA)

Work of the United Kingdom’s Financial Services Authority focuses on three main types of financial crime: money laundering; fraud and dishonesty; and criminal market misconduct. It has the power to withdraw a firm’s authorization, and discipline, through public statements and financial penalties, firms and persons approved by the FSA.

The data includes actions by previous regulators that have now been merged into the FSA:

Securities & Futures Authority (SFA)
Personal Investment Authority (PIA)
Investment Management Regulatory Organization (IMRO)

Guernsey Financial Services Commission (GFSC)

Isle of Man Financial Supervision Commission (IMFS)

The Isle of Man FSC regulates organizations that operate within their jurisdiction. If any organizations are found to be acting improperly the Commission will issue a public warning notice advising of the fraudulent conduct of the concerned organization. The Isle of Man is an offshore banking center separate from the British mainland.

Jersey Financial Services Commission (JFSC)

The Commission is responsible for the supervision of the financial services sector as well as depositor, investor and policyholder arrangements on Jersey, an offshore banking center separate from the British mainland. The Commission undertakes regulation and supervision of banking, collective investment funds, insurance business, investment business and trust, and company service providers. The JFSC releases enforcements known as “Public Statements”; these public statements are issued against individuals or organizations that are using Jersey as an offshore base for fraudulent activity.

Lloyd’s Insurance Market (LIM)

Lloyd’s is the name of the insurance market that is based in London. Members submit to its jurisdiction and as such it is able to discipline members by fining or expelling them.

Other Bodies

Bureau of Industry and Security (BIS)

The Bureau of Industry and Security lists certain individuals and entities with which U.S companies are either not allowed to export to or require a license for any exports.

Companies House - Disqualified Directors (CH)

Companies House has compiled a database of directors within the United Kingdom who have been deemed unfit to conduct business at directorial level, this means they can be suspended for a specified period and/or fined for their misdemeanors.

World Bank (WB)

The World Bank publishes a list of debarred parties. These are firms or individuals that are ineligible to be awarded a World Bank-financed contract when the Bank finds that the firm or individual has engaged in corrupt or fraudulent practices.

Politically Exposed Persons

CIA Heads of State/Government (CIA)

This data is taken from the CIA Chiefs of States list. These are people who have held or currently hold a senior ministerial post in any of the countries covered by the CIA’s list.

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