Compliance √ Screening

D&B Compliance Check is a powerful solution providing organizations advanced screening and monitoring of customers and suppliers to ensure global regulatory compliance with a growing range of Global Anti Corruption regulations, including the Foreign Corrupt Practices Act and U.K. Bribery Act, among others.

Leveraging multiple databases, including global watch lists, regulatory authority actions, law enforcement sources, and global news sources, updated daily, businesses have the most comprehensive and broad-reaching compliance solution to address all compliance program needs.

Terminology

An Entity is any organization (or company principal) that will be subjected to the D&B Compliance screening process.

A Politically Exposed Person (PEP) is someone who has been entrusted with a prominent public function, or an individual (including family and associates) closely related to such a person.

An IRC is a company that has been matched to a list of names and associations of organizations and individuals with publicly known connections to the Iranian energy, transportation, and military sectors.

The WLT includes the foundational collection of watch lists, including PEP and IRC.

The Global Regulatory Information Database (GRID) is a 17 million-plus records database, updated daily on known or suspected corrupt private and public sector figures, fraudsters, illicit financiers, money launderers, organized crime groups, terrorist organizations, politically exposed persons and dozens of other risk relevant categories of persons and organizations.

Regulatory Data Corporation (RDC) is a D&B partner specializing in regulatory compliance solutions.

Compliance Screening Options

In addition to the data supplied by the customer, D&B information can be appended prior to initiating the screen process. Options are available to incrementally append company name, trade styles and CEO names; principal names and shareholders; and direct line entities between the requested company and the ultimate parent (also referred to as upward linkage).

Customers may choose to broaden the scope of the screening process from a basic WLT/PEP/IRC screening, to one based on the complete list of available sources (including adverse media). Customers may also elect to have skilled analysts conduct review of the screening results to eliminate false positives before returning an outcome.

For ongoing alerts and updates, customers may elect for the Compliance Monitoring service.

Single Entity Submission

A company (or individual) name, primary entity address (street, city, state, postal code and country) and the appropriate product code must be provided for a Compliance √ registration. Customers are encouraged to also provide any known DBA (Doing Business As) or alternate business names and principals of the business to ensure an accurate and complete screening. A unique tracking number is provided upon a successful registration.

NOTE: Please contact a D&B sales representative to obtain the product code(s) entitled for a specific Customer contract.

For screening requests that do not include an analyst review, results can be retrieved within an hour of submission. Analyst reviews are typically completed within 2 to 3 business days. In either case, the retrieval operation may be polled for a completion status of the request.

Monitoring alerts can be retrieved (PULL) on an ongoing basis. An alert delivery (PUSH) option is not currently available.

Compliance Check Results

The following table is an alphabetical list of the unique items available for each entity registered with the Compliance Check service. The actual information provided is dependent on the "module(s)" specified on the request. Available options include "APPEND_DATA" (includes customer submitted data and D&B appended information) and "ALERTS."

Criteria options are available to filter the Compliance alerts for a specific date range.

Business Elements - APPEND_DATA

Name Description XML* JSON*
Address 1 - HQ Company
SOAP REST
Address 1 - Parent Company
SOAP REST
Address 2 - HQ Company
SOAP REST
Address 2 - Parent Company
SOAP REST
Area of Concern Text Describes finding of search for each of the Risk Categories. SOAP REST
City - HQ Company
SOAP REST
City - Parent Company
SOAP REST
City -Domestic Ultimate & Global Ultimate
SOAP REST
Company Name - Domestic Ultimate & Global Ultimate Name by which the Linked Company is primarily identified. SOAP REST
Company Name - Parent Company Entity name SOAP REST
Compliance System Registration ID Unique identifier assigned to the entity record that was successfully uploaded to the compliance system. SOAP REST
Country Code The two-letter country code, defined by the International Organization for Standardization (ISO) ISO 3166-1 scheme identifying the country which the business uses for mailing purposes. SOAP REST
Country Name - Domestic Ultimate & Global Ultimate
SOAP REST
Country Name - HQ Company ISO 2 Character Code of the Country where the Linked Company is located. SOAP REST
Country Name -Parent Company ISO 2 Character Code of the Country where the Linked Company is located. SOAP REST
Customer Provided Country Code ISO 2 Character Code of the Country where the Eneity is located. SOAP REST
Customer Provided Division ID The identifier for the Customer Division that this record will be loaded to. SOAP REST
Customer Provided Division Name The name of the Customer Division that this record will be loaded to. For Wal-Mart the Division is Retail Market. SOAP REST
Customer Provided D-U-N-S Number The D&B D-U-N-S of the entity as provided by the customer in the input. SOAP REST
Customer Provided Entity ID Internal identifier provided by the customer to uniquely identify an entity. SOAP REST
Customer Provided Entity Name Identifies the name of the entity as provided by the customer in the input. SOAP REST
Customer Provided Entity Tax ID Identifies the Taxation ID for Corporation or Individual. The Taxation ID is a numerical designation that is assigned to a business Entity operating within a given locality. The main purpose of tax IDs is to quickly identify the Entity for purposes of as SOAP REST
Customer Provided Entity Tax ID Type Identifies the Type of the Tax ID. For ex - US FEIN, UK CRO Number, ES VAT etc SOAP REST
Customer Provided Entity Type Identifies whether the Entity is a Company or Individual SOAP REST
Customer Provided Postal Code Identifies the Postal Code where the Entity is located. SOAP REST
Customer Provided Principal Country Code The two digit ISO Country Code of the Principal as provided by the customer in the input. SOAP REST
Customer Provided Principal Name Identifies the Principal associated with the entity by name as provided by the customer in the input. SOAP REST
Customer Provided Principal Title The Title of the Principal as provided by the customer in the input. SOAP REST
Customer Provided Project ID An internal project identifier provided by the customer to which the entity has to be loaded. If not provided, defaulted to Project 00000. SOAP REST
Customer Provided Shareholder Country Code Identifies the two digit ISO Country Code of the Shareholder as provided by the Customer in the input. SOAP REST
Customer Provided Shareholder Name Identifies the Shareholders for the entity by name as provided by the customer in the input. SOAP REST
Customer Provided Shareholder Percentage The percentage held by the shareholder(s) as provided by the customer in the input. SOAP REST
Customer Provided Street Address 1 Address Line 1 Text of the Entity Address SOAP REST
Customer Provided Street Address 2 Address Line 2 Text of the Entity Address SOAP REST
Customer Provided Sub Division ID
SOAP REST
Customer Provided Sub Division Name
SOAP REST
Customer Provided Telephone Primary Telephone Number of the Entity. SOAP REST
Customer Provided Territory Name Identifies the State / Province where the Entity is located. SOAP REST
Customer Provided Total Spend Total Spend of the Customer for the Entity. SOAP REST
Customer Provided Total Spend ISO 4217 country code to determine currency type for 'Total Spend' element SOAP REST
Customer Provided Town Name Identifies the City Name where the Entity is located. SOAP REST
Customer Provided Workflow Queue ID The identifier for the actual queue within the Division this entity must be pushed to. By default the record will be loaded in the first available queue for that decision. SOAP REST
Customer Provided Workflow Queue Name The name of the actual queue within the Division this entity must be pushed to. By default the record will be loaded in the first available queue for that decision. SOAP REST
D-U-N-S Number The D-U-N-S Number is D&B's identification number, which provides unique identification of this organization, in accordance with the Data Universal Numbering System (D-U-N-S). This DUNS Number represents the business entity. SOAP REST
DUNS Number - Domestic Ultimate & Global Ultimate Randomly generated nine-digit number assigned by D&B to the Linked Company. SOAP REST
DUNS Number - HQ Company
SOAP REST
DUNS Number -Parent Company DUNS Number of the Family Tree Member SOAP REST
Family Tree Member Level Indicates Subject, Parent / HQ, Parent 2, Parent 3…Domestic Ultimate, Global Ultimate SOAP REST
Organization Name - HQ Company
SOAP REST
Postal Code An identifier used by the local country Postal Authority to identify where the business is located. SOAP REST
Primary Business Name Text recording of a single name by which the organization is primarily known or identified. In many cases this may be the same as the Registered name and as such will not need to be quoted. For businesses which do not need to register, and as such do not SOAP REST
Primary Street Address Text recording the address number, or post office box number and street name where the business is located. SOAP REST
Primary Street Address Line 2 Line 2 of the text recording the address number, or post office box number and street name where the business is located. SOAP REST
Principal Country Code Identifies the ISO Country Code of the Principal. SOAP REST
Principal country Code - HQ Company Identifies the ISO Country Code of the Principal. SOAP REST
Principal Country Name - Global Ultimate and Domentic Ultimate
SOAP REST
Principal Country Name - Parent Company Identifies the ISO Country Code of the Principal. SOAP REST
Principal Job Title - Parent Company
SOAP REST
Principal Name Full name of the principal associated with the company. SOAP REST
Principal Name - Domestic Ultimate & Global Ultimate Principal Name SOAP REST
Principal Name - HQ Company
SOAP REST
Principal name - Parent Compnay
SOAP REST
Principal Title Identifies the Title of the Principal. SOAP REST
Principal Title - Domestic Ultimate & Global Ultimate Principal Title SOAP REST
Principal Title - HQ Company
SOAP REST
Related Party Association Type Indicates tye of related party, i.e., affiliate, sub-contractor, etc. SOAP REST
Related Party Name Name of related parties, if any, for the supplier. SOAP REST
Risk Category Name The name of the risk category. SOAP REST
State - Domestic Ultimate & Global Ultimate
SOAP REST
State - HQ Company
SOAP REST
State - Parent Company
SOAP REST
Territory Name Text recording the name of the locally governed area which forms part of a centrally governed nation to identify where the business is located. SOAP REST
Town Name Text recording the name of a city, town, township, village, borough, etc. where the business is located. SOAP REST
Trade Style Name Text recording the name which an organization trades under for commercial purposes although its registered legal name used for contracts and other formal situations may be another name. SOAP REST
Zip - HQ Company
SOAP REST
Zip code -Domestic Ultimate & Global Ultimate
SOAP REST
Zip -Patent Company
SOAP REST

Business Elements - ALERTS

Name Description XML* JSON*
Alert Date Date on which the alert became effective SOAP REST
Alert ID Unique identifier assigned by RDC for the alert SOAP REST
Alias Name Alias or also known by name of the matched entitity. SOAP REST
Alias Name - Tradestyle Name Alias name of the entity. SOAP REST
Attribute Description
SOAP REST
Birth Country Name
SOAP REST
Birth Postal Code
SOAP REST
Birth Territory Name
SOAP REST
Birth Town Name
SOAP REST
Compliance System Registration ID Unique identifier assigned to the entity record that was successfully uploaded to the compliance system. SOAP REST
Country Name The country where the business is located. SOAP REST
Date of Birth
SOAP REST
Entity ID Unique Identifier generated by RDC for the Alert Entity. This will be used as a reference identifier to get more details on the Alert Entity. SOAP REST
Entity Name Name of the matched entitity. SOAP REST
Entity Reference URL URL to the RDC Entity Viewer which will contain additional information and allow viewing of media articles. SOAP REST
Entity Type Indicates if the Entity is a Individual or Organization SOAP REST
Event Category Code A three digit code describing the type of event. Examples are Counterfeiting, Murder, Espionage, Money Laundering, Terrorist Related, etc. SOAP REST
Event Date Date that event or action took place or went into effect. SOAP REST
Event Description A small description about the event or crime. SOAP REST
Event Sub Category Code A three digit code describing the event outcome. Examples are Allege, Arrest, Indictment, etc. SOAP REST
Former Primary Name Former primary name of the entity. SOAP REST
New Attribute Value New value of the attribute SOAP REST
Note A note provided about the entity by the RDC Analyst. SOAP REST
Postal Code
SOAP REST
Publication Name of the publication. SOAP REST
Publication Date Date Published SOAP REST
Publisher
SOAP REST
Source Description Description of the source. SOAP REST
Source Name Name of the source SOAP REST
Source URL A URL back to the Source where the record was found SOAP REST
Street Address
SOAP REST
Street Address 2
SOAP REST
Territory Name
SOAP REST
Town Name
SOAP REST

*The links in this column provide developer information for the data field characteristics of the respective business element in the XML (SOAP) or JSON (REST) response.

The preceding list is not presented in the order, nor manner, in which the information is packaged and delivered via the D&B Direct API.

Access to this information is provided on a metered basis; and requires a pre-established D&B subscriber contract for the specific Compliance service options that your organization intends to utilize. Note: this contract is separate from the standard D&B Direct API contract.

Entity Attributes

CODE DESCRIPTION
URL Entity Url
POS Position Held
IMG Image Url
PHD Physical Description
HCL Hair Color
ECL Eye Color
HGT Height
CPX Complexion
WGT Weight
SEX Sex
BLD Build
RAC Race
SMK Scars or Marks
LNG Language
NAT Nationality
OCU Occupation
DED Deceased
DDT Deceased Date
PTY PEP Type
RMK Remark

This table is subject to change; new attribute values are added periodically.

Event Categories

CODE DESCRIPTION
ARS Arson
AST Assault, Battery
BUR Burglary
BUS Business Crimes (Antitrust, Bankruptcy, Price Fixing)
ABU Abuse (Domestic, Elder, Child)
CYB Computer Related, Cyber Crime
CFT Counterfeiting, Forgery
DTF Trafficking or Distribution of Drugs
DPS Possession of Drugs or Drug Paraphernalia
DUI DUI, DWI
FUG Escape, Fugitive
SPY Espionage, Spying, Treason
PRJ False Filings, False Statements, Perjury, Obstruction of Justice
BRB Bribery, Graft, Kickbacks, Political Corruption
IMP Identity Theft, Impersonation
GAM Illegal Gambling
IGN Possession or Sale of Guns, Weapons and Explosives
IPR Illegal Prostitution, Promoting Illegal Prostitution
KID Kidnapping, Abduction, Held Against Will
LNS Loan Sharking, Usury, Predatory Lending
ORG Organized Crime, Criminal Association, Racketeering
MLA Money Laundering
MUR Murder, Manslaughter (Committed, Planned or Attempted)
OBS Obscenity Related, Child Pornography
MIS Misconduct
TRF People Trafficking, Organ Trafficking
PEP Person Political
PSP Possession of Stolen Property
PLT Public Intoxication, Lewdness, Trespassing
ROB Robbery (Stealing by Threat, Use of Force)
FRD Fraud, Scams, Swindles
SEC SEC Violations (Insider Trading, Securities Fraud)
SEX Sex Offenses (Rape, Sodomy, Sexual Abuse, Pedophilia)
TAX Tax Related Offenses
TER Terrorist Related
TFT Theft (Larceny, Misappropriation, Embezzlement, Extortion)
WLT Watch List
HUM Human rights, Genocide, War crimes
DEN Denied Entity
REG Regulatory Action
CON Conspiracy (No specific crime named)
FOR Forfeiture
MSB Money Services Business
RES Real Estate Actions
MOR Mortgage Related
NSC Non Specific Crime
BKY Bankruptcy
REO Restructuring, Reorganization, Divestiture Risk
PER Performance Risk
CND Financial Condition Risk
DEF Default Risk
BIL Questionable Billing Practices
ENV Environmental Crimes (Poaching, Illegal Logging, Animal Cruelty
SMG Smuggling (Does not include Drugs, Money, People or Guns)
CPR Copyright Infringement (Intellectual Property, Electronic Piracy)
IRC Iran Connect
HCD Health Care Disciplines

This table is subject to change; new code values are added periodically.

Event Sub-Categories

CODE DESCRIPTION
ACC Accuse
ACQ Acquit, Not Guilty
ACT Disciplinary, Regulatory Action
ADT Audit
ALL Allege
APL Appeal
ARB Arbitration
ARN Arraign
ART Arrest
ASC Associated with, Seen with
CEN Censure
CHG Charged
CMP Complaint Filed
CNF Confession
CSP Conspire
CVT Convict, Conviction
DEP Deported
DMS Dismissed
EXP Expelled
FIL Fine - Less than $10,000
FIM Fine - More than $10,000
GOV Government Official
IND Indict, Indictment
LIN Lien
PLE Plea
PRB Probe
RVK Revoked Registration
SAN Sanction
SET Settlement or Suit
SEZ Seizure
SJT Served Jail Time
SPD Suspended
SPT Suspected
TRL Trial
WTD Wanted

This table is subject to change; new code values are added periodically.

Technical Specification

For details on how to obtain the Compliance Check results, please refer to the Compliance Check Service documentation.

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