Advanced Compliance Screening Profile Settings

In addition to the basic profile settings, other profile configurations may be helpful. This article builds on the basic profile settings.

• Note: To view and edit a profile, you need the I_COMPLIANCEADMIN role.

• Partial Matches
  

  
  If this flag is set, matches will also be found if the checked name matches only some elements of a restricted party address. Use the F1 key, while on the screen, to find out more details about the partial match settings.
  
  
• Checking Name Fields
  
  If you carry out checks via a pre-system or use the file check, several name fields can be taken into account during the check. By default, only the name is checked. If you transfer addresses in several name fields, these can be taken into account by specifying how the name block is formed. If the name block created (based on these settings) is empty, the default name block is used. You can also decide whether you want to carry out a further, individual check for one or more name fields. Please note that an additional individual check also means that an additional check transaction is carried out.
  
  
• ID Check
  If you use Dow Jones content or manual restricted party lists, you can achieve clearer check results with the ID check. In order for IDs to be checked, the respective identification type must be activated in the profile. The threshold value for IDs is set to 95 by default, which is significantly higher than the similarity threshold. This is because there should be no deviations when specifying IDs. If the checked ID does not match the restricted party list address, you will not receive a match.
  If you agree that an additional ID-only check should be carried out, a single ID check will be carried out in addition to the name check. This represents an additional check transaction and can have a negative impact on performance. This means that you will not only receive matches that match the ID, but also matches that were created as a result of the name check.
  For manual address checks, you can allow the similarity threshold for individual checks to be changed manually by a user. Logging must be activated in order to be able to trace the check results of manual address checks. To make it easier to find these entries again, a reference can be specified. This can also be generated automatically.

Whitelists / Embargo Areas

Whitelists and embargo areas can be added on the Screening lists tab.