Adding a sanctions list

You can add sanctions lists, for example blacklists and whitelists by specifying the corresponding schema.

A blacklist is a list of persons or organizations who should be treated as if they are listed on a sanctions list.

A whitelist contains names or addresses that are similar to those listed on a sanctions list but that do not trigger a warning. A whitelist enables you to avoid receiving warnings when one of the names or addresses is identified by the Compliance Monitor.

To add a sanctions list:

  1. Select Compliance > Manage Sanctions Lists from the main menu.
  2. Click Create.
  3. In the Manage Sanctions Lists section, specify this information:
    Effective from Date

    This field shows the first day on which a sanctions list is valid. The settings are valid until the effective to date.

    Effective to Date
    This field shows the last day on which a sanctions list is valid.
    Name
    Specify a name for the sanctions list.
    Schema
    A schema includes methods to check if a sanctions list requires an update. The schema configures how a sanctions list is handled. Blacklists and whitelists are not automatically updated. But you can add, delete, or edit entries through Manage Sanctions Lists for sanctions lists with a schema. Sanctions lists that use another schema will be updated automatically. The schema defines how the source URL or information URL is used to obtain a sanctions list file from the respective authorities. Additionally, it describes how this file is processed.
    Source URL
    Specify the online source (URL) of the sanctions list. The source URL is a link to the list's source file. This file is downloaded during the update process. You must specify the source URL for each list except for METI EUL.
    Note: This information is only required for automatic updates.
    Alternative Source URL
    Optionally, specify an alternative online source (URL) of the sanctions list. If the Source URL location is not accessible, the alternative source URL will be used.
    Note: This information is only required for automatic updates.
    Information URL
    Optionally, specify the link to an information page for the list.
    You must specify the link for the METI EUL to get the current list file.
    You must specify the link for the OSFI CIL and the CEL to get the Source Modification Time.
    Note: This information is only required for automatic updates.
    Cancellation Threshold
    If the number of invalid entries reaches a certain threshold, the update will be canceled. A DELETED status will be assigned to the sanctions list entries that have been created previously. The sanctions list will be set to the ERROR status. Specify a number for the threshold.
    Note: This information is only required for automatic updates.
    Created On
    This field shows the date on which the list or list entry was created.
    Last Successful Update
    The field shows date and time of the last successful update of the sanctions list.
    Last Update
    This field shows the date and time at which the update was last attempted.
    Source Modification Time
    The field shows the date and time of the source file that was used for the last successful update.
    Status
    This field shows the sanctions list status:
    • NEW: A list that was newly created.
    • PROCESSED: A list that was processed in an update process.
    • OUTDATED: After you manually change a sanctions list, a copy of the sanctions list is created that is set to the OUTDATED status before the sanctions list is updated.
      Note: Changes in blacklists and whitelists and automatic updates of sanctions lists do not generate an OUTDATED status.
    • DELETED: A list that was deleted. It will not be used for further processing. Because the time of deletion is logged for each list, you can keep track of which list was valid at what time.
    Process Status
    This field shows the status of the last update process:
    • NEW: A list that was newly created. Blacklists or whitelists stay in this status if no sanctions list entry is added to them. When you add an entry, the status is set to PROCESSED.
    • PROCESSED: A list that has been processed in an updating process.
    • RETRY: The update failed, but the number of attempts has not been reached. Sanctions lists are updated following an automated updating process. If errors occur in this process, the RETRY status is set if there are events such as session time-out or unavailability of the server. Then, the ERROR status is set as soon as the number of retries that are allowed is reached.
      Note: Incorrect entries like mistakenly entered URLs will not cause a RETRY status.
    • ERROR: The ERROR status is set if the sanctions list fails to update and the number of permitted retries has been reached.
    Version
    The field shows an internal version number of the sanctions list, which is incremented at the end of each update process. The number increases after manual or automatic updates of a sanctions list.
    Number of Entries
    This field shows the number of sanctions list entries for this list.
    Remark
    Optionally, specify a remark.
    File Name
    The field shows the path and name of the file that was used for the last successful update.
  4. Optionally, expand the Note section.
    Note
    Specify a note.
  5. Click Save.