OFAC, PLC, and U.S. & International Lists of Security Risks Source

The OFAC, PLC, and U.S. & International Lists of Security Risks source contains three types of lists.

The following types of lists are included:

OFAC (Office of Foreign Assets Control) List
Global Sanctions List
Foreign Affiliation List

OFAC List

The following lists are included in this category in the LexisNexis^® Risk Solutions search:

OFAC SDN
OFAC Non-SDN Entities (formerly OFAC - Palestinian Legislative Council)
OFAC Sanctions

The OFAC of the U.S. Department of the Treasury administers and enforces economic and trade sanctions against targeted foreign countries, terrorism sponsoring organizations and international narcotics traffickers based on U.S. foreign policy, and national security goals. OFAC acts under presidential wartime and national emergency powers, as well as authority granted by specific legislation, to impose controls on transactions and freeze foreign assets under U.S. jurisdiction. Many of the sanctions are based on UN (United Nations) and other international mandates, are multilateral in scope, and involve close cooperation with allied governments.

The OFAC file is designed to assist the public in complying with the various sanctions programs administered by the OFAC. In addition to the OFAC content, it scans against other global watch lists such as the following lists:

Australia Dept of Foreign Affairs and Trade*
HM Treasury Sanctions (formerly known as Her Majesty's Treasury's Consolidated List of Financial Sanctions Targets) and UK HM Treasury List
Bureau of Industry and Security (formerly known as US Bureau of Industry and Security - Denied Entity List, US Bureau of Industry and Security - Denied Persons List, and US Bureau of Industry and Security - Unverified Entity List).
Commodity Futures Trading Commission Sanctions (formerly known as Commodity Futures Trading Commission List of Regulatory and Self-Regulatory Authorities)
DTC Debarred Parties
EU Consolidated List (formerly known as European Union Designated Terrorist Groups + Individuals)
Foreign Agents Registration
FATF Financial Action Task Force (formerly known as FATF Financial Action Task Force, Deficient Jurisdictions - Countries)
FBI Top Ten Most Wanted
FBI Hijack Suspects*
FBI Seeking Information*
FBI Most Wanted Terrorists*
FBI Most Wanted*
Hong Kong Monetary Authority*
Monetary Authority of Singapore*
Financial Crimes Enforcement Network Special Alert List*
Interpol Most Wanted**
Interpol Most Wanted - Red Notice**
Unauthorized Banks (formerly known as Office of the Comptroller of the Currency Alerts - Unauthorized Banks)
OFAC Non-SDN Entities (formerly OFAC - Palestinian Legislative Council), OFAC Sanctions, and OFAC SDN
Offshore Financial Centers*
OSFI Consolidated List (formerly known as OSFI - Canada Individuals) and OSFI Country (formerly known as OSFI - Canada Entities)
Chiefs of State and Foreign Cabinet Members
Primary Money Laundering Concern*
Primary Money Laundering Concern - Jurisdictions*
Terrorist Exclusion List (formerly known as State Department Terrorist Exclusions)
UN Consolidated List (formerly known as United Nations Named Terrorists)
World Bank Ineligible Firms

An asterisk (*) indicates that the list availability is dependent on account configuration. Two asterisks (**) indicate that Interpol no longer updates the list in production as of May 2014 due to a change in Interpol policies.

New Federal Register notices with regard to Specially Designated Nationals or blocked entities may be published at any time. Sanctioned entities and individuals identified are occasionally licensed by the OFAC to transact business with U.S. persons in anticipation of removal from the list or because of foreign policy considerations in unique circumstances. Licensing in anticipation of official Federal Register publication of a notice of removal based on the unblocking of property is reflected in this publication by removal from the list.

Depending on your product subscription, you may not have access to this source.

The following table provides details about this source.

Source Details
Source Element	Details
Date Coverage	Current
Frequency	Varies by source The OFAC updates occur within 24 hours of the source agency update.
Update Schedule	Varying intervals depending on the source
Possible Record Details	Name Alternate names Address Remarks Passport number Gender Race Eye color Hair color Height Weight Date of birth Birthplace
Searchable Fields	Name Search Type Threshold Country Date of Birth Watchlists

Global Sanctions List

The Global Sanctions List is compiled from various domestic and foreign sources and contains various types of sanctioned entities. Consult your financial institution’s risk-based policies or your general counsel for matches found on this list.

The following lists are included in this category.

Global Sanction Lists
List Name	Description
HM Treasury Sanctions (formerly known as Her Majesty's Treasury's Consolidated List of Financial Sanctions Targets) and UK HM Treasury List	The HM Treasury Sanctions list contains jurisdictions that are subject to financial sanctions or economic measures that are administered by HM Treasury in the United Kingdom. The UK HM Treasury List is a consolidated list of targets that are identified by the UN, the EU (European Union), and the United Kingdom. This list may include criminals such as those involved in terrorism, proliferation of WMD, or activities that are related to targeted state regimes.
Commodity Futures Trading Commission Sanctions (formerly known as Commodity Futures Trading Commission List of Regulatory and Self-Regulatory Authorities)	Includes disciplinary information for current and former CFCT (Commodity Futures Trading Commission) registrants The list contains the name, business address and futures registration history, and details about disciplinary actions taken by the NFA, the CFTC, and U.S. futures exchanges.
DTC Debarred Parties	Includes people who are not allowed to participate, either directly or indirectly, in any transaction that requires a state department license or state department approval The U.S. Department of State maintains this list. LexisNexis Risk Solutions consolidates these lists into a single list. Typically, if a transaction involves the export of articles used in defense, defense services, or technical data that is related to defense articles or services, the transaction requires an export license. Individuals and companies that are found on the list are sanctioned by the United States government and may not export goods from the United States or receive exported goods from the United States.
EU Consolidated List (formerly known as European Union Designated Terrorist Groups + Individuals)	Consolidated list of entities that are subject to EU financial sanctions The list was developed and is maintained for the European Commission by the European Banking Federation, the European Savings Banks Groups, the European Association of Co-operative Banks, and the European Association of Public Banks. People and entities doing business in the EU, including non-EU citizens and businesses that are established in the EU but doing business outside the EU, are required to freeze all funds and economic resources of entities on the list and are prohibited from making funds or economic resources available.
FBI (Federal Bureau of Investigation) Lists	Compilation of the following lists: FBI Hijack Suspects This list contains information that is currently available for each suspect of the September 11, 2001, terrorists attack. FBI Most Wanted This list is an expansion of the FBI Top Ten Most Wanted list, which contains fugitives that are deemed high priority due to the nature of the crime or the volume of a series of criminal activities. FBI Most Wanted Terrorists This list contains alleged terrorists who have been indicted by federal grand juries. FBI Seeking Information This list contains information about persons who may be involved or can help locate those believed to be involved in terrorist activities. FBI Top Ten Most Wanted This list contains information about the top 10 fugitives wanted by the FBI. Organizations are advised to contact their district FBI office for compliance requirements and followup.
Unauthorized Banks (formerly known as Office of the Comptroller of the Currency Alerts - Unauthorized Banks)	Compiled from data about unauthorized banks provided by the OCC (Office of the Comptroller of the Currency)
OSFI Consolidated List (formerly known as OSFI - Canada Individuals) and OSFI Country (formerly known as OSFI - Canada Entities)	Contains entities that are subject to financial sanctions that are administered by the OSFI (Office of the Superintendent of Financial Institutions) in Canada The OSFI supervises and regulates Canadian financial institutions. LexisNexis Risk Solutions compiles this watchlist to help institutions comply with specific regulatory measures in Canada. The entities contained in the OSFI Consolidated List are associated with restrictions that involve Al Qaida, the Taliban, the suppression of terrorism, special economic measures against Burma, or the RIUNRI (Regulations Implementing the UN Resolution on Iran). The OSFI Consolidated List also contains jurisdictions that are subject to financial sanctions or economic measures that are administered by the OSFI in Canada. This list was added in response to Canada's Special Economic Measures (Burma) Regulations.
Terrorist Exclusion List (formerly known as State Department Terrorist Exclusions)	Created within section 411 of the USA PATRIOT Act (Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act) and authorizes the SOS (Secretary of State) to designate terrorist organizations for immigration purposes Foreign persons who provide support or are otherwise associated with a TEL organization may be refused entry into or may be deported from the United States, thus they are excluded from U.S. soil.
UN Consolidated List (formerly known as United Nations Named Terrorists)	UN Resolution 1267 established the Security Council Committee, which oversees sanctions imposed on individuals and entities that belong to or that are related to the Taliban, Usama Bin Laden, or Al-Qaida. The Security Council Committee maintains a list of individuals and entities called the UN Consolidated List.
Bureau of Industry and Security (formerly known as US Bureau of Industry and Security - Denied Entity List, US Bureau of Industry and Security - Denied Persons List, and US Bureau of Industry and Security - Unverified Entity List)	Compilation of several lists that are published by the BIS (Bureau of Industry and Security). Formerly known as the Bureau of Export Administration, BIS is located within the U.S. Department of Commerce. Entities may be designated to any of the lists through actions taken by the Department of Commerce. This list is a compilation of the following lists: BIS Denied Persons List The BIS Denied Persons List includes individuals and entities that have been denied export privileges. Because they have been denied export privileges, you are prohibited from proceeding with any transaction that will violate the terms of the denial order. BIS Unverified List The BIS Unverified List includes parties that are deemed suspect because BIS has been unable to verify end use for previous transactions, providing a red flag that should be resolved before proceeding with the transaction. BIS Entity List The BIS Entity List contains parties whose presence in a transaction can trigger a license requirement under the Export Administration Regulations. The license requirements that apply to each listed party are contained in the list. These requirements must be met before proceeding with any transaction. You are encouraged to contact one of the BIS Export Enforcement offices if you are asked to participate in a transaction that you believe may be a violation of the Export Administration Regulations. World Bank Ineligible Firms List The World Bank Ineligible Firms List contains individuals and firms with which the World Bank refuses to do business because they were found to have violated the fraud and corruption provisions of the World Bank's Procurement Guidelines or Consultants Guidelines.
Foreign Affiliation Lists	Compilation of two lists that contain the names of individuals or entities with ties to or interests in non-U.S. countries. The lists are primarily used to uncover entities with foreign ties since international exposure, in general, raises an institution’s money laundering risk. These lists are not composed of criminals, terrorists or those subject to sanction lists. The lists are a geography risk identification tool, and as such, carries no reporting requirements. Consult your organization’s risk-based anti-money laundering policies or your general counsel for matches found against these lists. This list is a compilation of the following lists: Chiefs of State and Foreign Cabinet Members This cumulative list is compiled from the CIA's online directory of Chiefs of State and Cabinet Members of Foreign Governments. As part of the USA PATRIOT Act's required special due diligence, organizations must conduct enhanced scrutiny of accounts that are maintained by politically-exposed persons with demonstration of this enhanced scrutiny readily available. Foreign Agents Registration This list is comprised of entities that have registered under the FARA (Foreign Agents Registration Act), originally passed in 1938. The act requires people and organizations who are under foreign control (agents of a foreign principal) to register with the Department of Justice when acting on behalf of foreign interests. This law defines the agent of a foreign principal as someone who performs the following actions: Engages in political activities for or in the interests of a foreign principal. Acts in a public relations capacity for a foreign principal. Acts in a public relations capacity for a foreign principal. Represents the interests of a foreign principal before any agency or official of the U.S. government.