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PEP, sanctions and adverse media checked alongside the documents.

For every person and company in the package, QX checks PEP lists, Brazilian and international sanctions, regulator actions and adverse media across more than 400 risk categories. Whatever comes up becomes an exception for your analyst, with the source it came from.

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The sources

What QX checks, by type of counterparty.

The individual list applies to a person as a client and to each partner of a company. The company list applies to the legal entity being onboarded.

Individuals

A person as client, or a partner of a company

  1. PEP

    Politically exposed persons, Brazilian and foreign.

  2. Family members and close associates of PEPs

    Relatives and people close to a PEP, treated with the same care.

  3. Regulatory alerts and actions

    Alerts and actions published by:

    • National Council of Justice (CNJ)
    • IBAMA (environmental agency)
    • Labor Prosecution Office (MPT)
    • Federal Prosecution Office (MPF)
    • Rio de Janeiro State Court (TJRJ)
    • São Paulo State Court (TJSP)
    • CVM (securities regulator)
    • Ministry of Justice and Public Security (MJSP)
    • ANEEL (electricity regulator)
    • ANAC (civil aviation agency)
    • CADE (antitrust authority)
    • Minas Gerais State Prosecution Office (MPMG)

  4. Special interest person (SIP)

    A person named in an investigation or lawsuit, from press sources and legal portals.

  5. Fit-and-proper records of financial regulators

    Integrity records kept by financial system regulators.

  6. Adverse media

    News classified into more than 400 risk categories. Each alert carries headline, summary, link, date, author, sentiment and keywords.

  7. International sanctions

    Sanctions, wanted and debarment lists:

    • OFAC SDN
    • UN Security Council
    • European Union (consolidated and financial lists)
    • UK HM Treasury
    • DFAT (Australia)
    • Interpol
    • FBI
    • World Bank

Companies

The legal entity being onboarded

  1. Brazilian sanctions

    From the federal Transparency Portal, with reason, legal basis, sanctioning body, inclusion date and link:

    • Debarred and suspended companies (CEIS)
    • Punished companies (CNEP)
    • Barred non-profit entities (CEPIM)
    • Leniency agreements

  2. Regulatory alerts and actions

    Alerts and actions published by:

    • CVM (securities regulator)
    • SEC and US Department of Justice
    • Singapore CPIB
    • Labor Prosecution Office (MPT)
    • National press
    • CADE (antitrust authority)
    • ANEEL (electricity regulator)
    • ANAC (civil aviation agency)
    • IBAMA (environmental agency)
    • Ministry of Justice and Public Security (MJSP)
    • Minas Gerais State Prosecution Office (MPMG)

  3. Special interest entity (SIE)

    State-owned flag and companies named in investigations, plus CNEP.

  4. Adverse media

    Same mechanism as for individuals: more than 400 risk categories, with headline, summary, link, date, author, sentiment and keywords.

  5. Insolvency

    Institutions liquidated by the Central Bank of Brazil.

  6. International sanctions

    Sanctions and debarment lists:

    • OFAC SDN
    • UN Security Council
    • European Union (consolidated and financial lists)
    • UK HM Treasury
    • DFAT (Australia)
    • World Bank debarred firms