Dow Jones Risk & Compliance Portal Quick Start Guide Management Dashboard The Management Dashboard provides a comprehensive overview of recent regulatory trends and developments as well as an at-a-glance view of the current risks facing your organization. Recent Trends Click on a headline to read articles from the Wall Street Journal’s Corruption Currents blog. Note: some articles are only available in full to paid WSJ.com subscribers. Risk Overview Gain a high-level understanding of risk based on your ‘Compliance Screening’ results. See ‘Compliance Screening’ section, p3, for more information. Country Risk Access data from Transparency International’s 2011 Corruption Perceptions Index. Clicking on a country name will download a Dow Jones Risk & Compliance country profile (where available).
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Dow Jones Risk & Compliance Portal Quick Start Guide
Management Dashboard
The Management Dashboard provides a comprehensive overview of recent regulatory trends and developments as well as an at-a-glance view of the current risks facing your organization.
Recent Trends Click on a headline to read
articles from the Wall Street Journal’s
Corruption Currents blog.
Note: some articles are only available in full to
paid WSJ.com subscribers.
Risk Overview Gain a high-level
understanding of risk based on your
‘Compliance Screening’ results.
See ‘Compliance
Screening’ section, p3, for more information.
Country Risk Access data from Transparency International’s 2011 Corruption Perceptions Index. Clicking on a country name will download a
Dow Jones Risk & Compliance country profile (where available).
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Search Look up individuals or companies against Dow Jones Risk & Compliance data to identify potential regulatory, reputational or business risk in the following categories:
State-Owned Companies Relatives & Close Associates (of Politically Exposed Persons) Board Members (of State-Owned Companies) Sanctions Lists and Other Official Lists Politically Exposed Persons/Public Officials Special Interest Persons (persons with negative media)
Free Text Search Enter the name of a company or
individual for instant search results.
Search Report View a report of your search criteria and results
and download a PDF for audit purposes.
Category Icons Icons provide an instant view of the type of risk
presented.
Relevancy Scores
Scores show the relevancy of each result
to your original search query.
Record View Click on a name to
view the full record for an individual or
company.
Add to Screening Add a company or individual to
your ‘Compliance Screening’ directly from the record view.
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Compliance Screening Compliance Screening offers the ability to upload and regularly screen third party relationships for risk. This area allows you to quickly view the risk status of your relationships, review and clear matches and track compliance activities.
Uploading Relationships for Screening Bulk Uploads Hit the ‘Upload’ button to bring up File Upload options and to access the Relationship Upload Templates.
My Company Relationship List Select multiple relationships to immediately screen, add or remove from automated screening
or delete. Icons provide an at-a-glance view of the status of each relationship, and indicate whether screening and news tracking is enabled.
Daily Reports Download past
screening reports.
Screening Activity Audit View a comprehensive
audit trail of all compliance activities
related to your screened relationships, and
download a full audit log.
Relationship Filters Access your highest risk
alerts by selecting either alerts “To be
confirmed” or
“Confirmed” hits .
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Status Icons
Screening status:
No Risk Alert / Relationship not yet screened
Risk Alert detected
Match confirmed
Risk Alert cleared
Type of relationship:
Individual Company
Screening enabled/disabled. Click icon to amend options.
News tracking enabled/disabled. Click icon to amend options.
Tracking Options
Clicking on the ‘Screening’ or
‘Tracking’ icons will open a ‘Tracking Options’ box.
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Tracking Options Tracking Options: Screen against Compliance Data (default option) Screen a relationship against Dow Jones Compliance Data according to your selected screening intervals. Track entity in Internet news sources Automatically monitor a selection of global Internet sources for mentions of a company or individual. Results will be displayed in the ‘News Dashboard’. Track entity in Factiva global news database Automatically monitor the Factiva.com news archive for mentions of a company or individual. Results will be displayed in the ‘News Dashboard’.
Select Languages Factiva provides news from 200 countries in 27 languages. Select
to track news in languages relevant to you.
Company/Executive Options Factiva codes for companies
and executives help you refine your news tracking results.
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Additional options are available to further refine news tracking within Factiva:
Include Factiva news risk filters Add pre-defined news filters to your search query for more targeted results. (Filters are added in the ‘Preferences’ tab, see relevant section for details.)
Languages Select to track news in up to 27 languages
By Company Name / Key Executive
For improved accuracy of search results you can select the relevant company or executive from a list (based on Factiva company and executive codes). This ensures that results are always relevant to the specific entity you are tracking in the news. If you do not believe that any of the results displayed are a match you can select ‘OK’, which will set up news tracking using a free text search query. You may select either a company name/key executive OR industry, not both. Please note: Not all companies/executives have a Factiva code and therefore you will not always have the option to select from a list.
By Industry You may select to refine your search query by limiting results to companies or executives associated to a particular industry (based on a pre-defined list of Factiva industries). You may select either a company name/key executive OR industry, not both.
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Relationship Investigation
Clicking on the Investigate button above ‘My Company Relationship List’, or double-clicking on a relationship, will take you to the ‘Relationship
Investigation’ area. Note: This is only an option for relationships where a risk has been confirmed or detected .
Risk Alerts Lists all potential matches for a relationship against Dow Jones Risk & Compliance data, with a relevancy score based on the amount of information matched. Users can set search thresholds in the “Preferences” section (see p 13) The ‘Status’ column indicates whether an
alert has been cleared , permanent cleared or confirmed . If no investigation has been started there will be nothing in the ‘Status’ column.
Tabs allow users to access further information about an alert. Details: Information about a relationship from Dow Jones Risk & Compliance data Relationship: Information you have entered about a relationship Audit Log: Details of investigations carried out on potential matches including details of status Comments: Any comments inserted by users relating to potential matches
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Handling Alerts A number of options are available within the “Relationship Investigation” screen:
Open Allows you to re-open an alert that has previously been cleared or confirmed. Clear Marks an alert as cleared or permanent cleared. Permanent cleared will not cause the relationship to return
back to risk alert detected (yellow) status due to an update on the permanent cleared risk alert. Updates to confirmed or cleared relationships will still cause the relationship to return to risk alert detected (yellow) status.
Confirm Confirms an alert and generates a report for this relationship containing details of all risk alerts. The report can
be accessed from the “Compliance Screening” tab.
Escalate to Dow Jones Send feedback directly to the Dow Jones Risk & Compliance research team. Comment Add internal comments about a relationship. Order Report Order a detailed Dow Jones Due Diligence report on a particular relationship. Please note that this service is
charged separately to your Portal subscription. Please refer to the Due Diligence section for further details. If you do not currently have an agreement to use Dow Jones Due Diligence, please contact your Dow Jones representative.
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News Dashboard The News Dashboard offers powerful functionality for monitoring relationships against global news media from Factiva and reputable internet news sources.
Start Tracking a New Relationship Select ‘Add’ and type in the name of the person or
company you want to start tracking. News tracking can also be set up from the ‘Compliance
Screening’ tab. (See p 3).
Download Selected Articles
Use the checkboxes to pick multiple articles. Select ‘Download’ to view or save a PDF
containing the full text of all selected articles.
News Tracking List Click on a name to view
article headlines.
Read Articles Click on a headline to
view the full article in a new window.
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Due Diligence Dow Jones Due Diligence reports can be requested, received and managed within this section. Please note that this service is charged separately to the Risk & Compliance Portal subscription. If you do not currently have an agreement to use Dow Jones Due Diligence, please contact your Dow Jones representative. Due Diligence Report Levels
Report Level Due Diligence Research Description
Level 1 Full open source media research conducted on a company or individual, including verification of any adverse and general media coverage. Checks will also be made against Dow Jones.
Level 2 Full open source media research conducted on a company and up to two key individuals within the company, including verification of any adverse and general media coverage. Checks will also be made against Dow Jones Risk & Compliance data.
Level 3 Full open source media research conducted on a company and up to seven key individuals within the company, including verification of any adverse and general media coverage. Checks will also be made against Dow Jones Risk & Compliance data.
Level 4 Full open source media research conducted on a company and up to 15 key individuals within the company, including verification of any adverse and general media coverage. Checks will also be made against Dow Jones Risk & Compliance data.
Level RC (Related Company)
Full open source media research conducted on a related company or subsidiary company of a company already investigated.
Level RI (Related Individual)
Full open source media research conducted on a related individual related to a key individual already investigated.
Level NM (Negative Media)
Open source Media research and analysis conducted on a single individual or single company for the purposes of identifying any adverse media issues.
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Due Diligence Report Dashboard
Central Repository for Due Diligence Reports
Get a comprehensive view of names of companies and
individuals for which reports have been requested; the request date and due date for the report; and
the current report status.
Submitted: Request received by Dow Jones.
In progress: Work on report has started.
Awaiting Proofing: Report ready for proofing and quality check.
Completed: Report complete and available for download.
Audit Log View all activity relating to a
particular report.
Add to Compliance Screening Add a company or individual to your
scheduled screening.
Request a New Report
Request a new Due Diligence report on a
company or individual.
Edit Order Forms Review and edit saved
order forms.
Contact Dow Jones Communicate with
Dow Jones regarding a Due Diligence
report by clicking on
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Requesting a Dow Jones Due Diligence Report When requesting a Due Diligence report you will be asked to provide contact details and key information about the type of report being requested.
Select Additional Report Options
Risk & Compliance – subject/s
will be screened against Dow
Jones Risk & Compliance data
including Politically Exposed
Persons, State-Owned
Companies and sanction lists.
Negative Media – Dow Jones
researchers will search global
news media from Factiva for any
negative coverage of subject/s.
General Media Profile –
Provides a recent snapshot of
news relating to a company
and/or individual taken from
open source internet news.
Select Report Level For details of what each report level
covers click
.
Save Draft Forms Save and review a draft order form to edit or submit at a
later stage.
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Reports on Individuals When requesting a report on an individual, you will be required to provide key information on the subject via a simple form. Required information (in bold) includes name, gender, current employer, country of residency and city.
Former Employers & Associated Companies Companies associated to an individual can
be added to the scope of Due Diligence for a more complete view.
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Reports on Companies When requesting a report on a company, you will be required to provide key information on the subject via a simple form. Required information (in bold) includes company name, country of registration, industry sector, city and country.
Key Executives Requestors can specify company
executives to be included in a Due Diligence report. These individuals
will be included as additional subjects in the research and will
appear as a part of the completed report on the company.
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Preferences
You can tailor the portal to your organization’s specific requirements and risk tolerance using the Preferences section.
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1. Screening Settings
Screening Threshold:
This section allows you to set preferences for your organization’s search thresholds (between 80%-100%), the minimum score a match must reach to be considered a hit in the screening process. A high threshold percentage will result in narrower and more precise search results. A lower percentage will broaden the search, but may result in more false positives.
Scheduling:
This section allows you to set regular schedules for automatic screening of all relationships listed in the “Compliance Screening” tab. Three options are available:
No Automated Screening Required: No scheduled screening. The screening process can be manually triggered using the ‘Screen All’, or ‘Screen Selected’ button in “Compliance Screening”.
Once: Select a date for one off screening of all relationships.
Periodically: Set up automated screening at regular intervals (daily, weekly, monthly).
You can opt to receive an email informing you of any new risk alerts generated by automated screening.
2. Factiva News Tracking Filter
Refine the results of News Tracking by creating a customized search query using a number of pre-defined filters. Selecting or deselecting filters will amend the search query shown in the ‘Filter’ box. You can also opt to create a bespoke search query using free text, or Factiva coding.
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Additional Technical Information
Connection Time-out
For security reasons, if a session is inactive for 15 minutes you will be disconnected and redirected to the login page.
Software Requirements
Browser: Microsoft supported versions of Internet Explorer, Chrome and Firefox are required to access Dow Jones Risk & Compliance
Internet products.
Microsoft Office 2003+ is required to view exported CSV files and Word Document formatted Due Diligence reports.
A PDF viewer/reader is required to view PDF formatted Daily Screening report and Due Diligence reports.
Further support
The upper right corner of the portal will always display the “Support” link which when clicked will open in a new window and direct users to the Dow Jones Customer Support site. You will be required to login the Customer Support site using the same credentials for accessing the Dow Jones Risk & Compliance Portal.
