Dow Jones Sanction Alert “Core” XML - Factiva · Alert “Core” “Core” 1.8 30-Sep-2012...

U S E R G U I D E

Dow Jones Sanction Alert “Core” XML

Feeds

Revision: Date: 18 July 2019

DOW JONES SANCTION ALERT “CORE” XML FEEDS

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©2017 Dow Jones & Company, Inc. All rights reserved. 2

Document history

Revision Number Revision Date Summary of Changes

1.25 18-Jul-2019 Updated with recent enhancements

1.24 05-Dec-2018 Upated with recent enhancements

1.23 30-Oct-2018 Updated the Feed frequency options and feed file naming conventions

1.22 6 –Sep-2017 Corrected minor details

1.21 10-Mar-2017 Added SOR Enrichment as new Service and

SOR Enrichment for DJ Sanction Alert Enhanced List Services

1.20 28-Jul-2015 Added DJ Enrichment as new Service

1.10 1-Jul-2013 Details included for Schema changes

1.9 13-Feb-2013

Updated Sanction Alert “Core” to Sanction Alert “Core” “Core”

1.8

30-Sep-2012

Details included for SFTP feed download capability and Field Character Limit changes

1.7

20-Jun-2012

Updated to reflect the launch of the new DJRC URL

No impact to existing customers

1.6 Updated the “What’s New” portion of the guide

1.5 24-Aug-2011 Updated to reflect branding guidelines

1.4 14-Mar-2011 Updated document structure

1.3 16-Feb-2011 Minor revisions to spelling and grammar

1.2 12-Jan-2011 Updated user guide in relation to the New Feed values announcements

1.1 07-10-2010 Updated user guide to include additional details

1.0 06-09-2010 Launch Version


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Table of Contents

CHAPTER 1: Introduction to Dow Jones Sanction Alert “Core” XML Feeds ............... 4

About Dow Jones Sanction Alert “Core” XML Feed ......................................................... 4

Dow Jones Branding Guidelines .............................................................................................. 4

Product Support ............................................................................................................................ 4

Chapter 2: Dow Jones Sanction Alert “Core” XML Feed Details .................................... 4

Dow Jones Sanction Alert “Core” Feed Services .............................................................. 5

Dow Jones Sanction Alert “Core” – “Enhanced List Service” Feeds ......................... 5

Dow Jones Sanction Alert “Core” XML Feed Frequencies ............................................. 7

Locations for Dow Jones Sanction Alert “Core” XML Checksum and Feed log

Files.................................................................................................................................................... 9

Dow Jones Sanction Alert “Core” XML Feed Distribution Schedules ........................ 9

Dow Jones Sanction Alert “Core” XML Feed Format ..................................................... 11

Naming Conventions for Checksum Files .......................................................................... 12

Requirements for Dow Jones Sanction Alert “Core” XML Feed ................................ 14

Document Retrieval ................................................................................................................... 15

Suggestion for Automating Feed File Download ............................................................. 20

Check the Integrity of the Downloaded File .................................................................... 20

Processing Data from the XML Feed Files ......................................................................... 21

CHAPTER 3: Dow Jones Sanction Alert “Core” XML Feed Values ................................ 27

Appendix A: Acronyms ............................................................................................................... 173

Appendix B: Frequently Asked Questions ........................................................................... 173


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CHAPTER 1: Introduction to Dow Jones Sanction

Alert “Core” XML Feeds

About Dow Jones Sanction Alert “Core” XML Feed

Dow Jones Sanction Alert “Core” is a fully managed sanctions data service optimised

for transaction monitoring, offering a new way for organisations to raise the bar on

sanctions compliance while dramatically reducing compliance workload.

To know more about Sanction Alert “Core”, please visit:

http://www.dowjones.com/collateral/files/DJ-sanction-alert-brochure.pdf

Dow Jones Branding Guidelines

Correct branding of Dow Jones content is a contractual obligation and customers

should refer to the latest Dow Jones Risk & Compliance Branding Guidelines

available on the Dow Jones Customer Support Developer Portal

Product Support

Answers to all your Questions and Issues regarding Dow Jones Sanction Alert “Core”

XML Feeds are available on Dow Jones Customer Support site.

To Connect to Dow Jones Customer Support site you would require Internet

Access and a Valid Dow Jones login.

Chapter 2: Dow Jones Sanction Alert “Core” XML

Feed Details

This section provides information about Dow Jones Sanction Alert “Core” XML feeds,

including feed requirements, distribution schedule, file formats, document retrieval,

and processing.

http://www.dowjones.com/collateral/files/DJ-sanction-alert-brochure.pdf

http://www.factiva.com/cp_developer/Documents/pfa/DJRC%20Branding%20Guidelines.zip

http://customer.dowjones.com/en/devPortal/devportalmain.aspx

http://customer.factiva.com/

http://customer.dowjones.com/


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Dow Jones Sanction Alert “Core” Feed Services

Dow Jones Sanction Alert “Core” Enhanced List Service: a customised

collection of List Service Feeds selected for aggregation and consolidation

into a single feed service. Clients can elect to receive the Enhanced List

Service Feeds with additional content based on Dow Jones research.

Enhanced List Service feeds are enriched with additional Dow Jones

identification and codes information. These feed services are created and

delivered on as per client basis

Please Note: New lists in new Reference Groups may be added to the Dow Jones

Sanction Alert “Core” service as and when required. The composition of Reference

Groups may also change in response to evolving regulatory and official formatting

changes. To receive updates on list additions or changes, please contact Dow

Jones Customer Services.

Dow Jones Sanction Alert “Core” – “Enhanced List

Service” Feeds

Separate Dow Jones Sanction Alert “Core” Separate Feeds services can be

aggregated and consolidated into a single service, known as an Enhanced List

Service Feed. For example, the OFACSD and HMTASS sanctions services can be

delivered in a single aggregated and consolidated feed. Such aggregated feeds

enable clients to retrieve and process all sanctions published in a range of sanctions

lists from different sources, in a single file, instead of maintaining separates

sanctions feed services.

In an aggregated feed, each content attribute of a Profile is categorised to a List

Provider Code that indicates the provenance of the supplied data. Aggregated Feeds

can also be delivered with content enrichments that provide additional information

about a sanctions target. This additional information is based upon research

undertaken by the global Dow Jones Risk & Compliance research teams. These

enrichments are clearly and consistently categorised as being sourced from Dow

Jones, enabling users with the means to deploy this content in a wide range of

compliance screening workflow scenarios.


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Enhanced List Services are produced on per client basis. If you wish to request a

Sanction Alert “Core” Aggregated “Enhanced List Service” Feed, please contact your

Dow Jones Relationship Manager. Dow Jones will then request the following details:

List of all Sanctions Services that are to be included in the aggregated service

Include Dow Jones content enrichments (Yes/No). If “Yes”, all additional

information sourced by the Dow Jones research team will be supplied in the

service, including corrected versions, synonyms and aliases of names

information provided by DJ. Choosing “No” means that the data would only

comprise of the information provided in the official version of the list.

Include Original Script Names enrichment (Yes/No). If “Yes”, all Original

Script Names will be supplied in the service. Choosing “No” means that the

data would only comprise of the information provided in the official version of

the list with out Original Script names.

Include Low Quality Also Known As enrichment (Yes/No). If “Yes”, all

Low Quality Also Known As names will be supplied in the service. Choosing

“No” means that the data would only comprise of the information provided in

the official version of the list with out the Low Quality AKA names. This

enrichment can be filtered to choose the LOW Quality Also Known As names

for the interested lists the service is subscribed to. For example if the service

is subscribed to have OFACSD and HMTASS Lists, client can choose to have

LOW Quality AKA names of OFACSD only.

Include Premium SOR enrichment (Yes/No). If “Yes”, all the information

sourced by Dow Jones research team on the profile, if the profile is having

SOR category/content type will be supplied in the service to comply with

OFAC & EU’s 50% Rule guidance.

SOR enrichment can be further filtered to Description 3 as below to

include profiles falling under those categories. Choosing “No”

means that the data would only comprise of the information

provided in the official version list.

o OFAC Related - Minority Known

o OFAC Related - Majority Known

o OFAC Related – Ownership Unknown


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o EU Related – Minority Known

o EU Related – Majority Known

o EU Related – Ownership Unknown

o OFAC Regional Sanctions Related – Majority Owned

o OFAC Regional Sanctions Related – Minority Owned

o OFAC Regional Sanctions Related – Ownership Unknown

o EU Regional Sanctions Related – Minority Owned

o EU Regional Sanctions Related – Majority Owned

o EU Regional Sanctions Related – Ownership Unknown

Include SOR Profile Notes – Will enable to include Profile Notes related SOR

details in the feed.

Include Cities and Ports enrichment (Yes/No) If “Yes”, includes all the

information sourced by the Dow Jones research team on the profile,

whenever a profile is from the Cities and Ports content. Cities and Ports is

supplied in the service to ensure comprehensive geographical coverage for

regions, cities, seaports, airports, free trade zones in sanctioned countries.

The content can be further filtered by Sanctioned countries and Description 3.

Dow Jones Sanction Alert “Core” XML Feed Frequencies

The Sanction Alert “Core” feed file updates is provided either every 4 or 8 hours,

when new or updated content is available.

Feed Frequencies:

o Dow Jones Sanction Alert “Core” Full Feed: The full feed consists of a

single XML full feed file that contains a full refresh of persons and entities

within Dow Jones Sanction Alert “Core” Services.

o Dow Jones Sanction Alert “Core” Incremental Feed: The Incremental

XML feed file contains delta updates of all changes, additions and deletions

made to Dow Jones Sanction Alert “Core” content during the 4 or 8 hour slot

since the last Incremental Feed.

The Incremental Feeds and Full Feeds can be produced either every 4 or 8 hours,

365 days per annum, when content additions and changes are updated to the

service. If no deltas to a list are required, then no new feed files will be published.

Locations for Dow Jones Sanction Alert “Core” XML Feed Files


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The Dow Jones Sanction Alert “Core” feed files can be downloaded from the below

locations:

Dow Jones Sanction Alert “Core” Enhanced List Service Feed Files:

Sanction Alert “Core” Custom Aggregated “Enhanced List Service” Feeds are posted

to secure private directories for each Enhanced List Service Feed client. The file

names of these feeds are based on the following format:

https://djrcfeed.dowjones.com/sanctionalert/xml/[ACCOUNTID]

where: [ACCOUNTID] - Unique Client Account Number

Users are required to have an Account ID created to access their customized

Sanction Alert “Core” Aggregated “Enhanced List Service” Feeds.

Example of Sanction Alert “Core” Aggregated “Enhanced List Service” Feed Location

is: https://djrcfeed.dowjones.com/sanctionalert/xml/1004

Checksums

Checksum is a common and most powerful method to ensure the content received

from Dow Jones is both secure and downloaded in its entirety and that there have

been no content losses during the transfer of the Feed Files from the Dow Jones

location to the users Individual storage or processing locations.

For this purpose, a new Checksum text file is posted to the respective Dow Jones

locations, which contains the unique MD5 Hash Code associated with each of the

Feed files.

The MD5 Hash Code is generated at the point of uploading the files to the Dow Jones

locations. Users Can use their own solutions or any one of the freely available MD5

verification tools to check that the MD5 Hash Code of the received File is equal to

the MD5 Hash Code of the generated file or not.

If the MD5 Hash Code of the received file is equal to the MD5 Hash Code provided by

Dow Jones in the Checksum File, the File has been downloaded without any

transmission errors.

https://djrcfeed.dowjones.com/sanctionalert/xml/1004


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Free ware Checksum Tools Available:

Below is the list of a few tools that can be used to compare the MD5.

1. Exact File (http://www.exactfile.com)

2. Microsoft (R) File Checksum Integrity Verifier V2.05 (FCIV)

(http://support.microsoft.com/kb/841290)

3. EF Checksum (http://www.efsoftware.com/cm/e.htm)

4. FastSum – (www.fastsum.com)

5. MD5Checker (http://getmd5checker.com/)

6. MD5 Checksum tool (http://www.brothersoft.com/md5-checksum-tool-

176270.html)

7. MD5Sums (http://www.pc-tools.net/win32/md5sums/)

8. FSum 2.5.2 (www.slavasoft.com)

9. MD5 (http://www.fourmilab.ch/md5/)

10. HashCalc (www.slavasoft.com)

Please note: These tools are to be used at the User’s own discretion and Dow Jones

would not responsible for the support and maintenance on issues arising due to the

use of these tools.

Locations for Dow Jones Sanction Alert “Core” XML

Checksum and Feed log Files

Dow Jones Sanction Alert “Core” Feed Checksum Files can be downloaded from the

following locations:

Dow Jones Sanction Alert “Core” “Enhanced List Service” Feeds

https://djrcfeed.dowjones.com/sanctionalert/xml/[ACCOUNTID]/feedlogs

For example, to retrieve the Checksum file for the Account 1004, go to:

https://djrcfeed.dowjones.com/sanctionalert/xml/1004/feedlogs/

Dow Jones Sanction Alert “Core” XML Feed Distribution

Schedules

http://www.exactfile.com/

http://support.microsoft.com/kb/841290

http://www.efsoftware.com/cm/e.htm

http://www.fastsum.com/

http://getmd5checker.com/

http://www.brothersoft.com/md5-checksum-tool-176270.html

http://www.brothersoft.com/md5-checksum-tool-176270.html

http://www.pc-tools.net/win32/md5sums/

http://www.slavasoft.com/

http://www.fourmilab.ch/md5/

http://www.slavasoft.com/

https://djrcfeed.dowjones.com/sanctionalert/xml/1004/feedlogs/


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This section lists the feed distribution schedules for Dow Jones Sanction Alert “Core”

feed files.

Feed Frequency Feed Generation Snapshot for every 8 Hours

Feed Schedule for every 8 Hours

Incremental Feed File

(available 365 days

per annum)

• 04:00 GMT

• 12:00 GMT

• 20:00 GMT

• Available After 06:00 GMT



Full Feed File

(available 365 days

per annum)

• 04:00 GMT

• 12:00 GMT

• 20:00 GMT




Feed Frequency Feed Generation Snapshot for every 4 Hours

Feed Schedule for every 4 Hours

Incremental Feed File

(available 365 days

per annum)

• 04:00 GMT

• 08:00 GMT

• 12:00 GMT

• 16:00 GMT

• 20:00 GMT

• 24:00 GMT







Full Feed File

(available 365 days

per annum)

• 04:00 GMT

• 08:00 GMT

• 12:00 GMT

• 16:00 GMT

• 20:00 GMT

• 24:00 GMT







Please note no feed files will be published but a feed logs txt file will be posted with

total profile counts available under the feed service until new or updated content is

available for addition to a Sanctions Service.


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All XML feed files are available for download from the specified HTTPS

locations for up to 60 days. To access to XML feed files that are older than 60

days, please contact Dow Jones Customer Services.

Dow Jones Sanction Alert “Core” XML Feed Format

All Dow Jones Sanction Alert “Core” feed files are supplied in .ZIP file format. The

following table identifies the various feed file formats for each feed type:

Dow Jones Sanction Alert “Core” List Service Feed Formats:

File Format Description

S_XML_ReferenceGroupCod

e_CCYYMMDD_NUMBER_I.z

ip

Represents daily incremental files,

each complete with date and slot

number.

File name ends with the letter “I”

(designating each slot incremental

file).

Slot number for every 8 hour slots:

o 1,2,3


o 1H,2H,3H, 4H, 5H, 6H


e_CCYYMMDD_NUMBER_F.

zip

Represents the full feed file, complete

with date and slot number.

File name ends in the letter “F”

(designating the full feed).


o 1,2,3


o 1H,2H,3H, 4H, 5H, 6H

Dow Jones Sanction Alert “Core” “Enhanced List Service”’ Feed Formats:


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S_XML_

ACCOUNTID_SERVICEID

_CCYYMMDD_NUMBER_I.zi

p

Represents daily incremental files,

each complete with date and slot

number.



file)


o 1,2,3


o 1H,2H,3H, 4H, 5H, 6H

S_XML_

ACCOUNTID_SERVICEID

_CCYYMMDD_NUMBER_F.zi

p

Represents the full feed file, complete

with date and slot number.




o 1,2,3


o 1H,2H,3H, 4H, 5H, 6H

Naming Conventions for Checksum Files

The naming convention of the Checksum file is similar to the Feed file name,

with the addition of a “Checksum_” prefix.

The following table details the checksum files naming convention for each type of

feed service:


Checksum_


e_CCYYMMDD_NUMBER_I.t

Represents checksum file for the

Sanction Alert “Core” List incremental

files, each complete with date and slot


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xt

number.



file)


o 1,2,3


o 1H,2H,3H, 4H, 5H, 6H

Checksum_


e_CCYYMMDD_NUMBER_F.t

xt


Sanction Alert “Core” List full feed file,

complete with date and slot number.




o 1,2,3


o 1H,2H,3H, 4H, 5H, 6H

Checksum_S_XML_

ACCOUNTID_SERVICEID

_CCYYMMDD_NUMBER_I.tx

t


Sanction Alert “Core” Enhanced List

service incremental files, each

complete with date and slot number.


(designating each daily incremental

file).


o 1,2,3


o 1H,2H,3H, 4H, 5H, 6H

Checksum_S_XML_

ACCOUNTID_SERVICEID

_CCYYMMDD_NUMBER_F.tx

t


Sanction Alert “Core” Enhanced List

service full feed file, complete with

date and slot number.





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o 1,2,3


o 1H,2H,3H, 4H, 5H, 6H

Requirements for Dow Jones Sanction Alert “Core” XML

Feed

Any implementation of the Dow Jones Sanction Alert “Core” must meet the

following criteria:

Requirement Rules/Description

Document Retrieval All Feed Files are delivered over the Internet.

Use Hyper Text Transfer Protocol over Secure

Socket Layer (HTTPS) to retrieve files via the

Internet.

Document Processing 1. For Initial loads, always process the

most current full feed files before

processing any incremental feed.

2. It is recommended that

databases maintained by incremental

updates are rebuilt with a new Full

Feed file on a regular scheduled basis.

This approach will ensure that your

data store is accurate, complete and up

to date, on an ongoing basis.

3. Incremental Feeds should always be

processed in ascending order.

All feed files are date time stamped and should be

processed in ascending order. If you detect any

problems with any feed file please contact Dow

Jones Customer Services before attempting


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to process the feed file.

Document Retrieval

Dow Jones Sanction Alert “Core” feed files can be retrieved by using either of the

following methods:

1. Via the Internet using the Hyper Text Transfer Protocol over Secure socket

Layer (HTTPS).

2. By using any SFTP Tool over the secure shell data stream (SFTP)

To Retrieve the Files via the Internet

1. Log on to the Dow Jones Feed servers, located at

https://djrcfeed.dowjones.com/sanctionalert/xml/[AccountID]

(Locations for Sanction “Core” XML Feeds for details of these locations)

2. Use the User name and Password provided by your Dow Jones representative.

If you do not have a User name and Password contact Dow Jones Customer

Services.

3. Passwords are case sensitive and asterisks (*) are displayed in place of the

Password.

4. After providing your Username and password, Click OK. A Comma Separated

File list displays all available Feed Files.

5. Retrieve the appropriate File using HTTPS GET:

o For Sanction Alert “Core” full feed files, retrieve the full feed file that

contains a date stamp closest to the current date and ends with the

highest posting number for the particular day. It is recommended that

you retrieve the latest full feed file (to replace those previously

processed incremental feeds).

o For Sanction Alert “Core” incremental feed files, retrieve all

incremental files that contain a date and posting number that is

greater than the previously processed full or incremental feed files.

https://djrcfeed.dowjones.com/




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6. To manually download a Dow Jones Sanction Alert “Core” feed file after

successfully logging on, simply copy the feed file name from the displayed list

of feed files and then paste it into the adldress bar as shown below

Example:

https://djrcfeed.dowjones.com/SanctionAlert/xml/900/s_xml_900_001_20100

624_1_I.zip

All Files are validated and scanned for viruses and Trojans before being

uploaded to the feed download site.

To Retrieve the Files via the SFTP

1. To establish a connection to the Dow Jones Feeds Servers, you would need

the following details:

Host Name: djrcfeed.dowjones.com

Port Number: 22

User Credentials: these are provided as part of your welcome package

2. Open the SFTP tool by clicking on the icon.

(For illustration purposes “WINSCP” has been used across this document)

3. Furnish the details in the login page.

https://djrcfeed.dowjones.com/SanctionAlert/xml/900/s_xml_900_001_20100624_1_I.zip

https://djrcfeed.dowjones.com/SanctionAlert/xml/900/s_xml_900_001_20100624_1_I.zip


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4. WINSCP offers you a feature to save the session. You can click on Save to

save the details for future logins or simply click on Login to establish the

connection without saving.

5. You will see a Welcome banner. If you do not want to see this again – click

on “Never Show this banner again” and then click on “Continue”


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6. After you login, you will be presented with an Explorer Window as shown below.

7. Double Click on the folder called “SanctionAlert”.

Please Note: While you may be able to see all the folders, access to folders

is restricted to the Products you have actually subscribed to.

For example: if your user credentials are created for accessing Sanction

Alert “Core” Feeds only, you will not be able to navigate to any of the other

folders that maybe displayed on the Explorer window.

8. Now double click on “XML”. You will be presented with the options as per

screenshot below:


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9. You will see a long list of Folders with a number. Now, these numbered

folders correspond to each client individual folders. You will be permissioned

to only access the folder that is assigned to you.

Please look for the Account Number/User ID provided in the welcome letter.

It should be a 4 digit number. Look for a folder corresponding to that

number and double click on it.

For example, if your Account Number/User Id is 1001, double click on 1001

10. To download any file, select the file you wish to copy and then click on “Copy” or

press F5.

Please note; different tools provide different methods/options of downloading

files to local systems.


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You can also automate the feeds download by using the automation

techniques provided by the software vendor. Please make sure you contact

the particular SFTP software vendor for any assistance.

All Files are scanned for Viruses and Trojans before being uploaded to the Dow

Jones Feeds servers.

Suggestion for Automating Feed File Download

If you wish to automate the process of feed file retrieval from Dow Jones, you may

wish to consider the following options:

1. Create a Windows Service that runs at on a scheduled basis to (i) check the

availability of the required feed file and (ii) securely retrieve files via HTTPS. This

may involve implementing code or applications that will enable files to be

downloaded without manual intervention.

Web References/Source Code Samples for automation can be found at:

http://www.example-code.com/vbdotnet/ftp.asp

http://www.vbdotnetheaven.com/UploadFile/bfarley/FileDownload041820050438

58AM/FeDownload.aspx

http://www.codeproject.com/KB/vb/downloadFileswProgressbar.aspx

2. Implement a commercial file retrieval application that will securely retrieve feed

files using automated scheduled processes

Check the Integrity of the Downloaded File

To ensure the content received from Dow Jones is both secure and downloaded in its

entirety and that there have been no content losses during the transfer of the Feed

Files from the Dow Jones location to the users’ individual storage or processing

locations, you can use your own solutions or any one of the available MD5

verification tools to check that the MD5 Hash Code of the received File is equal to

the MD5 Hash Code of the generated file or not.

http://www.example-code.com/vbdotnet/ftp.asp

http://www.vbdotnetheaven.com/UploadFile/bfarley/FileDownload04182005043858AM/FeDownload.aspx

http://www.vbdotnetheaven.com/UploadFile/bfarley/FileDownload04182005043858AM/FeDownload.aspx

http://www.codeproject.com/KB/vb/downloadFileswProgressbar.aspx


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If the MD5 Hash Code of the received file is equal to the MD5 Hash Code provided by

Dow Jones in the Checksum File, the File has been downloaded without any

transmission errors.

However, if you face any Mismatch in the MD5 codes please Download the File again

and if you continue receiving the Same MD5 Mismatch Error, please Contact Dow

Jones Customer Service.

Processing Data from the XML Feed Files

After retrieving the desired files, you should be ready to process your feeds into a

relational database (or another data store).

Processing XML data involves backing up your existing data (to protect against data

loss), followed by importing and updating the following lists and then processing

people and entity lists

CountryTypeList

CountryList

ReferenceGroupList

OccupationList

Sanctions References list

Description1list

Description2list

Description3list

IdentificationTypeList

DateTypeList

ReferenceGroupLanguagesList

ScriptLanguageList

A full feed must be processed before any incremental feed; all incremental feeds

must be processed in ascending date order.

Dow Jones recommends as a point of best practice that Sanction Alert “Core” data

stores are refreshed using a current Full Feed on a regular basis. This approach will

ensure the ongoing integrity and complete of the Sanction Alert “Core” data set.




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After integrating Dow Jones Sanction Alert “Core” content in your environment, use

the exact set list values (provided within the Feed Files) to query the Sanction Alert

“Core” data set. For example, if Dow Jones provides “Myanmar” a as country value,

you must use this exact value instead of any synonym.

A Monthly or Daily or slot full feed must be processed before Weekly or Daily or slot

incremental feeds; and all incremental feeds must be processed in ascending date

order.

It is recommended a Full Feed refresh is subsequently taken once or twice a month.

In addition, you must distinguish the feed handling of people lists and entity lists

(since full feeds differ from incremental feeds), and recognise that people data

comprises of multiple person and entity elements, each with an unique ID and an

action attribute that identifies the transformation of each ID.

What Do I do next?

Process data from a full feed

Process data from an incremental feed

Process data, changing from a full feed to a daily incremental feed

Process data from a full feed

1. Backup your existing data to a more stable storage area, such as another

machine or tape drive.

Backups are a simple and essential component of any installation. It is good

practice to produce daily backup copies of production data, and to transfer

those backups away from the current environment.

2. Choose from the following:

To Process… Follow these steps…

CountryTypeList, CountryList,

ReferenceGroupList , OccupationList

, Sanctions References list,

Description1list, Description2list,

1. Delete the appropriate data list(s) from your data

store (if any).

2. Load the data from the


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Description3list,

IdentificationTypeList,

DateTypeList,

ReferenceGroupLanguagesList,

ScriptLanguageList

latest full feed into your data store

Records List (Person and Entity) For all Profile (Person/Entity)

IDs where action=add:

1. Delete all corresponding profile data and Associations from your

data store.

2. Load the profile data from the latest full feed into your data store.

Full feed files only contain

Profile IDs with

recordaction=add

Process data from an incremental feed






2. Choose from the following (completing your actions in ascending date order):

To Process… Follow these steps…

CountryTypeList, CountryList,

ReferenceGroupList ,

OccupationList , Sanctions

References list, Description1list,

Description2list, Description3list,

1. Delete the appropriate data

list(s) from your data store if

action = “chg” or “del” from

the respective lists.


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IdentificationTypeList,

DateTypeList,

ReferenceGroupLanguagesList,

ScriptLanguageList

2. Load the data from the latest

feed into your data store

where action = “add” or “chg”

Records List (Person or Entity) For all Profile (person/Entity) IDs

where action = add:

1. Load the Person/Entity data

from the latest incremental

feed into your data store.

NOTE: If you receive an exception

while processing any record with

action=’add’ because the Profile ID

already exists in your data store,

treat this record an ‘chg’.

If it is confirmed there is no issue

with your end solution, it is

suggested that you log or report

this Profile Id and the exception to

Dow Jones via Customer Service

For each Profile (person/Entity) ID

where action = chg:

1. Delete all corresponding

profile data from your data

store.

2. Load the modified profile data

from the latest incremental

feed into your data store.



action=’chg’ because the Profile ID


_________________________________________________________________________

____________________________________________________________________________________


does not exists in your data store,

treat this record an ‘add’.

If it is confirmed there is no issue

with your end solution, it is

suggested that you log or report

this Profile Id and the exception to

Dow Jones via Customer Service

For each Profile (person/Entity)

where recordaction = del:

1. Delete all corresponding

person/entity data from your

data store.



action=’del’ because the Profile ID

does not exists in your data store,

take no action on this record.

2. If it is confirmed there is no

issue with your end solution,

it is suggested that you log or

report this Profile Id and the

exception to Dow Jones via

Customer Service.

Process data, changing from a full feed to a daily incremental feed




_________________________________________________________________________

____________________________________________________________________________________





2. Process the latest available full feed (_F) files date time stamped closest to

the current day. (See "Process data from a full feed.")

3. Next, process the Slot incremental (_I) file, date stamped closest to the

current day.(See “Process data from an Incremental Feed”)

4. Subsequently, and from this point forward, process only daily incremental

files, in ascending date order.

Although Full Feeds are available on a Daily basis, it is not necessary to

re-process full feed files at this frequency, unless you plan to rebuild the

database on every day. However a Full refresh should be taken at least

once a month, as best practice.

Sanction Alert “Core” Quick Note

All Dow Jones Sanction Alert “Core” XML files contain a number of set

lists of values that feature in Sanction Alert “Core” profiles.

These lists provide full details on:

Region Types

Regions

Sanctions Reference Groups/List Provider Codes

Sanctions/Official List References

Person/Entity Descriptions

Date Types

Identification Types

Reference Languages

Script Languages

All Sanction Alert “Core” Feed Files are UTF-8 encoded and are scanned for

Virus/Trojans etc before being uploaded to the Feeds sites for client

download.

The Sources field may contain Non-Latin characters.


_________________________________________________________________________

____________________________________________________________________________________


CHAPTER 3: Dow Jones Sanction Alert “Core”

XML Feed Values

This section provides information about the individual XML elements found in the

feeds.

Dow Jones Sanction Alert “Core” XML feeds XML elements in the form of containers

(tags/elements) that hold other containers.

Primary XML elements for Sanction Alert “Core” Feeds:

DowJonesSanctionAlert

CountryTypeList

CountryList

OccupationList

RelationshipList

SanctionsReferencesList

Description1List

Description2List

Description3List

ReferenceGroupList



DateTypeList


ScriptLanguageList

RelationshipList (This is Optional)

Records

Associations (This is Optional) where, <DowJonesSanctionAlert> is the root element.


_________________________________________________________________________

____________________________________________________________________________________


<DowJonesSanctionAlert>……… </DowJonesSanctionAlert>

Diagram

Description This is the top level container (root element) for Sanction Alert “Core”

Feeds

Please follow the sequence of elements as shown in the figure

above, top to bottom.

Use Required

Type None

Max Length NA

Occurrences Min Occurrence Max Occurrence


_________________________________________________________________________

____________________________________________________________________________________


1 1

Attributes Attribut

e Name

Attribute Description Type Use Max

length

date Represents the Date of the

Feed File generation.

Format is:

ccyymmdd_slotnumber

(GMT) where,

Value Description

Ccyy Represents

the year

Mm Represents

a month

Dd Represents

a day

Slot

Number

Represents

the slot

number of

the feed

file

xs:

string

requir

ed

12

character

s

type Represents the Type

(Frequency) of Feed File.

Possible Values are:

Value Description

Incremen

tal

Represents

an

Incremental

file

full Represents

a full file

xs:

string

requir

ed

11

character

s

Children CountryTypeList CountryList

OccupationList

RelationshipList


_________________________________________________________________________

____________________________________________________________________________________


SanctionsReferencesList Description1List

Description2List

Description3List

ReferenceGroupList



DateTypeList


ScriptLanguageList

RelationshipList (This is Optional)

Source

Schema

<xs:element name="DowJonesSanctionAlert">

<xs:complexType>

<xs:sequence>

<xs:element ref="CountryTypeList"/>

<xs:element ref="CountryList"/>

<xs:element ref="Description1List"/>



<xs:element ref="ReferenceGroupList"/>

<xs:element ref="SanctionsReferencesList"/>

<xs:element ref="IdentificationTypeList"/>

<xs:element ref="DateTypeList"/>

<xs:element

ref="ReferenceGroupLanguagesList"/>

<xs:element ref="ScriptLanguageList"/>

<xs:element ref="RelationshipList"

minOccurs="0"/>

<xs:element ref="Records"/>

<xs:element ref="Associations"

minOccurs="0"/>

</xs:sequence>

<xs:attribute name="type" use="required">

<xs:simpleType>

<xs:restriction base="xs:NMTOKEN">

<xs:maxLength value="11"/>

<xs:enumeration

value="incremental"/>

<xs:enumeration value="full"/>

</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="date" use="required">

<xs:simpleType>


_________________________________________________________________________

____________________________________________________________________________________


<xs:restriction base="xs:string">


</xs:restriction>

</xs:simpleType>

</xs:attribute>

</xs:complexType>

</xs:element>

Sample

Code

<?xml version="1.0" encoding="utf-8"?>

<DowJonesSanctionAlert type="incremental"

date="20090624_1" >

+<CountryTypeList>

+<CountryList>

+<Description1List>

+<Description2List>

+<Description3List>

+<ReferenceGroupList>

+<SanctionsReferencesList>

+<IdentificationTypeList>

+<DateTypeList>

+<ReferenceGroupLanguagesList>

+<ScriptLanguageList >

+<Records>

</DowJonesSanctionAlert>

<CountryTypeList>……… </CountryTypeList>

Diagram

Description This is the container of the set Lists for Country Types specified in Dow

Jones Risk and Compliance Database.

The Country type master list is an extensible list and has a

potential to change regularly. Updates to this list will be

supplied in the look-up table supplied in every feed.

Use Required

Type None

Max Length NA


_________________________________________________________________________

____________________________________________________________________________________



1 1

Attributes None

Children CountryTypeName

Source

Schema

<xs:element name="CountryTypeList">

<xs:complexType>

<xs:sequence>

<xs:element ref="CountryTypeName"

maxOccurs="unbounded"/>

</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<CountryTypeName>……… </CountryTypeName>

Diagram

Description Contains the Country Type Details


_________________________________________________________________________

____________________________________________________________________________________


Use Required

Type string

Max Length 255 characters


1 unbounded

Attributes Attribute

Name

Attribute

Description

Type Use Max

length

code Represents the

unique Code

Associated with

Country Type.

xs: string require

d

2

character

s

RecordTyp

e

Represents the

RecordType value

associated with a

Country Type.

Possible values are:

Valu

e

Descriptio

n

Pers

on

Specifies

that the

Country

Type is of

a person

type

Entit

y

Specifies

that the

Country

Type is of

a entity

type

xs:NMTOKE

N

require

d

6

character

s

action Represents the type

of update

performed on the

set list value


xs:NMTOKE

N

require

d

9

character

s


_________________________________________________________________________

____________________________________________________________________________________


Value Description

add Indicates a

newly

added set

list value

chg Indicates a

change to

set list

value

del Indicates

that the

particular

set List

Value has

been

deleted

from the

R&C

Database

unch

g

Indicates

that there

has been

no

changes to

the set list

Value

rev Indicates

that the

set list

Value has

been

reviewed

without

any major

changes.N

ote: this

value will

be

included in

the future

versions of

the

Sanction

Alert


_________________________________________________________________________

____________________________________________________________________________________


“Core”

Feeds.

date Represents the last

reviewed date of

the set list value

xs:string Require

d

12

character

s

Children None

Source

Schema

<xs:element name="CountryTypeName">

<xs:complexType>

<xs:simpleContent>

<xs:extension base="ContentRestriction">

<xs:attribute name="code" use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="RecordType" use="required">

<xs:simpleType>



<xs:enumeration

value="Entity"/>

<xs:enumeration

value="Person"/>

</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="action" use="required">

<xs:simpleType>



<xs:enumeration value="add"/>

<xs:enumeration value="chg"/>

<xs:enumeration value="del"/>

<xs:enumeration value="unchg"/>

<xs:enumeration value="rev"/>

</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>



</xs:restriction>


_________________________________________________________________________

____________________________________________________________________________________


</xs:simpleType>

</xs:attribute>

</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<CountryList>……… </CountryList>

Diagram

Description This is the container of the set list for Countries

The country set list is an extensible list and has a potential to

change regularly. Updates to this list will be supplied in the

look-up table supplied in every feed.

Use Required

Type None

Max Length NA


1 1

Attributes None

Children CountryName

Source

Schema

<xs:element name="CountryList">

<xs:complexType>

<xs:sequence>

<xs:element ref="CountryName"


</xs:sequence>

</xs:complexType>


_________________________________________________________________________

____________________________________________________________________________________


</xs:element>

Sample

Code

<CountryName>……… </CountryName>

Diagram

Description Contains the Country Details

Use Required

Type string



1 unbounded


Name

Attribute Description Type Use Max

length

code Represents the unique

Code Associated with

xs: required 3

characte


_________________________________________________________________________

____________________________________________________________________________________


the Country Name. string rs

DJIIRegionCo

de

Represents the Dow

Jones Country Code

(descriptor) Associated

with the Country.

xs:

string

required 13

characte

rs

ISO2Country

Code

Represents the ISO2

country Code associated

with country.

xs:

string

required 2

characte

rs

ISO3Country

Code

Represents the ISO3

country Code associated

with country.

xs:

string

required 3

characte

rs

IsTerritory Represents whether a

country is a territory.


Value Description

True Specifies

that the

Country is

a Territory

of another

Country

False Specifies

that the

Country is

not a

Territory

of another

Country

xs:NMTO

KEN

required 5

characte

rs

ParentCountr

yCode

Represents the code of

the Parent Country for

which the country is a

Territory

xs:

string

optional 3

characte

rs

action Represents an action

value depending on the

nature of the most

recent update

performed on the value.

The possible values are:

xs:NMTO

KEN

required 9

characte

rs


_________________________________________________________________________

____________________________________________________________________________________


Value Description

add Indicates a

newly added

set list value

chg Indicates a

change to

set list value

del Indicates

that the

particular set

List Value

has been

deleted from

the R&C

Database

unch

g

Indicates

that there

has been no

changes to

the set list

Value

rev Indicates

that the set

list Value has

been

reviewed

without any

major

changes.Not

e: this value

will be

included in

the future

versions of

the Sanction

Alert “Core”

Feeds.


reviewed date of the set

list value

xs:string Require

d

12

characte

rs

Children None


_________________________________________________________________________

____________________________________________________________________________________


Source

Schema

<xs:element name="CountryName">

<xs:complexType>

<xs:simpleContent>

<xs:extension base="CountryContentRestriction">


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="DJIIRegionCode"

use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="ISO3CountryCode"

use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="ISO2CountryCode"

use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="IsTerritory" use="required">

<xs:simpleType>

<xs:restriction

base="xs:NMTOKEN">


<xs:enumeration value="False"/>

<xs:enumeration value="True"/>

</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="ParentCountryCode"

use="optional">

<xs:simpleType>


_________________________________________________________________________

____________________________________________________________________________________




</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>

<xs:restriction

base="xs:NMTOKEN">







</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<Description1List>……… </Description1List>

Diagram

Description Contains the set list of Description1 classification falling under Watchlist

product.

The Description1 master list is an extensible list and may be subject to


_________________________________________________________________________

____________________________________________________________________________________


very occasional change. Updates to this list will be supplied in the set

list supplied in every feed.

Use Required

Type None

Max Length NA


1 1

Attributes None

Children Description1Name

Source

Schema

<xs:element name="Description1List">

<xs:complexType>

<xs:sequence>

<xs:element ref="Description1Name"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<Description1Name>……… </Description1Name>


_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description Contains the Description1 details

Use Required

Type string



1 Unbounded


Name

Attribute

Description

Type Use Max

length

Description1

C ode

Represents Code

Value Associated with

a Description 1 value.

xs: string required 4

character

s

RecordType Represents the

RecordType value

associated with a

Description1.

Value Descriptio

n

Perso

n

Specifies

that the

record is

of a

person

type

Entity Specifies

that the

record is

xs:

NMTOKEN

required 6

character

s


_________________________________________________________________________

____________________________________________________________________________________


of a entity

type

action Represents an action

value depending on

the nature of the most

recent update

performed on the

value.

The possible values

are :

Value Description

add Indicates a

newly

added set

list value

chg Indicates a

change to

set list

value

del Indicates

that the

particular

set List

Value has

been

deleted

from the

R&C

Database

unch

g

Indicates

that there

has been

no

changes to

the set list

Value

rev Indicates

that the

set list

Value has

been

xs:NMTOK

EN

required 9

character

s


_________________________________________________________________________

____________________________________________________________________________________


reviewed

without

any major

changes.N

ote: this

value will

be

included in

the future

versions of

the

Sanction

Alert

“Core”

Feeds.


reviewed date of the

set list value.

xs:string Require

d

12

character

s

Children None

Source

Schema

<xs:element name="Description1Name">

<xs:complexType>

<xs:simpleContent>


<xs:attribute name="Description1Code"

use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="RecordType" use="required">

<xs:simpleType>



<xs:enumeration value="Entity"/>

<xs:enumeration value="Person"/>

</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>





_________________________________________________________________________

____________________________________________________________________________________






</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code


Diagram

Description Contains the set list of Description2 classification falling under Watchlist

product.

The Description2 master list is an extensible list and has a potential

to may be subject to very occasional change. Updates to this list will

be supplied in the set list supplied in every feed.

Use Required

Type None

Max Length NA


_________________________________________________________________________

____________________________________________________________________________________



1 1

Attributes None


Source

Schema


<xs:complexType>

<xs:sequence>



</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code



_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description Contains the Description2 Details

Use Required

Type string



1 unbounded


Name

Attribute

Description

Type Use Max

length

Description2

Code

Represents Code

Value Associated

with a Description

2 value.

xs: string require

d

4

characters

Description1

Code

Represents Code

Value Associated

with a Description

1 value

xs: string require

d

4

characters

action Represents an

action value

depending on the

nature of the most

recent update

performed on the

value.

The possible

values are :

Value Description

xs:NMTOK

EN

required 9

character

s


_________________________________________________________________________

____________________________________________________________________________________


add Indicates a

newly

added set

list value

chg Indicates a

change to

set list

value

del Indicates

that the

particular

set List

Value has

been

deleted

from the

R&C

Database

unch

g

Indicates

that there

has been

no

changes to

the set list

Value

rev Indicates

that the

set list

Value has

been

reviewed

without

any major

changes.N

ote: this

value will

be

included in

the future

versions of

the

Sanction

Alert

“Core”


_________________________________________________________________________

____________________________________________________________________________________


Feeds.


reviewed date of

the set list value.

xs:string Required 12

character

s

Children None

Source

Schema


<xs:complexType>

<xs:simpleContent>



use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>

<xs:restriction

base="xs:NMTOKEN">







</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


_________________________________________________________________________

____________________________________________________________________________________


</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code


Diagram

Description Contains the set lists of Description3 classification falling under

Watchlist product

The Description3 master list is an extensible list and may be

subject to very occasional change. Updates to this list will be

supplied in the set list table supplied in every feed.

Use Required

Type None

Max Length NA


1 1

Attributes None


Source

Schema


<xs:complexType>

<xs:sequence>



</xs:sequence>


_________________________________________________________________________

____________________________________________________________________________________


</xs:complexType>

</xs:element>

Sample

Code


Diagram

Description Contains the Description3 Details.

Use Required

Type string



1 Unbounded


Name

Attribute

Description

Type Use Max

length

Descriptio Represents Code

Value Associated



_________________________________________________________________________

____________________________________________________________________________________


n3Code with a Description 3

value.

characters

Descriptio

n2Code

Represents Code

Value Associated

with a Description 2

value


characters


action value

depending on the

nature of the most

recent update

performed on the

value.

The possible values

are :

Value Description

add Indicates a

newly

added set

list value

chg Indicates a

change to

set list

value

del Indicates

that the

particular

set List

Value has

been

deleted

from the

R&C

Database

unch

g

Indicates

that there

has been

no

changes to

the set list

xs:NMTOKEN required 9

characters


_________________________________________________________________________

____________________________________________________________________________________


Value

rev Indicates

that the

set list

Value has

been

reviewed

without

any major

changes.N

ote: this

value will

be

included in

the future

versions of

the

Sanction

Alert

“Core”

Feeds.


reviewed date of

the set list value.

xs:string Require

d

12

characters

Children None

Source

Schema


<xs:complexType>

<xs:simpleContent>



use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>


_________________________________________________________________________

____________________________________________________________________________________


</xs:attribute>


<xs:simpleType>

<xs:restriction

base="xs:NMTOKEN">







</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<ReferenceGroupList>……… </ReferenceGroupList>

Diagram

Description Contains the list of Reference Groups available for Sanction Alert “Core”.

The Reference Group master list is an extensible list may be subject

to occasional change. Updates to this list will be supplied in the set

list table supplied in every feed..

Use Required

Type None


_________________________________________________________________________

____________________________________________________________________________________


Max Length NA


1 1

Attributes None

Children ListGroupName

Source

Schema

<xs:element name="ReferenceGroupList">

<xs:complexType>

<xs:sequence>

<xs:element ref="ListGroupName"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<ListGroupName>……… </ListGroupName>


_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description Contains sanctions/official list details

Use Required

Type string



1 unbounded


Name

Attribute

Description

Type Use Max

length

ReferenceGr

oupCode

Represents the

code value

associated with

the Sanction Alert

“Core” Reference

Group

xs:string required 10

characters


action value

depending on the

nature of the

most recent

update performed

on the value.

The possible

values are :

Value Description

add Indicates a

newly

added set

list value


characters


_________________________________________________________________________

____________________________________________________________________________________


chg Indicates a

change to

set list

value

del Indicates

that the

particular

set List

Value has

been

deleted

from the

R&C

Database

unch

g

Indicates

that there

has been

no

changes to

the set list

Value

rev Indicates

that the

set list

Value has

been

reviewed

without

any major

changes.N

ote: this

value will

be

included in

the future

versions of

the

Sanction

Alert

“Core”

Feeds.

date Represents the

last reviewed date

of the set list

xs:string Require

d

12

characters


_________________________________________________________________________

____________________________________________________________________________________


value.

Children None

Source

Schema

<xs:element name="ListGroupName">

<xs:complexType>

<xs:simpleContent>


<xs:attribute name="ReferenceGroupCode"

use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>








</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code


_________________________________________________________________________

____________________________________________________________________________________


<SanctionsReferencesList>……… </SanctionsReferencesList>

Diagram

Description Contains the set list of Sanctions Reference Lists.

The Sanctions Reference master list is an extensible list

and has a potential to change regularly. Updates to this list will

be supplied in the set list supplied in every feed.

Use Required

Type None

Max Length NA


1 1

Attributes None

Children ReferenceName

Source

Schema

<xs:element name="SanctionsReferencesList">

<xs:complexType>

<xs:sequence>

<xs:element ref="ReferenceName"


</xs:sequence>

</xs:complexType>

</xs:element>


_________________________________________________________________________

____________________________________________________________________________________


Sample

Code

<ReferenceName>……… </ReferenceName>

Diagram

Description Contains the list details assigned to the Reference Group.

Use Required

Type string




_________________________________________________________________________

____________________________________________________________________________________


1 Unbounded


Name

Attribute

Description

Type Use Max

length

code Represents the

code value

associated with a

sanctions/official

list reference.


characters

Description2

Code

Represents the

record type

Description 2 Id

classification of

the

sanctions/official

list reference


characters

ReferenceGr

oupCode

Represents the

unique code

assigned to the

List Provider

Group

xs:string require

d

4

characters

ListProvider

Name

Represents the

Full Name of the

list Issuing body

xs:string Option

al

255

characters

CountryCod

e

Represents the

unique code

assigned to the

Country to which

the list belongs

xs:string Option

al

3

characters

status Represents the

status of the list,

whether Current

or Suspended.

The possible

values are :

Value Description

Curre

nt

Specifies

that the

List is

xs:NMTOKEN require

d

9

characters


_________________________________________________________________________

____________________________________________________________________________________


Current.

Susp

ende

d

Specifies

that the

List is

Suspended

.


action value

depending on the

nature of the

most recent

update performed

on the value.

The possible

values are :

Value Description

add Indicates a

newly

added set

list value

chg Indicates a

change to

set list

value

del Indicates

that the

particular

set List

Value has

been

deleted

from the

R&C

Database

unch

g

Indicates

that there

has been

no

changes to

the set list

xs:NMTOKEN require

d

9

characters


_________________________________________________________________________

____________________________________________________________________________________


Value

rev Indicates

that the

set list

Value has

been

reviewed

without

any major

changes.N

ote: this

value will

be

included in

the future

versions of

the

Sanction

Alert

“Core”

Feeds.

date Represents the

last reviewed date

of the set list

value.

xs:string Require

d

12

characters

Children None

Source

Schema

<xs:element name="ReferenceName">

<xs:complexType>

<xs:simpleContent>



<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="Description2Code" use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


_________________________________________________________________________

____________________________________________________________________________________



use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="ListProviderName" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="CountryCode" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="Status" use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>








</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


_________________________________________________________________________

____________________________________________________________________________________


</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<IdentificationTypeList>……… </IdentificationTypeList>

Diagram

Description Contains the set list of Identification Types falling under Watchlist Product.

The Identification Type master list is an extensible list and may be

subject to very occasional change. Updates to this list will be


Use Required

Type None

Max Length NA


1 1

Attributes None

Children IdentificationType

Source

Schema

<xs:element name="IdentificationTypeList">

<xs:complexType>

<xs:sequence>

<xs:element ref="IdentificationType"


</xs:sequence>

</xs:complexType>


_________________________________________________________________________

____________________________________________________________________________________


</xs:element>

Sample

Code

<IdentificationType>……… </IdentificationType>

Diagram

Description Contains the Identification Type Details

Use Required

Type string



1 unbounded


Name

Attribute

Description

Type Use Max

length

code Represents the

unique code

associated with

the Identification

Type value


characters


RecordType value

associated with

the Identification


characters


_________________________________________________________________________

____________________________________________________________________________________


Type.

Value Descriptio

n

Perso

n

Specifies

that the

record is

of a

person

type

Entity Specifies

that the

record is

of a entity

type


action value

depending on the

nature of the

most recent

update performed

on the value.

The possible

values are :

Value Description

add Indicates a

newly

added set

list value

chg Indicates a

change to

set list

value

del Indicates

that the

particular

set List

Value has

been

xs:NMTOKEN require

d

6

characters


_________________________________________________________________________

____________________________________________________________________________________


deleted

from the

R&C

Database

unch

g

Indicates

that there

has been

no

changes to

the set list

Value

rev Indicates

that the

set list

Value has

been

reviewed

without

any major

changes.N

ote: this

value will

be

included in

the future

versions of

the

Sanction

Alert

“Core”

Feeds.

date Represents the

last reviewed date

of the set list

value.

xs:string Require

d

12

characters

Children None

Source

Schema

<xs:element name="IdentificationType">

<xs:complexType>

<xs:simpleContent>



<xs:simpleType>



_________________________________________________________________________

____________________________________________________________________________________



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="RecordType"

use="required">

<xs:simpleType>

<xs:restriction

base="xs:NMTOKEN">




</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>

<xs:restriction

base="xs:NMTOKEN">







</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<DateTypeList>……… </DateTypeList >


_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description Contains the set list of Date Types falling under Watchlist Product.

The Date Type set list is an extensible list and may be subject to

very occasional change. Updates to this list will be supplied in the

set list table supplied in every feed.

Use Required

Type None

Max Length NA


1 1

Attributes None

Children DateTypeName

Source

Schema

<xs:element name="DateTypeList">

<xs:complexType>

<xs:sequence>

<xs:element ref="DateTypeName"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<DateTypeName>……… </DateTypeName>


_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description Contains the Date Type Details

Use Required

Type string



1 Unbounded


Name

Attribute

Description

Type Use Max

length

code Represents the

unique code

associated with

the Date Type

value


characters


RecordType value

associated with

the Date Type.

Value Descriptio

n

Perso

n

Specifies

that the

record is

of a

person

type


characters


_________________________________________________________________________

____________________________________________________________________________________


Entity Specifies

that the

record is

of a entity

type


action value

depending on the

nature of the

most recent

update performed

on the value.

The possible

values are :

Value Description

add Indicates a

newly

added set

list value

chg Indicates a

change to

set list

value

del Indicates

that the

particular

set List

Value has

been

deleted

from the

R&C

Database

unch

g

Indicates

that there

has been

no

changes to

the set list

Value


characters


_________________________________________________________________________

____________________________________________________________________________________


rev Indicates

that the

set list

Value has

been

reviewed

without

any major

changes.N

ote: this

value will

be

included in

the future

versions of

the

Sanction

Alert

“Core”

Feeds.

date Represents the

last reviewed date

of the set list

value.

xs:string Require

d

12

characters

Children None

Source

Schema

<xs:element name="DateTypeName">

<xs:complexType>

<xs:simpleContent>



<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="RecordType"

use="required">

<xs:simpleType>

<xs:restriction

base="xs:NMTOKEN">




</xs:restriction>


_________________________________________________________________________

____________________________________________________________________________________


</xs:simpleType>

</xs:attribute>


<xs:simpleType>

<xs:restriction

base="xs:NMTOKEN">







</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<ReferencesGroupLanguagesList>……… </ReferencesGroupLanguagesList>

Diagram

Description Contains the set list of Reference Group Languages or the list of

language version names available within Dow Jones Database for

each of the Reference Groups..

The Reference Group Language list is an extensible list

and has a potential to change. Updates to this list would be


_________________________________________________________________________

____________________________________________________________________________________



Use Required

Type None

Max Length NA


1 1

Attributes None

Children ReferenceGroupLanguageName

Source

Schema

<xs:element name="ReferenceGroupLanguagesList">

<xs:complexType>

<xs:sequence>

<xs:element ref="ReferenceGroupLanguageName"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<ReferenceGroupLanguageName>……… </ReferenceGroupLanguageName>

Diagram

Description Contains the description of the Reference Group Language versions


_________________________________________________________________________

____________________________________________________________________________________


published by the List Provider.

Use Required

Type string



1 unbounded


Name

Attribute

Description

Type Use Max

length

code Represents the

code value

associated with a

Reference Group

Language


characters

ISO2Langua

geCode

Represents the

ISO2 code value

associated with

the Language

Version


characters


action value

depending on the

nature of the

most recent

update performed

on the value.

The possible

values are :

Value Description

add Indicates a

newly

added set

list value

chg Indicates a

change to

set list


characters


_________________________________________________________________________

____________________________________________________________________________________


value

del Indicates

that the

particular

set List

Value has

been

deleted

from the

R&C

Database

unch

g

Indicates

that there

has been

no

changes to

the set list

Value

rev Indicates

that the

set list

Value has

been

reviewed

without

any major

changes.N

ote: this

value will

be

included in

the future

versions of

the

Sanction

Alert

“Core”

Feeds.

date Represents the

last reviewed date

of the set list

value.

xs:string Require

d

12

characters


_________________________________________________________________________

____________________________________________________________________________________


Children None

Source

Schema

<xs:element name="ReferenceGroupLanguageName">

<xs:complexType>

<xs:simpleContent>



<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="ISO2LanguageCode"

use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>








</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code


_________________________________________________________________________

____________________________________________________________________________________


<ScriptLanguageList>……… </ScriptLanguageList>

Diagram

Description Contains the set list values of the languages available in their

original script Names within Dow Jones Database for each of the

Reference Groups.

The Script Language master list is an extensible list and has a



Use Required

Type None

Max Length NA


1 1

Attributes None

Children ScriptLanguage

Source

Schema

<xs:element name="ScriptLanguageList">

<xs:complexType>

<xs:sequence>

<xs:element ref="ScriptLanguage"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code


_________________________________________________________________________

____________________________________________________________________________________


<ScriptLanguage>……… </ScriptLanguage>

Diagram

Description Contains the value for the ScriptLanguage

Use Required

Type xs:string



1 unbounded


Name

Attribute

Description

Type Use Max

length

Id Represents the

code value

associated with a

Script Language


characters

ScriptLanga

ugeCode

Represents the

ISO2 code value

associated with

the Language

Version


characters


action value

depending on the

nature of the

most recent

update performed

on the value.

xs:NMTOKEN require

d

9

characters


_________________________________________________________________________

____________________________________________________________________________________


The possible

values are :

Value Description

add Indicates a

newly

added set

list value

chg Indicates a

change to

set list

value

del Indicates

that the

particular

set List

Value has

been

deleted

from the

R&C

Database

unch

g

Indicates

that there

has been

no

changes to

the set list

Value

rev Indicates

that the

set list

Value has

been

reviewed

without

any major

changes.N

ote: this

value will

be

included in

the future


_________________________________________________________________________

____________________________________________________________________________________


versions of

the

Sanction

Alert

“Core”

Feeds.

date Represents the

last reviewed date

of the set list

value.

xs:string Require

d

12

characters

Children None

Source

Schema

<xs:element name="ScriptLanguage">

<xs:complexType>

<xs:simpleContent>


<xs:attribute name="id" use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="ScriptLanguageCode"

use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="action" use="optional">

<xs:simpleType>








</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="date" use="optional">

<xs:simpleType>



_________________________________________________________________________

____________________________________________________________________________________



</xs:restriction>

</xs:simpleType>

</xs:attribute>

</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<RelationshipList>……… </RelationshipList>

Diagram

Description This is the container of the Masters List for Relationship Categories

specified in Dow Jones Watchlist.

The Relationship master list is an extensible list and has a



Please Note: As this is optional, RelationshipList is not provided in the

feed

Use Optional

Type None

Max Length NA


0 1

Attributes None

Children Relationship

Source

Schema

<xs:element name="RelationshipList">

<xs:complexType>

<xs:sequence>


_________________________________________________________________________

____________________________________________________________________________________


<xs:element ref="Relationship"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

-

<Relationship>……… </Relationship>

Diagram

Description Contains the Relationship Details

Please Note: As RelationshipList is optional element, this list is not

provided in the feed.

Use Required

Type string



1 unbounded


Name

Attribute

Description

Type Use Max

length

RelationshipI

d

Represents Code

Value Associated

with a

Relationship

Category.


characters


action value

depending on the

xs:NMTOKEN require

d

9

characters


_________________________________________________________________________

____________________________________________________________________________________


nature of the

most recent

update performed

on the value.

The possible

values are :

Value Description

add Indicates a

newly

added set

list value

chg Indicates a

change to

set list

value

del Indicates

that the

particular

set List

Value has

been

deleted

from the

R&C

Database

unch

g

Indicates

that there

has been

no

changes to

the set list

Value

rev Indicates

that the

set list

Value has

been

reviewed

without

any major

changes.N

ote: this


_________________________________________________________________________

____________________________________________________________________________________


value will

be

included in

the future

versions of

the

Sanction

Alert

“Core”

Feeds.

date Represents the

last reviewed date

of the set list

value.

xs:string Require

d

12

characters

Children None

Source

Schema

<xs:element name="Relationship">

<xs:complexType>

<xs:simpleContent>


<xs:attribute name="Relationshipid"

use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="action" use="optional">

<xs:simpleType>

<xs:restriction

base="xs:NMTOKEN">







</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="date" use="optional">

<xs:simpleType>



</xs:restriction>


_________________________________________________________________________

____________________________________________________________________________________


</xs:simpleType>

</xs:attribute>

</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

-

<Records>……… </Records>

Diagram

Description The outer container for all elements pertaining to a Person or an Entity.

Use Required

Type None

Max Length NA


1 1

Attributes None

Children Person

Entity

Source

Schema

<xs:element name="Records">

<xs:complexType>

<xs:sequence>

<xs:element ref="Person" minOccurs="0"


<xs:element ref="Entity" minOccurs="0"



_________________________________________________________________________

____________________________________________________________________________________


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<Records>

+<Person id="752988" recordaction="chg" date="25-Apr-2016">

+<Entity id="135133" recordaction ="chg" date="25-Apr-2016">

</Records>

<Person>……… </Person>

Diagram

Description Contains a list of specific information pertaining to Person profiles.

Use Optional

Type None


_________________________________________________________________________

____________________________________________________________________________________


Max Length NA


0 unbounded


Name

Attribute

Description

Type Use Max

length

id Represents a

unique identifier for

a Dow Jones Profile

integer required 4 bytes

(integer)/

8 digits

recordacti

on

Represents an

action value.


Value Descripti

on

Add Newly

added

Profile

Del Deleted

Profile

Chg Modified

Profile

rev No

changes

done on

the

profile

but the

profile is

reviewed

for

content

fullness.

unchg No

changes

done on

the

profile


characters


_________________________________________________________________________

____________________________________________________________________________________


For a Deleted

person record,

only the

Descriptions Tag

would be

mandatory.

date Represents the date

value when the

record was

created/modified/d

eleted.

Format is dd-mmm-

ccyy where,

Value Descri

ption

ccyy Repre

sents

the

year

mmm Repre

sents

the

name

of the

mont

h

Dd Repre

sents

a day


characters

Children GenderDetails

ActiveStatusDetails

DeceasedDetails

NameDetails

Descriptions

DateDetails

BirthPlaceDetails

SanctionsReferences

AddressDetails

CountryDetails

IdentificationDetails


_________________________________________________________________________

____________________________________________________________________________________


SourceDetails

ProfileNotes

Source

Schema

<xs:element name="Person">

<xs:complexType>

<xs:sequence>

<xs:element ref="GenderDetails"

minOccurs="0"/>

<xs:element ref="ActiveStatusDetails"

minOccurs="0"/>

<xs:element ref="DeceasedDetails"

minOccurs="0"/>

<xs:element ref="PersonNameDetails"

minOccurs="0"/>

<xs:element ref="Descriptions"/>

<xs:element ref="DateDetails" minOccurs="0"/>

<xs:element ref="BirthPlaceDetails"

minOccurs="0"/>

<xs:element ref="SanctionsReferences"

minOccurs="0"/>

<xs:element ref="AddressDetails"

minOccurs="0"/>

<xs:element ref="CountryDetails"

minOccurs="0"/>

<xs:element ref="IdentificationDetails"

minOccurs="0"/>

<xs:element ref="SourceDetails"

minOccurs="0"/>

<xs:element ref="ProfileNotes" minOccurs="0"/>

</xs:sequence>

<xs:attribute name="id" type="xs:string"

use="required"/>

<xs:attribute name="recordaction" use="required">

<xs:simpleType>








</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>



</xs:restriction>


_________________________________________________________________________

____________________________________________________________________________________


</xs:simpleType>

</xs:attribute>

</xs:complexType>

</xs:element>

Sample

Code

<GenderDetails>……… </GenderDetails>

Diagram

Description Represents the Gender Details of a Person.

Use Optional

Type None

Max Length NA


0 1

Attributes None

Children Gender

Source

Schema

<xs:element name="GenderDetails">

<xs:complexType>


_________________________________________________________________________

____________________________________________________________________________________


<xs:sequence>

<xs:element ref="Gender" minOccurs="1"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<Gender>……… </Gender>

Diagram

Description Represents the details of a Person’s Gender which consists of the

person’s Gender and their Reference Group.

Use

Type None

Max Length NA


0 1

Attributes None

Children ReferenceGroup

GenderValue

Source

Schema

<xs:element name="Gender">

<xs:complexType>

<xs:sequence>

<xs:element ref="ReferenceGroup" minOccurs="1"


<xs:element ref="GenderValue" minOccurs="1"


_________________________________________________________________________

____________________________________________________________________________________


maxOccurs="1"/>

</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<Gender>……… </ Gender>

Diagram

Description Represents the Person's Gender Value associated for a Reference Group.

Use Required

Type string



0 1

Attributes fieldaction

Children None

Source

Schema

<xs:element name="GenderValue">

<xs:complexType>

<xs:simpleContent>

<xs:extension base="GenderContentRestriction">

<xs:attribute ref="fieldaction" use="optional"/>

</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<GenderValue>Male</ GenderValue >


_________________________________________________________________________

____________________________________________________________________________________


<ActiveStatusDetails>……… </ActiveStatusDetails>

Diagram

Description Represents the Active Status details of a Person.

Use Optional

Type String



0 1

Attributes None

Children ActiveStatus

Source

Schema

<xs:element name="ActiveStatusDetails">

<xs:complexType>

<xs:sequence>

<xs:element ref="ActiveStatus" minOccurs="1"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<ActiveStatus>……… </ActiveStatus>


_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description Represents the Active Status of a Person which consists of the Active

Status Value of a Person and their Reference Group.

Use Required

Type None

Max Length NA


0 1

Attributes None


ActiveStatusValue

Source

Schema

<xs:element name="ActiveStatus">

<xs:complexType>

<xs:sequence>



<xs:element ref="ActiveStatusValue" minOccurs="1"

maxOccurs="1"/>

</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<ActiveStatusValue>……… </ActiveStatusValue>


_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description Represents the Active Status of the list applicable for the feed service.

Use Required

Type string



0 1


Children None

Source

Schema

<xs:element name="ActiveStatusValue">

<xs:complexType>

<xs:simpleContent>

<xs:extension base="RecordstatusContentRestriction">


</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<DeceasedDetails>……… </DeceasedDetails>

Diagram

Description Represents the Deceased Details of a Person

Use Optional

Type None


_________________________________________________________________________

____________________________________________________________________________________


Max Length NA


0 1

Attributes None

Children Deceased

Source

Schema

<xs:element name="DeceasedDetails">

<xs:complexType>

<xs:sequence>

<xs:element ref="Deceased" minOccurs="1"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<Deceased>……… </Deceased>

Diagram

Description Represents the Deceased Value of a Person and its Reference Group

Use Required

Type None

Max Length NA


0 1


_________________________________________________________________________

____________________________________________________________________________________


Attributes None


DeceasedValue

Source

Schema

<xs:element name="Deceased">

<xs:complexType>

<xs:sequence>



<xs:element ref="DeceasedValue" minOccurs="1"

maxOccurs="1"/>

</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<DeceasedValue>……… </DeceasedValue>

Diagram

Description Represents the Deceased Value of a Person.

Use Required

Type string



0 1


Children None

Source

Schema

<xs:element name="DeceasedValue">

<xs:complexType>

<xs:simpleContent>


_________________________________________________________________________

____________________________________________________________________________________


<xs:extension base="DeceasedContentRestriction">


</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<PersonNameDetails>……… </PersonNameDetails>

Diagram

Description The outer container for all elements pertaining to the name details of

records.

Use Optional

Type None

Max Length NA


0 unbounded

Attributes None

Children PersonNames

Source

Schema

<xs:element name="PersonNameDetails">

<xs:complexType>

<xs:sequence>

<xs:element ref="PersonNames"


</xs:sequence>

</xs:complexType>

</xs:element>


_________________________________________________________________________

____________________________________________________________________________________


Sample

Code

<PersonNames>……… </PersonNames>

Diagram

Description Contains the name details of a Person.

Use Required

Type None

Max Length NA


1 unbounded

Attribute

Name

Attribute

Description

Type Use Max

length

id Represents the id

for the Name of

the Person


characters

fieldaction Optional


PresonNameValue


_________________________________________________________________________

____________________________________________________________________________________


NamesGroup

Source

Schema

<xs:element name="PersonNames">

<xs:complexType>

<xs:sequence>

<xs:element ref="ReferenceGroup"


<xs:element ref="PersonNameValue"/>

<xs:element ref="NamesGroup" minOccurs="0"


</xs:sequence>

<xs:attribute name="id" type="xs:string" use="required"/>


</xs:complexType>

</xs:element>

Sample

Code

<PersonNameValue>……… </PersonNameValue>

Diagram

Description Contains the names that identify a person.

A Person record can include any of the following names:

NameValue Description


_________________________________________________________________________

____________________________________________________________________________________


OriginalScriptName Full name in a local non-Latin

script

SingleStringName A name formatted as a single text

string

Maiden Name Surname of a woman before

marriage

TitleHonorific Formal or honorific title, e.g.

"Lord", "Samdech"

FirstName First given name of person

MiddleName Second given name of a person

Surname Surname of a person

Suffix Suffixes such as ", Jr.", "Junior",

that are associated with a

person's name

Use Requried

Type None

Max Length NA


1 unbounded

Attributes None

Children OriginalScriptName

SingleStringName

Maiden Name

TitleHonorific

FirstName

MiddleName

Surname

Suffix

Source

Schema

<xs:element name="PersonNameValue">

<xs:complexType>

<xs:sequence>

<xs:element ref="OriginalScriptName"

minOccurs="0"/>

<xs:element ref="SingleStringName"

minOccurs="0"/>

<xs:element ref="MaidenName" minOccurs="0"/>

<xs:element ref="TitleHonorific" minOccurs="0"/>

<xs:element ref="FirstName" minOccurs="0"/>

<xs:element ref="MiddleName" minOccurs="0"/>

<xs:element ref="Surname" minOccurs="0"/>


_________________________________________________________________________

____________________________________________________________________________________


<xs:element ref="Suffix" minOccurs="0"/>

</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<NamesGroup>……… </NamesGroup>

Diagram

Description This element is defined for future reference and doesn’t hold any data

as of now.

Use Optional

Type None

Max Length NA


0 unbounded

Attributes None

Children PersonNames

EntityNames

Source

Schema

<xs:element name="NamesGroup">

<xs:complexType>

<xs:sequence>

<xs:element ref="PersonNames" minOccurs="0"


<xs:element ref="EntityNames" minOccurs="0"



_________________________________________________________________________

____________________________________________________________________________________


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

-

<OriginalScriptName>……… </OriginalScriptName>

Diagram

Description Represents the Original Script Name of a Person or an Entity

Use Optional

Type string



0 unbounded


Name

Attribute

Description

Type Use Max

length

OSNLanguag

eCode

Represents the

Original Script

Name code value

associated with

the Language

Version

xs:string Optional 5

characters

fieldaction Optional

ScriptLangu

ageCode

Represents the

ISO2 code value

associated with

the Language


characters


_________________________________________________________________________

____________________________________________________________________________________


Version

Children None

Source

Schema

<xs:element name="OriginalScriptName">

<xs:complexType>

<xs:simpleContent>

<xs:extension base="NameContentRestriction">

<xs:attribute name="OSNLanguageCode"

use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:attribute name="ScriptLanguageCode"

use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<OriginalScriptName OSNLanguageCode="ar"

ScriptLanguageCode="ar">يخ ش سامة ال ن أ ن ب <OriginalScriptName/>الد

<SingleStringName>……… </SingleStringName>

Diagram

Description Represents the Single String Name of a Person or an Entity.

Use Optional

Type string


_________________________________________________________________________

____________________________________________________________________________________




0 unbounded


Children None

Source

Schema

<xs:element name="SingleStringName">

<xs:complexType>

<xs:simpleContent>



</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<SingleStringName>Shaykh Usama Bin Ladin</SingleStringName>

<MaidenName>……… </MaidenName>

Diagram

Description Represents the Person’s Maiden Name.

Use Optional

Type string



0 unbounded


Children None


_________________________________________________________________________

____________________________________________________________________________________


Source

Schema

<xs:element name="MaidenName">

<xs:complexType>

<xs:simpleContent>



</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<TitleHonorific>……… </TitleHonorific>

Diagram

Description Represents the Person's Title or Honorific name.

Use Optional

Type string



0 unbounded


Children None

Source

Schema

<xs:element name="TitleHonorific">

<xs:complexType>

<xs:simpleContent>



</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>


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____________________________________________________________________________________


Sample

Code

<FirstName>……… </FirstName>

Diagram

Description Represents the Person’s First Name.

Use Optional

Type string



0 unbounded


Children None

Source

Schema

<xs:element name="FirstName">

<xs:complexType>

<xs:simpleContent>



</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<MiddleName>……… </MiddleName>


_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description Represents the Person's Middle Name.

Use Optional

Type string



0 unbounded


Children None

Source

Schema

<xs:element name="MiddleName">

<xs:complexType>

<xs:simpleContent>



</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<Surname>……… </Surname>

Diagram

Description Represents the Person's Surname.

Use Optional


_________________________________________________________________________

____________________________________________________________________________________


Type xs:string



0 unbounded


Children None

Source

Schema

<xs:element name="Surname">

<xs:complexType>

<xs:simpleContent>



</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<Suffix>……… </Suffix>

Diagram

Description Represents the Person's Suffix.

Use Optional

Type string



0 unbounded



_________________________________________________________________________

____________________________________________________________________________________


Children None

Source

Schema

<xs:element name="Suffix">

<xs:complexType>

<xs:simpleContent>



</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<Prefix>……… </Prefix>

Diagram

Description Represents the Person's Prefix.

Use Optional

Type string



0 unbounded


Children None

Source

Schema

<xs:element name="Prefix">

<xs:complexType>

<xs:simpleContent>



</xs:extension>

</xs:simpleContent>

</xs:complexType>


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____________________________________________________________________________________


</xs:element>

Sample

Code

<Descriptions>……… </Descriptions>

Diagram

Description Contains Description categories of profiles that are falling under

watchlist product.

Use Required

Type None

Max Length NA


1 1

Attributes None

Children Description

Source

Schema

<xs:element name="Descriptions">

<xs:complexType>

<xs:sequence>

<xs:element ref="Description" minOccurs="1"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<Descriptions>

<Description Description1="3" Description2="1"

Description3="82" />

<Description Description1="3" Description2="2" />

</Descriptions>

<Description>……… </Description>


_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description Contains Description1, Description2 and Description3 details.

Use Required

Type None

Max Length NA


1 Unbounded


Name

Attribute

Description

Type Use Max

length

Description1 Represents the

person's or an

entity’s

Description 1

classification

value.


characters

Description2 Represents the

person's or an

entity’s

Description

2classification

value.

xs:string optional 4

characters

Description3

Represents the

person's or an

entity’s

Description 3

classification

value.


characters

fieldaction Represents an

action value

depending on the

optional


_________________________________________________________________________

____________________________________________________________________________________


nature of the

most recent

update performed

on the value.

The possible

values are add,

chg, unchg, del

and rev.

Children None

Source

Schema

<xs:element name="Description">

<xs:complexType>


<xs:attribute name="Description1" use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="Description2" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="Description3" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

</xs:complexType>

</xs:element>

Sample

Code

<Description Description1="4" Description2="3/>

<Description Description1="4" Description2="34" Description3="94”/>

<DateDetails>……… </DateDetails>

Diagram


_________________________________________________________________________

____________________________________________________________________________________


Description The outer container for all elements pertaining to the date details of a

Dow Jones Watchlist Profile.

Use Optional

Type None

Max Length NA


0 1

Attributes None

Children DateType

Source

Schema

<xs:element name="DateDetails">

<xs:complexType>

<xs:sequence>

<xs:element ref="DateType" minOccurs="1"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<DateType>……… </DateType>


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____________________________________________________________________________________


Diagram

Description Contains the date type value and date type details.

Use Required

Type None

Max Length NA


1 unbounded


Name

Attribute

Description

Type Use Max

length

code Represents code

of the DateType


characters


action value

depending on the

nature of the

most recent

update performed

on the value.

The possible

values are add,

chg, unchg, del

and rev

optional

Children DateTypeValue

Source

Schema

<xs:element name="DateType">

<xs:complexType>

<xs:sequence>

<xs:element ref="DateTypeValue" minOccurs="1"


</xs:sequence>


_________________________________________________________________________

____________________________________________________________________________________



<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


</xs:complexType>

</xs:element>

Sample

Code

<DateTypeValue>……… </DateTypeValue>

Diagram

Description Contains the dates values.

Use Required

Type None

Max Length NA


1 unbounded

Attributes None


DateValue

Source <xs:element name="DateTypeValue">


_________________________________________________________________________

____________________________________________________________________________________


Schema <xs:complexType>

<xs:sequence>



<xs:element ref="DateValue" minOccurs="1"

maxOccurs="1"/>

</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<DateValue>……… </DateValue>

Diagram

Description Contains the dates values.

Use Required

Type None

Max Length NA


1 1


Name

Attribute

Description

Type Use Max

length


_________________________________________________________________________

____________________________________________________________________________________



action value

depending on the

nature of the

most recent

update performed

on the value.

The possible

values are add,

chg, unchg, del

and rev

optional

Day Represents day

part of the Date

in ‘dd’ format

integer optional 2

characters

Month Represents month

part of the Date in

‘Mmm’ format


characters

Year Represents the

year part of the

Date in ‘CCYY’

format

integer optional 4

characters

DateNotes Contains notes

associated with

the date value.


characters

Children None

Source

Schema

<xs:element name="DateValue">

<xs:complexType>


<xs:attribute name="Day" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="Month" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>


_________________________________________________________________________

____________________________________________________________________________________


</xs:attribute>

<xs:attribute name="Year" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="DateNotes" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

</xs:complexType>

</xs:element>

Sample

Code

<BirthPlaceDetails>……… </BirthPlaceDetails>

Diagram

Description The outer container for a person’s place of birth details of the selected

list.

Use Optional

Type None

Max Length NA


0 1

Attributes None

Children BirthPlace

Source <xs:element name="BirthPlaceDetails">


_________________________________________________________________________

____________________________________________________________________________________


Schema <xs:complexType>

<xs:sequence>

<xs:element ref="BirthPlace" minOccurs="1"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<BirthPlace>……… </BirthPlace>

Diagram

Description Contains the Birth place value and reference group

Use Required

Type None

Max Length NA


1 Unbounded

Attributes None


PlaceValue

Source

Schema

<xs:element name="BirthPlace">

<xs:complexType>

<xs:sequence>


_________________________________________________________________________

____________________________________________________________________________________




<xs:element ref="PlaceValue" minOccurs="1" maxOccurs="1"/>

</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<PlaceValue>……… </PlaceValue>

Diagram

Description Contains the Birth place value and reference group

Use Required

Type None

Max Length NA


1 1


Name

Attribute

Description

Type Use Max

length

name Contains value of

the place of birth

name.

xs:string

Optional 1000

characters


_________________________________________________________________________

____________________________________________________________________________________


County Contains the

value of county

where the person

was born.

Xs:string Optional 255

characters

State Contains the

value of State

where the person

was born.

Xs:string Optional 255

characters

RegionCode Contains the

region code

associated with

the birth place


characters


action value

depending on the

nature of the

most recent

update performed

on the value.

The possible

values are add,

chg, unchg, del

and rev

Optional

Children None

Source

Schema

<xs:element name="PlaceValue">

<xs:complexType>

<xs:attribute name="name" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="County" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="State" use="optional">

<xs:simpleType>



_________________________________________________________________________

____________________________________________________________________________________



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="RegionCode" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


</xs:complexType>

</xs:element>

Sample

Code

<PlaceValue name="Jeddah" RegionCode="182" />

<SanctionsReferences>……… </SanctionsReferences>

Diagram

Description The outer container for a person’s or an entity’s Sanction Reference(s).

Use Optional

Type None

Max Length NA


0 1

Attributes None

Children Reference

Source

Schema

<xs:element name="SanctionsReferences">

<xs:complexType>

<xs:sequence>

<xs:element ref="Reference" minOccurs="1"


</xs:sequence>


_________________________________________________________________________

____________________________________________________________________________________


</xs:complexType>

</xs:element>

Sample

Code

<Reference>……… </Reference>

Diagram

Description Contains the Reference group and Reference value with Current status

of the opted list

Use Required

Type None

Max Length NA


1 unbounded

Attributes None


ReferenceValue

Source

Schema

<xs:element name="Reference">

<xs:complexType>

<xs:sequence>



<xs:element ref="ReferenceValue" minOccurs="1"

maxOccurs="1"/>

</xs:sequence>

</xs:complexType>

</xs:element>


_________________________________________________________________________

____________________________________________________________________________________


Sample

Code

<ReferenceValue>……… </ReferenceValue>

Diagram

Description Contains the details of the Current status of Sanction/Other Official

reference for a person or an entity of the opted list.

Use Required

Type string



1 unbounded


Name

Attribute

Description

Type Use Max

length

SinceDay Represents day

part of the Date

in ‘dd’ format

Since the person

or entity has

reference to the

Sanctions list

integer optional 2

characters

SinceMont

h

Represents

month part of

the Date in


characters


_________________________________________________________________________

____________________________________________________________________________________


‘Mmm’ format

Since the person

or entity has

reference to the

Sanctions list

SinceYear Represents the

year part of the

Date in ‘CCYY’

format Since the

person or entity

has reference to

the Sanctions

list

integer optional 4

characters

ToDay Represents day

part of the Date

in ‘dd’ format

up to which the

person or entity

has reference to

the Sanctions

list

integer optional 2

characters

ToMonth Represents

month part of

the Date in

‘Mmm’ format

up to which the

person or entity

has reference to

the Sanctions

list


characters

ToYear Represents the

year part of the

Date in ‘CCYY’

format up to

which the person

or entity has

reference to the

Sanctions list

integer optional 4

characters


action value

depending on the

nature of the

most recent

update performed

on the value.

The possible

values are add,

chg, unchg, del

and rev

Optional


_________________________________________________________________________

____________________________________________________________________________________


Children None

Source

Schema

<xs:element name="ReferenceValue">

<xs:complexType>

<xs:simpleContent>


<xs:attribute name="SinceDay" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="SinceMonth" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="SinceYear" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="ToDay" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="ToMonth" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="ToYear" use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


_________________________________________________________________________

____________________________________________________________________________________



</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<ReferenceValue SinceDay="27" SinceMonth="May" SinceYear="2002"

ToDay="25" ToMonth="Jun" ToYear="2013">400</ReferenceValue>

<AddressDetails>……… </AddressDetails>

Diagram

Description Contains the address details of the profile falling under opted list.

Use Optional

Type None

Max Length NA


0 1

Attributes None

Children Address

Source

Schema

<xs:element name="AddressDetails">

<xs:complexType>

<xs:sequence>

<xs:element ref="Address" minOccurs="1"


</xs:sequence>

</xs:complexType>

</xs:element>


_________________________________________________________________________

____________________________________________________________________________________


Sample

Code

<Address>……… </Address>

Diagram

Description Contains the Reference group and address value as part of the address

details.

Use Required

Type None

Max Length NA


1 unbounded

Attributes None


AddressValue

Source

Schema

<xs:element name="Address">

<xs:complexType>

<xs:sequence>



<xs:element ref="AddressValue" minOccurs="1"

maxOccurs="1"/>

</xs:sequence>

</xs:complexType>


_________________________________________________________________________

____________________________________________________________________________________


</xs:element>

Sample

Code

<AddressValue>……… </AddressValue>

Diagram

Description Contains the elements that have values of Address of a person or entity

cited on a sanctions or official list.

Use Required

Type None

Max Length NA


1 1


Children AddressLine


_________________________________________________________________________

____________________________________________________________________________________


AddressCity

AddressCounty

AddressState

ZipCode

AddressCountry

URL

Source

Schema

<xs:element name="AddressValue">

<xs:complexType>

<xs:sequence>

<xs:element ref="AddressLine" minOccurs="0"/>

<xs:element ref="AddressCity" minOccurs="0"/>

<xs:element ref="AddressCounty"

minOccurs="0"/>

<xs:element ref="AddressState" minOccurs="0"/>

<xs:element ref="ZipCode" minOccurs="0"/>

<xs:element ref="AddressCountry"

minOccurs="0"/>

<xs:element ref="URL" minOccurs="0"/>

</xs:sequence>


</xs:complexType>

</xs:element>

Sample

Code

<AddressLine>……… </AddressLine>

Diagram

Description Contains the first line of an address of an entity or a person.

Use Optional

Type string




_________________________________________________________________________

____________________________________________________________________________________


0 1

Attributes None

Children None

Source

Schema

<xs:element name="AddressLine">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:element>

Sample

Code

<AddressCity>……… </AddressCity>

Diagram

Description Contains the name of the City as a part of the non-ship Entity or a

person address.

Use Optional

Type string



0 1

Attributes None

Children None

Source

Schema

<xs:element name="AddressCity">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:element>


_________________________________________________________________________

____________________________________________________________________________________


Sample

Code

<AddressCounty>……… </AddressCounty>

Diagram

Description Contains the county as a part of the Entity or a person address

Use Optional

Type string



0 1

Attributes None

Children None

Source

Schema

<xs:element name="AddressCounty">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:element>

Sample

Code

<AddressState>……… </AddressState>

Diagram

Description Contains the state as a part of the Entity or a person address


_________________________________________________________________________

____________________________________________________________________________________


Use Optional

Type string



0 1

Attributes None

Children None

Source

Schema

<xs:element name="AddressState">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:element>

Sample

Code

<ZipCode>……… </ZipCode>

Diagram

Description Contains the zip code of the city as a part of the Entity or a person

address.

Use Optional

Type string



0 1

Attributes None


_________________________________________________________________________

____________________________________________________________________________________


Children None

Source

Schema

<xs:element name="ZipCode">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:element>

Sample

Code

<AddressCountry>……… </AddressCountry>

Diagram

Description Contains the code (DJII Region Code) of the country as a part of the

non ship Entity or a person address.

Use Optional

Type string



0 1

Attributes None

Children None

Source

Schema

<xs:element name="AddressCountry">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:element>

Sample


_________________________________________________________________________

____________________________________________________________________________________


Code

<URL>……… </URL>

Diagram

Description Contains the URL address as a part of the non-ship Entity or a

person address. This field may contain non-Latin characters.

Use Optional

Type string



0 1

Attributes None

Children None

Source

Schema

<xs:element name="URL">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:element>

Sample Code

<CountryDetails>……… </CountryDetails>

Diagram

Description The outer container for a person’s or an entity’s Country details

available for the opted lists.


_________________________________________________________________________

____________________________________________________________________________________


Use Optional

Type None

Max Length None


0 1

Attributes None

Children CountryType

Source

Schema

<xs:element name="CountryDetails">

<xs:complexType>

<xs:sequence>

<xs:element ref="CountryType" minOccurs="1"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample Code

<CountryType>……… </CountryType>

Diagram

Description Contains the Country type Value


_________________________________________________________________________

____________________________________________________________________________________


Use Required

Type None

Max Length None


1 unbounded


Name

Attribute

Description

Type Use Max

length


of the

CountryType


characters


action value

depending on the

nature of the

most recent

update performed

on the value.

The possible

values are add,

chg, unchg, del

and rev

optional

Children CountryTypeValue

Source

Schema

<xs:element name="CountryType">

<xs:complexType>

<xs:sequence>

<xs:element ref="CountryTypeValue"

minOccurs="1" maxOccurs="unbounded"/>

</xs:sequence>


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


</xs:complexType>

</xs:element>


_________________________________________________________________________

____________________________________________________________________________________


Sample Code

<CountryTypeValue>……… </CountryTypeValue>

Diagram

Description Contains a country value and the Reference group.

Use Required

Type None

Max Length NA


1 unbounded

Attributes None


CountryValue

Source

Schema

<xs:element name="CountryTypeValue">

<xs:complexType>

<xs:sequence>



<xs:element ref="CountryValue" minOccurs="1"

maxOccurs="1"/>

</xs:sequence>

</xs:complexType>

</xs:element>


_________________________________________________________________________

____________________________________________________________________________________


Sample

Code

<CountryValue>……… </CountryValue>

Diagram

Description Contains a country Code.

Use Required

Type None

Max Length NA


1 1


Name

Attribute

Description

Type Use Max

length


value associated

with a country


characters


action value

depending on the

nature of the

most recent

update performed

on the value.

The possible

values are add,

chg, unchg, del

and rev

optional


_________________________________________________________________________

____________________________________________________________________________________


Children None

Source

Schema

<xs:element name="CountryValue">

<xs:complexType>


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


</xs:complexType>

</xs:element>

Sample

Code

<IdentificationDetails>……… </IdentificationDetails>

Diagram

Description The outer container for all elements pertaining to the Identification

details of a Person or Entity available for the opted lists.

Use Optional

Type None

Max Length NA


1 unbounded

Attributes None

Children IDType

Source

Schema

<xs:element name="IdentificationDetails">

<xs:complexType>

<xs:sequence>

<xs:element ref="IDType" minOccurs="1"


</xs:sequence>


_________________________________________________________________________

____________________________________________________________________________________


</xs:complexType>

</xs:element>

Sample

Code

<IDType>……… </IDType>

Diagram

Description Contains the Identification Type and ID Details.

Use Required

Type None

Max Length NA


1 unbounded


Name

Attribute

Description

Type Use Max

length

code Represents the

code for

Identification

Type


characters


action value

depending on the

nature of the

most recent

Optional


_________________________________________________________________________

____________________________________________________________________________________


update performed

on the value

The possible

values are add,

chg, unchg, del

and rev

Children IDTypeValue

Source

Schema

<xs:element name="IDType">

<xs:complexType>

<xs:sequence>

<xs:element ref="IDTypeValue" minOccurs="1"


</xs:sequence>


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


</xs:complexType>

</xs:element>

Sample

Code

<IDTypeValue>……… </IDTypeValue>

Diagram

Description Contains the ID value and its reference group.

Use Required


_________________________________________________________________________

____________________________________________________________________________________


Type None

Max Length NA


1 unbounded

Attributes None


IDValue

Source

Schema

<xs:element name="IDTypeValue">

<xs:complexType>

<xs:sequence>



<xs:element ref="IDValue" minOccurs="1"

maxOccurs="1"/>

</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<IDValue>……… </IDValue>

Diagram

Description Contains the ID value and IDNotes of a person or entity record

Use Required

Type string



_________________________________________________________________________

____________________________________________________________________________________



1 1


Name

Attribute

Description

Type Use Max

length

IDNotes Represents notes

of Identification

details data.

xs:string optional String(max)


action value

depending on the

nature of the

most recent

update performed

on the value.

The possible

values are add,

chg, unchg, del

and rev

Optional

Children None

Source

Schema

<xs:element name="IDValue">

<xs:complexType>

<xs:simpleContent>


<xs:attribute name="IDNotes" use="optional"/>


</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code

<SourceDetails>……… </SourceDetails>

Diagram


_________________________________________________________________________

____________________________________________________________________________________


Description The outer container for the Source elements pertaining to the Sources

from where the information for a Person, Entity was referenced available

for opted lists

Use Optional

Type None

Max Length NA


1 1

Attributes None

Children Source

Source

Schema

<xs:element name="SourceDetails">

<xs:complexType>

<xs:sequence>

<xs:element ref="Source" minOccurs="1"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<Source>……… </Source>


_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description Contains the Source Value and the reference group.

Use Required

Type None

Max Length NA


1 unbounded

Attributes None


SourceValue

Source

Schema

<xs:element name="Source">

<xs:complexType>

<xs:sequence>



<xs:element ref="SourceValue" minOccurs="1"

maxOccurs="1"/>

</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<SourceValue>……… </SourceValue>


_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description The outer container for the Source elements pertaining to the Sources

from where the information for a Person, Entity or an associate was

referenced.

Use Required

Type None

Max Length NA


1 1


Name

Attribute

Description

Type Use Max

length

name Contains name of

the source.

The Source field

may contain non-

Latin characters


characters


action value

depending on the

nature of the most

recent update

performed on the

value.

The possible

values are add,

chg, unchg, del

and rev

Optional

Children None

Source

Schema

<xs:element name="SourceValue">

<xs:complexType>

<xs:attribute name="name" use="required">

<xs:simpleType>


_________________________________________________________________________

____________________________________________________________________________________




</xs:restriction>

</xs:simpleType>

</xs:attribute>


</xs:complexType>

</xs:element>

Sample

Code

<ProfileNotes>……… </ProfileNotes>

Diagram

Description This field will be populated if the SA core service is SOR enriched with

Profile Notes. The field will be populated with profile notes of SOR

profiles.

Use Optional

Type None

Max Length NA


0 1

Attributes None

Children ProfileNote

Source

Schema

<xs:element name="ProfileNotes">

<xs:complexType>

<xs:sequence>

<xs:element ref="ProfileNote" minOccurs="1"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

N/A


_________________________________________________________________________

____________________________________________________________________________________


<ProfileNote>……… </ProfileNote>

Diagram

Description Contains the ProfileNoteValue and its reference group.

Use Required

Type None

Max Length NA


1 unbounded

Attributes None


ProfileNoteValue

Source

Schema

<xs:element name="ProfileNote">

<xs:complexType>

<xs:sequence>


minOccurs="1" maxOccurs="unbounded"/>

<xs:element ref="ProfileNoteValue"

minOccurs="1" maxOccurs="1"/>

</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

N/A

<ProfileNoteValue>……… </ProfileNoteValue>


_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description Contains any other information associated with a Person or an Entity.

This may contain Non-Latin characters.

Use Required

Type string

Max Length String (max characters)


1 1

Attributes None

Children None

Source

Schema

<xs:element name="ProfileNoteValue">

<xs:simpleType>

<xs:restriction base="xs:string"/>

</xs:simpleType>

</xs:element>

Sample

Code

N/A

<Entity>……… </Entity>


_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description Contains a list of specific information pertaining to all Entity profiles.

Use Optional

Type None

Max Length NA


0 unbounded


Name

Attribute

Description

Type Use Max

length

id Represents a

unique identifier for

a Dow Jones entity

Integer required 4 bytes

(integer)/

8 digits


_________________________________________________________________________

____________________________________________________________________________________


Profile

recordacti

on

Represents an

action value.

Possible values

are:

Value Descripti

on

Add Newly

added

Profile

Del Deleted

Profile

Chg Modified

Profile

rev No

changes

done on

the

profile

but the

profile is

reviewed

for

content

fullness.

unchg No

changes

done on

the

profile

For a Deleted

entity record only

the Descriptions

Tag would be

mandatory.


characters

date Represents the date

value when the

record was

created/modified/d


characters


_________________________________________________________________________

____________________________________________________________________________________


eleted

Format is dd-mmm-

ccyy where,

Value Descri

ption

ccyy Repre

sents

the

year

mmm Repre

sents

the

name

of the

mont

h

dd Repre

sents

a day

Children ActiveStatusDetails

EntityNameDetails

Descriptions

DateDetails

SanctionsReferences

AddressDetails

VesselDetails

AircraftDetails

CountryDetails

IdentificationDetails

SourceDetails

ProfileNotes

Source

Schema

<xs:element name="Entity">

<xs:complexType>

<xs:sequence>

<xs:element ref="ActiveStatusDetails"

minOccurs="0"/>

<xs:element ref="EntityNameDetails"

minOccurs="0"/>

<xs:element ref="Descriptions"/>

<xs:element ref="DateDetails" minOccurs="0"/>


_________________________________________________________________________

____________________________________________________________________________________


<xs:element ref="SanctionsReferences"

minOccurs="0"/>

<xs:element ref="AddressDetails"

minOccurs="0"/>

<xs:element ref="VesselDetails" minOccurs="0"/>

<xs:element ref="AircraftDetails"

minOccurs="0"/>

<xs:element ref="CountryDetails"

minOccurs="0"/>

<xs:element ref="IdentificationDetails"

minOccurs="0"/>

<xs:element ref="SourceDetails"

minOccurs="0"/>

<xs:element ref="ProfileNotes" minOccurs="0"/>

</xs:sequence>


use="required"/>

<xs:attribute name="recordaction" use="required">

<xs:simpleType>








</xs:restriction>

</xs:simpleType>

</xs:attribute>


<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

</xs:complexType>

</xs:element>


_________________________________________________________________________

____________________________________________________________________________________


Sample

Code

<EntityNameDetails>……… </EntityNameDetails>

Diagram

Description Contains The Name details of an entity record.

Use Required

Type None

Max Length NA


0 1

Attributes None

Children EntityNames

Source

Schema

<xs:element name="EntityNameDetails">

<xs:complexType>

<xs:sequence>

<xs:element ref="EntityNames"


</xs:sequence>

</xs:complexType>

</xs:element>


_________________________________________________________________________

____________________________________________________________________________________


Sample

Code

<EntityNames>……… </EntityNames>

Diagram

Description Contains the name value, reference group and the names group of the

entity available for the opted lists.

Use Required

Type None

Max Length NA


1 unbounded


Name

Attribute

Description

Type Use Max

length


_________________________________________________________________________

____________________________________________________________________________________


id Represents the id

for the Name of

the Entity.


characters


action value

depending on the

nature of the

most recent

update performed

on the value.

The possible

values are add,

chg, unchg, del

and rev

Optional


EntityNameValue

Source

Schema

<xs:element name="EntityNames">

<xs:complexType>

<xs:sequence>



<xs:element ref="EntityNameValue"/>

<xs:element ref="NamesGroup" minOccurs="0"


</xs:sequence>


use="required"/>


</xs:complexType>

</xs:element>

Sample

Code


_________________________________________________________________________

____________________________________________________________________________________


<EntityNameValue>……… </EntityNameValue>

Diagram

Description Contains the prefix, entity name, OSN, SSN and the suffix of the name

of an entity record

Use Required

Type None

Max Length NA


1 unbounded

Attributes None

Children Prefix

EntityName

OriginalScriptName

SingleStringName

Suffix

Source

Schema

<xs:element name="EntityNameValue">

<xs:complexType>

<xs:sequence>

<xs:element ref="Prefix" minOccurs="0"/>

<xs:element ref="EntityName" minOccurs="0"/>

<xs:element ref="OriginalScriptName"

minOccurs="0"/>

<xs:element ref="SingleStringName"

minOccurs="0"/>

<xs:element ref="Suffix" minOccurs="0"/>

</xs:sequence>


_________________________________________________________________________

____________________________________________________________________________________


</xs:complexType>

</xs:element>

Sample

Code

<EntityName>……… </EntityName>

Diagram

Description Represents an Entity’s Name

Use Optional

Type xs:string



1 1


Children None

Source

Schema

<xs:element name="EntityName">

<xs:complexType>

<xs:simpleContent>



</xs:extension>

</xs:simpleContent>

</xs:complexType>

</xs:element>

Sample

Code


_________________________________________________________________________

____________________________________________________________________________________


<VesselDetails>……… </VesselDetails>

Diagram

Description Contains the elements that have values of Details of a Vessel Entity.

Use Optional

Type None

Max Length NA


0 1

Attributes None

Children Vessels

Source

Schema

<xs:element name="VesselDetails">

<xs:complexType>

<xs:sequence>

<xs:element ref="Vessels" minOccurs="1"


</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<Vessels>……… </Vessels>

Diagram


_________________________________________________________________________

____________________________________________________________________________________


Description Contains the Vessel information and the reference group code.

Use Required

Type None

Max Length NA


1 unbounded

Attributes None


VesselInformation

Source

Schema

<xs:element name="Vessels">

<xs:complexType>

<xs:sequence>



<xs:element ref="VesselInformation" minOccurs="1"

maxOccurs="1"/>

</xs:sequence>

</xs:complexType>

</xs:element>

Sample

Code

<VesselInformation>……… </VesselInformation>


_________________________________________________________________________

____________________________________________________________________________________


Diagram

Description Contains the Vessel Information details of the entity.

Use Required

Type None

Max Length NA


1 1


Children VesselCallSign

VesselType

VesselTonnage

VesselGRT

VesselOwner

VesselFlag

Source

Schema

<xs:element name="VesselInformation">

<xs:complexType>

<xs:sequence>

<xs:element ref="VesselCallSign"

minOccurs="0"/>

<xs:element ref="VesselType" minOccurs="0"/>

<xs:element ref="VesselTonnage"

minOccurs="0"/>

<xs:element ref="VesselGRT" minOccurs="0"/>


_________________________________________________________________________

____________________________________________________________________________________


<xs:element ref="VesselOwner" minOccurs="0"/>

<xs:element ref="VesselFlag" minOccurs="0"/>

</xs:sequence>


</xs:complexType>

</xs:element>

Sample

Code

<VesselCallSign>……… </VesselCallSign>

Diagram

Description Contains the Vessel Call sign value.

Use Optional

Type string



0 1

Attributes None

Children None

Source

Schema

<xs:element name="VesselCallSign">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:element>

Sample

Code


_________________________________________________________________________

____________________________________________________________________________________


<VesselType>……… </VesselType>

Diagram

Description Contains the Vessel Type value.

Use Optional

Type string



0 1

Attributes None

Children None

Source

Schema

<xs:element name="VesselType">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:element>

Sample

Code

<VesselTonnage>……… </VesselTonnage>

Diagram

Description Contains the Vessel Tonnage value

Use Optional

Type string



_________________________________________________________________________

____________________________________________________________________________________



0 1

Attributes None

Children None

Source

Schema

<xs:element name="VesselTonnage">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:element>

Sample

Code

<VesselGRT>……… </VesselGRT>

Diagram

Description Contains the GRT value for a Vessel Entity

Use Optional

Type string



0 1

Attributes None

Children None

Source

Schema

<xs:element name="VesselGRT">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>


_________________________________________________________________________

____________________________________________________________________________________


</xs:element>

Sample

Code

<VesselOwner>……… </VesselOwner>

Diagram

Description Contains the Owner Name for a Vessel Entity.

Use Optional

Type string



0 1

Attributes None

Children None

Source

Schema

<xs:element name="VesselOwner">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:element>

Sample

Code

<VesselFlag>……… </VesselFlag>

Diagram

Description Contains the Flag (DJII Region Code) value for a Vessel Entity.

Use Optional


_________________________________________________________________________

____________________________________________________________________________________


Type string



0 1

Attributes None

Children None

Source

Schema

<xs:element name="VesselFlag">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:element>

Sample

Code

<ReferenceGroup>……… </ReferenceGroup>

Diagram

Description Contains Reference Group code and the Reference Group Language

Code.

Use Required

Type None

Max Length NA



_________________________________________________________________________

____________________________________________________________________________________


0 1


Name

Attribute

Description

Type Use Max

length

ReferenceGr

oupCode

Represents the

Reference Group

Code of the

Reference group


characters

ReferenceGr

oupLanguag

eCode

Represents the

language code of

the Reference

group


characters

Children None

Source

Schema

<xs:element name="ReferenceGroup">

<xs:complexType>


use="required">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>

<xs:attribute name="ReferenceGroupLanguageCode"

use="optional">

<xs:simpleType>



</xs:restriction>

</xs:simpleType>

</xs:attribute>


</xs:complexType>

</xs:element>

Sample

Code


_________________________________________________________________________

____________________________________________________________________________________


Appendix A: Acronyms This section lists the most common Acronyms used across this document.

Acronym Expansion

R&C Risk and Compliance

GMT Greenwich Mean Time

XML Extensible Mark-up Language

XSD XML Schema Definition

DTD Document Type Definition

DB Database

Id Identity

FAQ Frequently Asked Question

API Application Programming Interface

SAX Simple API for XML

DOM Document Object Model

HTTPS Hypertext Transfer Protocol Secure

HTML Hyper Text Mark-up Language

SA Sanction Alert “Core”

SOR Sanctions Control and Ownership Research

Appendix B: Frequently Asked Questions

The Customer Support Site contains all the latest FAQ’s consolidated in one place

and renders all additional information about the Dow Jones Sanction Alert “Core”

Content.

To view all the latest FAQ’s visit Dow Jones Customer Support:



_________________________________________________________________________

____________________________________________________________________________________


FAQ #10530: What are Sanction Alert “Core” Feeds?

FAQ # 10532: How do I check the Status or Availability of a Sanction Alert “Core” Reference Group Feed File?

FAQ # 10533: What are the Format and Schedules for Sanction Alert “Core” Feed

Files?

FAQ #10534: Can I get Sanction Alert “Core” Sample Feed Files?

FAQ #10535: What is Sanction Alert “Core” “Enhanced List Service” feeds? Can I customise Sanction Alert “Core” to receive a single Feed File for more than one

Reference Group?

FAQ #10538: What’s new with Sanction Alert?

FAQ #10539: Can I receive notifications when the Sanction Alert “Core” Groups

are updated?

For Any Queries regarding the Dow Jones Sanction Alert “Core” XML Feeds please contact: Dow Jones Customer Support

For all other technical documentation, please visit the Dow Jones Developer

Portal.


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