This page details all of the possible risk codes that may be reported when you screen a third party using Instant Due Diligence (IDD) or Instant Due Diligence Plus (IDD+). This includes:
Risk Event Codes
Each risk event code corresponds to a specific type of risk event - for example, the code 'FRD' corresponds to a potential 'Fraud' event. This table lists all of the risk event codes that you may see in your reports, and explains what type of risk each code corresponds to.
| Category | Code | Brief Description | Full Description |
| Sanctions And Watchlists | DEN | Denied Entity | Denied Parties lists published by State Dept., Commerce Dept., US GAO etc. relating to parties that are denied/debarred from participating in selected activities (such as trading, participating in government contracts, etc). |
| FAR | Foreign Agent Registration Act | Assembled exclusively from the US Department of Justice list of disclosures of persons acting as agents of foreign principals in a political or quasi-political capacity relating to the US Foreign Agents Registration Act (FARA) available through separate purchase. | |
| FOF | Former OFAC | Entities removed from the US Treasury Department's OFAC SDN list. | |
| FOS | Former Sanctions | Entities removed from international sanctions lists. | |
| IRC | Iran Connect | Profiles of individuals and organizations with Iranian business ties specifically germane to compliance requirements of global Iran sanctions plus compliance requirements such the US Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 (CISADA) - available through separate purchase. | |
| SNX | Sanctions Connect | Profiles of individuals and organizations connected to or associated with sanctioned entities. | |
| WLT | Watch List | Government-watch listed entities. | |
| Fraud and Money Laundering | FRD | Fraud | False Acts or statements with intent to obtain or deprive money, goods or services by deception; includes fraud, scams, swindles, Ponzi schemes, pyramid schemes, wire fraud, charity scams, bait and switch schemes. |
| MLA | Money Laundering | Offenses relating to concealing/disguising the source of proceeds of crime; includes money laundering, illicit finance schemes, fund layering, washing criminal profits, cash smuggling, structured currency transactions. | |
| Data Privacy and Cyber | CYB | Cybercrime | Broad range of crimes that relate to use of computers to commit crimes, computer related crimes, cybercrime, hacking, cyberstalking, phishing, internet scams. |
| DPP | Data Privacy and Protection | Data privacy violations that include breaches of security leading to the accidental or unlawful destruction, loss, alteration, unauthorized disclosure of, or access to, personal data transmitted, stored or processed, or other improper handling of personally identifying information. | |
| IMP | Identity Theft | Offenses relating to using/assuming another's identity for illegal benefits; includes identity theft, impersonation, identity fraud. | |
| Environmental | ENV | Environmental Crimes | Poaching, illegal logging, animal cruelty. |
| Human Rights | ABU | Abuse | Offenses relating to marital relationship, children, vulnerable elderly or disabled; includes domestic abuse, elder abuse, child abuse, child neglect, spousal abuse, domestic violence, child endangerment. |
| AST | Assault, Battery | Reckless or intentional physical injury to another; includes assault, battery, stalking, menacing, aggravated harassment, wanton endangerment, vehicular assault. | |
| FUG | Fugitive | Offenses relating to official custody, imprisonment, arrest or order of a court; includes fugitives, escapees, prison breakout, bail jumping, harbouring a fugitive. | |
| HTE | Hate Groups, Hate Crimes | Offenses in which a company, group, or individual targets or discriminates against others based on their immutable characteristics; includes lists of designated hate groups. | |
| HUM | Human Rights | Broad range of crimes relating to crimes in country; includes human rights violations, genocide, war crimes, hate crimes, Geneva Convention violations, unlawful imprisonment, extrajudicial executions, torture, ethnic cleansing, crimes against humanity, political persecution, political prisoners. | |
| TRF | Human Trafficking | Offenses relating to sales of other human beings for servitude or sales of human body parts, human trafficking, organ trafficking, baby selling, human slavery, forced labour, immigration trafficking, harbouring illegal aliens. | |
| KID | Kidnapping | Abduct or restrain another person; includes kidnapping, abduction, held against will, forcible detentions, false imprisonment. | |
| MUR | Murder | Offense relating to intentional, reckless or negligent death or killing of another human being; includes murder, manslaughter (committed, planned, or attempted). | |
| OBS | Obscenity | Offenses relating to possessing or creating indecent materials; obscenity related, child pornography. | |
| IPR | Prostitution | Offering or promoting the exchange of sexual acts for a fee; includes illegal prostitution, sex trade. | |
| SEX | Sex Offenses | Offenses relating to sexual conduct against another through force or lack of consent; includes sex offenses, rape, sodomy, sexual abuse, paedophilia, necrophilia, sexual misconduct, molestation. | |
| Terrorism And Trafficking | SPY | Spying | Crimes relating to illegally aiding another country or entity; includes treason, espionage, spying. |
| TER | Terrorism | Offenses relating to terrorist groups/individuals. | |
| IGN | Weapons Possession | Offenses relating to weapons; includes illegal possession or sale of guns, weapons, or explosives. | |
| Politically Exposed Persons | PEP | Politically Exposed Persons | RDC's proprietary PEP Connect database. |
| Corruption | BRB | Bribery | Conferring a benefit on public servant to influence their action/judgment; includes kickbacks, graft, corruption, political corruption, payoffs, corrupt payments, abuse of power, abuse of office. |
| Regulatory | BKY | Bankruptcy | Current or future bankruptcy, receivership, or court-ordered administration. Captured from selected government lists only. |
| BUS | Business Crimes | Broad range of crimes that relate to unlawful acts or business practices; includes antitrust, bankruptcy associated with wrongdoing, price fixing. | |
| CON | Conspiracy | Agreement between two or more persons to commit a crime; includes reports when no specific crime is named (i.e. only “conspiracy”). | |
| CPR | Copyright Infringement | Includes copyright infringement, intellectual property violations, electronic piracy, music piracy, trademark violations, patent violations. | |
| CFT | Counterfeiting | Falsely creating/offering an item of value or document with intent to deceive; includes counterfeiting, forgery, check fraud, fake currency, uttering forgery. | |
| FOS | Former Sanctions | Entities removed from international sanctions lists. | |
| PRJ | Perjury | False statements or documents made under oath with intention to deceive; includes perjury, obstruction of justice, false filings, false statements, criminal contempt, contempt of court, false reporting. | |
| REG | Regulatory Action | Disciplinary actions by regulatory agencies involving sanctions, suspensions and fines. | |
| SEC | Securities Violations | Offenses relating to unlawful/abusive sales of stocks, securities; includes insider trading, securities fraud, churning, boiler rooms, unregistered trading, front-running, stock backdating, pump and dump schemes, cooked books, fiduciary breaches, stock laddering. | |
| TAX | Tax-Related | Offenses relating to evasion or non-payment of taxes; includes tax violations and tax crimes; organizations and individuals related to the ICIJ Panama Papers Offshore Leaks Database are available through separate purchase under this code. | |
| Organised Crime | ORG | Organized Crime | Offenses relating to organized criminal groups/gangs; includes organized crime, criminal association, racketeering, RICO. |
| SMG | Smuggling | Reserved for capture of media items regarding smuggling of anything except drugs, money, guns, or people; cigarette smuggling, illegal cross- border trade, contraband trading, exotic species trading, illegal alcohol trade, stolen art trafficking, fraudulent import invoicing. | |
| Others | ARS | Arson | Reckless or intentional damage to property buildings or vehicles from arson, malicious burning. |
| BUR | Burglary | Enter or remain unlawfully building or premise with intent to commit a crime; includes burglary, breaking and entering, home invasion. | |
| DPS | Drug Possession | Possession or use of narcotics; includes possession of drugs or drug paraphernalia. | |
| DTF | Drug Trafficking | Relating to sale/distribution of narcotics; includes trafficking or distribution of illegal drugs. | |
| FOR | Forfeiture | Assembled from RDC-aggregated records from USG forfeiture notices. | |
| GAM | Gambling | Offenses relating to either illegally promoting gambling or possessing illegal gambling devices; includes illegal gambling, illegal lotteries, illegal betting, illegal gaming, illegal poker, gambling dens. | |
| LMD | Legal Marijuana Dispensaries | Assembled from state lists of legalized marijuana dispensaries and associated entities in the United States available through separate purchase. | |
| LNS | Loan Sharking | Offenses relating to charging an illegally high rate of interest on a debt; includes loan sharking, usury, predatory lending, abuse prepayment schemes, fraudulent lending, discriminatory lending, unscrupulous lending. | |
| MIS | Misconduct | Broad range of minor crimes and misdeeds that do not fit into other categories and are tagged in media as "misconduct”. | |
| MSB | Money Services Business | Assembled exclusively from the US Treasury’s FinCEN and Canada’s FINTRAC and AMF (Autorité des Marches Financiers) lists of registered Money Services Businesses. | |
| MOR | Mortgage Wrongdoing | Mortgage fraud, mortgage scams. | |
| NSC | Nonspecific crimes | Used to capture references in media to article that refer to wrongdoing but do not include details to identify the specific type of wrongdoing. | |
| PSP | Possession of Stolen Property | Crimes relating to knowingly possessing/transferring of stolen property; includes possessing stolen property, possessing stolen goods, receiving stolen property. | |
| RES | Real Estate Actions | Includes real estate fraud, wrongdoing by or disciplinary actions against individuals or entities involved in real estate business. | |
| ROB | Robbery | Theft by force or threat of force; includes robbery, stealing by threat/use of force, armed robbery, bank robbery, carjacking. | |
| TFT | Theft | Broad range of offenses related to theft of good or services; includes theft, larceny, misappropriation, embezzlement, extortion, grand theft, grand larceny, shoplifting. |
Legacy Risk Event Codes
The following risk event codes are not used any more, but you may see them in older IDD or IDD+ reports:
- BLK - Firm-Specific Black List
- HCD - Health Care Disciplines
- REO - Bankruptcy
- CFM - Conflict Minerals
- DEF - Default
- PER - Performance Risk
Risk Stage Codes
Risk Stage codes are an indicator of “risk maturity”. They help you to understand what progress a given risk has made through formal channels (e.g. accused, charged, convicted).
|
Code |
Brief Description | Full Description |
| ACC | Accuse | A claim that someone or some organization has been involved in wrongdoing; usually reserved for accusations by formal government authorities, but can also include accusations by one individual or organization against another. |
| ACQ | Acquit, Not Guilty, Pardon | To relieve/free someone from a criminal charge by a verdict of "not guilty"; Found not guilty, Pardoned. |
| ALL | Allege | A claim or assertion that someone has done something illegal or wrong. |
| APL | Appeal | To apply for review of a case or issue to a higher tribunal, court, or judging authority. |
| ARB | Arbitration | The hearing and determining of a dispute or the settling of differences between parties by a person or persons chosen or agreed to by them. |
| ARN | Arraign | Call or bring (someone) before a court to answer a criminal charge; appeared in court. |
| ART | Arrest | To seize (a person) by legal authority or warrant; take into custody; Arrest warrant issued. |
| ASC | Associated with, Seen with | Used when an individual or entity is associated with or close to a government official. |
| ADT | Audit | An official examination of accounts and records, especially of financial accounts. |
| CEN | Censure | To express severe or vehement disapproval (of someone or something), typically in a formal statement. |
| CHG | Charged | In a criminal case, the specific statement of what crime the party is accused (charged with) contained in the indictment or criminal complaint. |
| CMP | Complaint Filed | The initial pleading that starts a lawsuit and sets forth the allegations made by the plaintiff against the defendant. |
| CNF | Confession | In the law of criminal evidence, a confession is a statement/admission by a suspect of a crime. |
| CSP | Conspire | An agreement between two or more persons to engage jointly in an unlawful or criminal act. |
| CVT | Convict, Conviction | To find guilty of a crime after a trial; Convicted; Found Guilty. |
| DEP | Deported | Expel (a foreigner) from a country, typically on the grounds of illegal status or for having committed a crime. |
| ACT | Disciplinary, Regulatory Action | Used as sub-event category for formal actions taken by regulating authorities; frequently seen paired with the risk code "REG" |
| DMS | Dismissed | The termination of a legal proceeding by the judge, before a trial or hearing. |
| EXP | Expelled | To dismiss or send away by authority; deprive of rights, membership. |
| FIL | Fine - Less than $10,000 | For fines levied against individuals or organizations of less than $10,000. |
| FIM | Fine - More than $10,000 | For fines levied against individuals or organizations of more than $10,000. |
| GOV | Government Official | Used only for PEP records found in media reports - for individuals holding senior political positions (PEP/GOV). |
| IND | Indict, Indictment | To charge with the commission of a crime; esp., to make a formal accusation against based on positive legal evidence. |
| LIN | Lien | A claim on the property of another as security for the payment of a just debt. |
| PLE | Plea | The response of a defendant to criminal charges - such as "a plea of guilty" or "a plea of not guilty". |
| PRB | Probe | Official investigation by government, law enforcement, or regulatory agency or body. |
| RVK | Revoked Registration | To take away someone's registration or privileges within an organization or by a regulatory body. |
| SAN | Sanction | Used largely with the WLT or REG risk code to denote a formal action by a government authority as penalty for wrongful action. |
| SEZ | Seizure | The forcible taking of property by a government law enforcement official. |
| SJT | Served Jail Time | Previous incarceration in a government-run prison or jail. |
| SET | Settlement or Suit | An agreement that resolves a dispute or a lawsuit action brought to resolve a dispute. |
| SPT | Suspected | A person or organization suspected to have committed a crime. |
| SPD | Suspended | Suspensions from licensed activities, regulated duties, or official positions. |
| TRL | Trial | A judicial examination and determination of facts and legal issues arising between parties to a civil or criminal action. |
| WTD | Wanted | Used for individuals "wanted" for a crime; a public announcement by law enforcement agencies. |
PEP Codes
'PEP' stands for 'Politically Exposed Person'. This table details all of the PEP codes that you may see in your reports, and what type of politically exposed person each code corresponds to.
| Code | Description |
| HOS | Head of State |
| CAB | Cabinet officials |
| INF | Senior officials overseeing key infrastructure sectors |
| NID | Senior officials overseeing non-infrastructure sectors |
| MUN | Municipal level officials |
| REG | Regional officials |
| LEG | Senior legislative branch |
| AMB | Ambassadors and top diplomatic officials |
| MIL | Senior military figures |
| JUD | Senior Judicial figures |
| POL | Political party figures |
| GOE | Government Owned Enterprises (organisations) |
| GCO | Top executive / function in state-controlled business |
| IGO | International Government Organisation officials |
| ISO | International Sporting Officials |
| FAM | Family members |
| ASC | Close associates and advisors |
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