Sanctioned Securities Monitoring Service

Sanctioned Securities Monitoring Service

Simplifying the Complexities of Economic Sanctions Monitoring

Stay Ahead of Sanctions Enforcement

Effective sanctioned securities monitoring is essential to avoid serious fines and reputational damage. But in an environment of comprehensive or selective sanctions, staying clear of tainted companies and their issued securities is a major challenge.

The Sanctioned Securities Monitoring Service from SIX takes the pain out of maintaining your do-not-trade, hold or service lists. By subscribing to our straightforward list of prohibited and “watched” entities, you can swiftly identify those to avoid and take action ahead of sanctions enforcement.

How You Will Benefit

Sanctions Expertise at Your Fingertips

The Sanctioned Securities Monitoring Service from SIX brings together a wealth of securities information, plus analysis of sanctioned entities and sanctions regimes for pre- and post-trade screening. In addition to a daily scrubbed list of tainted entities, SIX experts detail changes to corporate structures and other events that may bring new securities into scope. Combined with watch lists of at-risk entities, you get a clear, at-a-glance overview of the global sanctions picture and your own risk exposure.

Marcello Solida

Identifying securities linked to individuals, companies and beneficial owners so they can be added to your “do-not-trade” list is tedious and complex, but of critical importance to avoid potentially staggering fines.

Oliver Bodmer, Senior Product Manager, SIX

Are you safe from global sanctions?

Watch our free webinar to find out more about the complex sanctions landscape in the APAC region and why a “smart” strategy is required for monitoring potentially dangerous securities.

About This Service

Effective sanctions compliance depends on accurate identification of in-scope entities and their issued securities. The Sanctioned Securities Monitoring Service from SIX gives you an up-to-date view on your potential sanctions risk exposure, helps you avoid significant fines caused by missing data, and allows you to trade with confidence – today and in the future. Learn more in this section.

Sanctioned Securities Monitoring Service: Overview

Identifying securities related to a sanctioned domicile or company may seem straightforward, but the reality is anything but. SIX provides a daily list of issuers and securities that are linked to the domiciles, companies and individuals sanctioned by various regulators. Our factsheet gives you a detailed overview of our service including the sanctions and watchlists we cover.

Main Service Features

  • Rapid identification of relevant instruments
  • Daily updated lists of linked  issuers and securities
  • Proactive monitoring of entities or persons placed on watchlists
  • Continuous monitoring of corporate actions that may change an instrument’s status
  • Easy integration of plug-in, machine-readable data

Stay a Step Ahead

Effective sanctions compliance depends entirely on accurate identification of in-scope entities and their issued securities. Our infographic shows the scale of the challenge for the industry – and how SIX is helping to address it.

Screening and Analytics from SIX

SIX handles the collection, screening and analytics, while you get a clean list of sanctioned and potentially sanctioned securities to run against your portfolio:

  • 26,250 analyzed changes per week such as regulator updates and shareholder changes
  • 1.8 million+ shareholder relations monitored by the system
  • 83 suspected entities and individuals controlled by the sanctions team per daily run on average

Are You Sanctions-Ready?

Are you at risk of sanctions violations? Take our free test to check your securities’ exposure to both implicit and explicit violations.

Rely on Award-winning Service from SIX

Our Sanctioned Securities Monitoring Service has been recognized by the industry for innovation and excellence many times. Accolades include:

  • 2019 FTF News Best RegTech Solution
  • 2018 Regulations Asia Best Solution in Regulatory Intelligence
  • 2017 IRD/IMD Most Innovative Regulatory Solution
  • 2016 GoodacreBest Compliance Solution

Keep Track of Securities Related to MRB

Some investors wish to avoid investing in marijuana-related businesses (MRBs) altogether, or at least want to be able to make risk-based decisions on investing in such companies. Since MRBs operate in a wide array of sectors, it is hard for banks to maintain an overview in the interest of their investor clients. SIX supports banks with its new MRB Securities Watchlist, which lists MRBs and their issued securities, as well as structured products and options based on those securities. Approximately 400 companies and 100,000 financial instruments are currently on the watchlist.

Monitor Indirect Investments

Financial Institutions allowing investments into Exchange Traded Funds (ETFs) often have poor transparency into the components and individual weightings within the ETF. KYC processes might have shown that the ETF issuer is approved, however, this does not guarantee that the ETF itself is not heavily invested in sanctioned securities. SSMS ETF scans all components of an ETF for tainted instruments and outputs the affected ETF plus the weight of each sanctioned component in a simple, humanly readable, flat file.

Frequently Asked Questions