Sanctioned Securities Monitoring Service

Know Your Customer (KYC), Anti-Money Laundering (AML) & Pre-Trade Sanctions Compliance

Classical KYC/AML/Sanction processes

Focus on existing business relationships with individuals and legal entities and their transactions

SIX: Pre-trade and portfolio monitoring

Identifying sanctions regulation that focuses on the financial markets (e.g. asset freezes)

Sanctioned securities increase since the Ukraine invasion

Sanctions Radar

400 million 400 million
Companies and entities
150 million 150 million
Beneficial owners
30 million 30 million
Financial Instruments

Portfolio monitoring

Direct exposures

  • Sanctioned Securities

Indirect exposures

  • Sanctioned Securities as underlyings in Options, Futures, Structured Products and ETFs
  • Special Purpose Vehicles funneling funds to sanctioned entities

Risk exposures

  • Grandfathered securities (issued before sanction effective date)
  • Derivatives with no cash payments

50% Rule applies

If a security is owned >50% by a sanctioned entity or individual, it is flagged as sanctioned.

Portfolio monitoring example

Portfolio monitoring example

Download Excel file
How the 50% rule is applied

How the 50% rule is applied

Add-on Service that suits your business needs

Regulators

Securities sanctioned by 11 Regulators

Funds & ETFs

ETFs investing in sanctioned securities

Restrictions

Securities linked to entities on trade restriction lists

Cluster Munitions

Securities linked to war material restrictions

Marijuana Related Business (MRB)

Securities linked to marijuana business

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SIX delivers a list of all securities and issuers that are sanctioned or at-risk by 11 regulators

  • OFAC
  • European Union
  • United Kingdom
  • United Nations
  • Switzerland
  • Australia
  • Canada
  • Netherlands
  • Japan
  • Hong Kong
  • Singapore
Download sample file

SIX delivers a list of all ETFs investing in sanctioned securities

  • Includes detailed information of the regulation tainting the ETF
  • Providing weight of tainted instruments within ETF
  • Three level look through to expose tainted funds of funds*
    *calculation of weight over levels to see exposure in top share class

Adjacent Services

  • SIX Indices
  • SIX Settlement & Custody
  • SIX Digital Exchange

Ultumus covers 97% of the market. 12,500 ETFs and Funds from US, Canada, Europe, Asia and Israel. Total of 140,000 share classes with full holdings.

Total of 140,000 share classes with full holdings.

Example
  • ETF linked to CMIC sanctions
  • ETF linked to Russian sanctions
  • ETF linked to Special Purpose Vehicle (SPV)
Download sample file

SIX delivers a list of all securities linked to entities on trade restriction lists

  • Entities on various US Red Flag lists like Department of Defense, Department of Commerce, and Homeland Security
  • Normalized files with issuers, directly issued financial instruments, and indirectly linked investment products
  • 50% rule applies
  • 20% rule applies to affiliates
Download sample file

SIX delivers a list of all MRBs from 30 countries and their linked Securities

  • Continous monitoring for new IPO’s
  • Monitoring direct and indirect links
  • 50% rule applies

No other provider is offering MRB sister companies held by 50% ownership link


400 400
MRB Issuers
20,000 20,000
Structured Products with a MRB security as underlayer
3% 3%
Up to 3% of new IPO’s in target countries are MRB related
2,000 2,000
Instruments directly issued from MRB’s
10,000 10,000
MRB Warrants and Options

Features

Sanctions Rationale

  • Outlines the reasons why a security has been sanctioned by the regulator
  • Easy for non-compliance professionals to understand
Download examples

Detailed regulatory information

Number of Executive Order, Ordonnance or General License provided on instrument level

Download examples

Flash e-mail service

Announces new sanctions programs with impact on financial instruments

Example

Award winning corporate actions

Capture capital increases on grandfathered securities

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Awards for Innovation and Excellence

Best AML Financial Crime initiative Best AML Financial Crime initiative
A-Team Innovation, 2022
Best Solution for financial crime Best Solution for financial crime
A-Team RegTech Insight, 2021
Best KYC AML Service Best KYC AML Service
Waters Asia, 2022, 2021
Best Compliance Product Best Compliance Product
FTF News, 2021
Best Buy-Side Compliance Product Best Buy-Side Compliance Product
Buy-Side/Sell-Side Technology, 2020
Best Sell-Side Compliance Product Best Sell-Side Compliance Product
Buy-Side/Sell-Side Technology, 2020, 2019

Delivery

6 days per week

2 times per day

4 Lists, full and delta files

  • Institutions
  • Financial Instruments 
  • Structured Products
  • Options and Futures
  • Optional: Funds & ETF‘s

Email and SFTP

  • CSV
  • XLS
  • XML

Transparent & Scalable Pricing

Pricing depends on:

  • Number of regulators monitored
  • Assets under Management in $bn
  • Usage scope
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