ABOUT SANCTIONS LIST MONITORING

With investors becoming increasingly concerned about the ethical, social and environmental impact of their investments, and governments prohibiting investments in certain companies involved in nuclear weapons, landmines or cluster munitions, many financial institutions are required to ban investments in companies due to their practices being deemed unethical.

With our sanctions list monitoring solution, it is possible to monitor investments against any “black list”/ “white list”, including for sanctions stocks.

THERE ARE 3 KEY APPROACHES:

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RISK BASED IDENTIFICATION OF STOCKS IN PARTICULAR COUNTRIES / SECTORS

This can flag exposures to specific sectors and domiciles, including on a look-through basis to the parent issuers, underlyings of depositary receipts and other financial instruments.
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LIST BASED MONITORING OF STOCKS AND ISSUERS

In respect of list based monitoring:

  • We maintain a list of cluster munition stocks, based on several data sources, including the Luxembourg CSSF FDC Exclusion List.

  • We can also monitor against any “black list”/ “white list”, including for sanctions stocks

We are also able to support systematic testing where the client subscribes for other external data lists, where these include stock sedols / isin or issuer codes.

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MANUAL REVIEW AND WHITE LIST MONITORING

Dependent upon volumes, we can also provide manual monitoring service where all new securities are manually verified against various industry lists including the US SDN list and are then added to a “White List” of approved stocks.

US Dept Treasury – Specially Designated Nationals And Blocked Persons List

TO FIND OUT MORE ABOUT OUR SANCTIONS LIST MONITORING SOLUTION OR TO BOOK A DEMO, PLEASE CONTACT US ON +44(0)28 9032 9736 OR INFO@FUNDS-AXIS.COM

+44 (0)28 9032 9736     CONTACT US