Trade Finance Lookup Solution Introduction

1. Log in to Compliance Link and go to Automated Screening Manager-Automated Screening Lookup.

You will be able to see the trade finance lookup screen as below. You can consolidate all fields from

different shipping documents, such as Letter of Credit and Bill of Lading, and customize them all into

one single platform as below to look up and screen at one go, which largely improves your lookup

efficiency (Picture 1.1).

1.1:

It will generate a Case ID and it gets assigned to a specific review group and user based on the pre-

defined case management workflow. All of the lists screened against will be listed after the lookup is

performed for quick reference. The Compliance Link Trade Finance solution offers all publicly

available sanctions lists, the EU Dual Use Goods List(s), Sanctioned Seaport and Airport list,

thousands of additional enhanced vessels not found in the OFAC SDN list, and all within one solution.

The screenshot below displays partially a collection of Accuity’s Global WatchLists screened against

(Picture 1.2).

1.2:

2．Go to the generated case by using the login of the assigned user. You can see the Case Review

screen, on the left side of which it shows the input record data, while on the right side it displays the

matched entity details. You can check the box and complete the review by updating review notes

and status.

3．Normally information on shipping documents may get revised or updated. To screen

changed/updated fields, you can simply pull up the last input record by entering the Shipment

Reference Number as the unique ID (or any other numbers and information can be entered as

unique ID) to avoid manual re-entry of previously checked fields. For example, the information

screened from the original Letter of Credit can be recalled and fields pre-populated by referencing

that shipment reference number. All document information and screening history can be retained

and grouped under this single reference number (Picture 3.1).

3.1:

As shown below, the left side is the input record with two different versions based on the first entry

and second entry. On the right hand side it demonstrates new match results due to the new

information entered the second time. The previous match SAIPA COMPANY has been updated

earlier as False Positive therefore you don’t have to review it any more. You can check one or

multiple boxes to review and update all matches at one time. The screening history and your review

notes are captured in the full audit trail. You can also click on the button Printable Page on the top

right corner to obtain a report with comprehensive details of all matched entities information,

screening history and all versions of input records (Picture 3.2).

3.2:

3.3:

（The above picture 3.3 shows matched goods from our EU Dual Use Goods List. Graphite is an

industrial material used to make automotive clutches or can be used to moderate nuclear reactions

similar to heavy water. Our goods screening is subject to countries and regions of

imported/exported goods. Because the country of destination is Iran, the goods Graphite has been

flagged. This is our unique goods screening algorithm in the Trade Finance Lookup Solution）

4．Every single lookup will be automatically monitored by Compliance Link until the case is

inactivated. Any time the Global WatchLists are updated, an automatic re-screening will take place

without any human intervention. This ensures that the organization is absolved from any ongoing

risk during the lifecycle of a trade finance transaction, which can range from weeks to months.

5．For different fields, we can set different screening rules and map them to different WatchLists to

screen against, so as to ensure the maximum rate of matching accuracy and minimum rate of false

positive hits. For instance, Goods Description will be only screened against goods lists and Vessel

Name will be screened against vessel lists.

Goods Description is screened against goods lists only：

Vessel Name is screened against vessel lists only：

6．You can also create different datasets and switch them in between for KYC due diligence check

on individuals or corporates：

Picture 6.1

7．You can search cases by different conditions, such as Unique ID, input record information of

certain particular fields, assigned users, etc. (Picture 7.1). The search result can be generated as a

CSV report for internal control or audit purpose. (Picture 7.2).

Picture 7.1:

Picture 7.2: