Regulatory Compliance

Looking for a partner who understands compliance?

CSI is a trusted advisor in the regtech industry, providing regulatory compliance software and services to thousands of customers worldwide. Our solutions help keep your business compliant with today’s top federal regulations, including OFAC, USA PATRIOT Act, FinCEN, Gramm-Leach-Bliley Act, BSA AML and many more.

Dow Jones Watch List

CSI offers organizations access to the Dow Jones Watch List through our denied party screening service, WatchDOG® Elite. Screening against these lists allows your business to perform due diligence outside the mandatory OFAC and sanctions requirements, and helps manage your organization’s risk.

CSI Simplifies Dow Jones Screening

The Dow Jones Watch List is massive, housing nearly 5 million distinct records. But screening against this list need not be complicated.

WatchDOG Elite simplifies Dow Jones screening by dividing this vast list into seven distinct segments. These segments allow you to screen against only the lists that fit your risk tolerance and policies, tailoring the sanctions screening process while minimizing the number of matches that require investigation.

  • Sanctions: Screen against Politically Exposed Persons (PEPs), Relatives and Close Associates (RCA), Special Interest Persons (SIP) or Special Interest Entities (SIE).
  • High-Risk PEPs: Detect PEPs and RCAs with occupations and relationships that are considered high-risk.
  • Government Sanctions and Exclusions: Spot persons and entities that are included on certain government issued sanctions or exclusion lists, such as financial sanctions, visa or travel bans, government exclusions, trade restrictions, war crimes, blocked vessels, enforcement orders, law enforcements and warnings.
  • Crime: Identify individuals and entities (SIP and SIE) formally accused, arrested or convicted of a serious crime.
  • Special Interest Persons Crime: Screen SIPs who have been formally accused, arrested or convicted of a serious crime.
  • Sanctions Control and Ownership: This list helps you comply with OFAC’s 50 Percent Rule by screening entities in which Specifically Designated Nationals (SDNs) or Sectoral Sanctions Identifications (SSI) own or control a 50 percent or greater stake.
  • OFAC Sanctions Control and Ownership: Identify entities exclusive to OFAC’s SDN or sanctions screening lists.

Screen Against Marijuana Businesses with the Dow Jones High-Risk Factor Feed

Conducting business with Marijuana-Related Businesses (MBRs) is inherently risky due to current legislation. However, many organizations view these businesses as a relatively untapped market.

The Dow Jones High-Risk Factor Feed informs your risk tolerance when associating with MRBs by providing a consolidated source of identifying information, including name, address, ID number and license information. Understanding this information helps you determine whether doing business with the entity falls within your organization’s risk appetite.

From the start, CSI worked hard to understand our needs and provide solutions that addressed our global framework … Our productivity has improved, and I estimate that we’ve reduced manual processing by 75 percent.

Nubia Pacheco
Global Communities, Associate Council

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Are you looking for the edge to outperform the competition? CSI is a full-service technology and compliance partner.

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