Search Compliance Alerts

Product

D&B Direct 2.0, D&B Direct Onboard

Product Code(s)

n/a

Option(s)

None

Monitoring Available

No

Interface

SOAP

WSDL

download

Format(s)

XML

Service

ComplianceCheck

Operation

SearchComplianceAlerts

{version}

7.0

Initial Release

n/a

D&B Compliance Screening is a powerful solution providing organizations advanced screening of customers, suppliers and third parties to ensure global regulatory compliance with a growing range of Global AML/KYC and Anti Corruption regulations.

Leveraging multiple databases, including global watch lists, regulatory authority actions, law enforcement sources, and global news sources, businesses have access to the most comprehensive, daily updated and broad-reaching compliance screening solution to address all compliance program needs.

This function allows a customer to simply specify a target subject (organizations and/or individuals) to be submitted for compliance screening. Validated requests will be processed against the customer agreed screening lists and provide an instant response.

Sophisticated configuration options are available to meet your compliance policy and ensure only relevant hits are established when using this service.

Update History

August 30, 2019 (V7.0 SOAP & REST): Error description of PD023 returned by Search Compliance Alerts method of Compliance Check Service will be updated from "Client Review in required in Application." to "Ready to Review."

Product Request

Overview

The Required input for this method is an organization or individual name. Address input and/or Date of Birth for an individual is optional but it is advisable to include to be able to specifically identify the correct entity. For organizations domiciled in the United States and Canada, including a state or territory significantly improves the quality of the results.

Global Availability

The Search Compliance Alerts data layer is available for businesses domiciled in the following countries:

Country	ISO Code
United States of America	US
Belgium	BE
France	FR
Germany	DE
Italy	IT
Netherlands	NL
Portugal	PT
Spain	ES
United Kingdom	GB
Australia	AU
New Zealand	NZ
Andorra	AD
Anguilla	AI
Antigua & Barbuda	AG
Aruba	AW
Bahamas	BS
Barbados	BB
Belize	BZ
Bermuda	BM
Bolivia	BO
British Virgin Islands	VG
Canada	CA
Cayman Islands	KY
Chile	CL
Colombia	CO
Costa Rica	CR
Denmark	DK
Dominica	DM
Dominican Republic	DO
Ecuador	EC
El Salvador	SV
Faero Islands	FO
Finland	FI
Greenland	GL
Grenada	GD
Guatemala	GT
Guyana	GY
Haiti	HT
Honduras	HN
Ireland	IE
Jamaica	JM
Japan	JP
Luxembourg	LU
Mexico	MX
Monaco	MC
Montserrat	MS
Netherlands Antilles	AN
Bonaire, Sint Eustatius And Saba	BQ
Curaçao	CW
Sint Maarten (dutch)	SX
Nicaragua	NI
Norway	NO
Panama	PA
Saint Kitts & Nevis	KN
Saint Lucia	LC
Saint Vincent	VC
San Marino	SM
Suriname	SR
Sweden	SE
Taiwan	TW
Trinidad And Tobago	TT
Turks And Caicos	TC
Venezuela	VE
Afghanistan	AF
Albania	AL
Algeria	DZ
American Samoa	AS
Angola	AO
Argentina	AR
Armenia	AM
Austria	AT
Azerbaijan	AZ
Bahrain	BH
Bangladesh	BD
Benin, Peoples Republic of	BJ
Bhutan	BT
Bosnia And Herzegovina	BA
Botswana	BW
Brazil	BR
Brunei	BN
Bulgaria	BG
Burkina Faso	BF
Burma (myanmar)	MM
Burundi	BI
Belarus	BY
Kampuchea (prev. Cambodia)	KH
Cameroon	CM
Cape Verde, Republic of	CV
Central Africa Republic	CF
Chad, Republic of	TD
China, Peoples Republic of	CN
Christmas Island	CX
Comoros Republic	KM
Congo Democratic Republic	CD
Cook Islands	CK
Croatia	HR
Cyprus	CY
Turkish Republic of Northern Cyprus	XT
Czech Republic	CZ
Djibouti	DJ
Egypt	EG
Equatorial Guinea	GQ
Eritrea	ER
Estonia	EE
Ethiopia	ET
Falkland Islands	FK
Fiji	FJ
French Guiana	GF
French Polynesia/tahiti	PF
Gabon Republic	GA
Gambia	GM
Georgia	GE
Ghana	GH
Gibraltar	GI
Greece	GR
Guadeloupe	GP
Guam	GU
Guinea Bissau	GW
Guinea, Republic of	GN
Hong Kong SAR	HK
Hungary	HU
Iceland	IS
India	IN
Indonesia	ID
Iran	IR
Iraq	IQ
Israel	IL
Ivory Coast/cote D'ivoire	CI
Jordan	JO
Kazakhstan	KZ
Kenya	KE
Kiribati	KI
Korea, Republic of	KR
Kuwait	KW
Kyrgyzstan	KG
Laos	LA
Latvia	LV
Lebanon	LB
Lesotho	LS
Liberia	LR
Libya	LY
Liechtenstein	LI
Lithuania	LT
Macao SAR	MO
North Macedonia	MK
Madagasgar	MG
Malawi	MW
Malaysia	MY
Maldives	MV
Mali	ML
Malta	MT
Marianas Islands	MP
Marshall Islands	MH
Martinique	MQ
Mauritania	MR
Mauritius	MU
Moldova	MD
Montenegro	ME
Morocco	MA
Mozambique	MZ
Namibia	NA
Nauru	NR
Nepal	NP
New Caledonia	NC
Niger	NE
Nigeria	NG
Norfolk Island	NF
Oman	OM
Pakistan	PK
Papua New Guinea	PG
Paraguay	PY
Peru	PE
Philippines	PH
Poland	PL
Qatar	QA
Reunion Island	RE
Romania	RO
Russian Federation	RU
Rwanda	RW
Saint Helena	SH
Saint Pierre Et Miquelon	PM
Sao Tome & Principe	ST
Saudi Arabia	SA
Senegal	SN
Serbia	RS
Seychelles	SC
Sierra Leone	SL
Singapore	SG
Slovakia	SK
Slovenia	SI
Solomon Islands	SB
Somalia	SO
South Africa	ZA
Sri Lanka	LK
Sudan	SD
South Sudan	SS
Eswatini	SZ
Switzerland	CH
Syria	SY
Tajhikstan	TJ
Tanzania	TZ
Thailand	TH
Togo	TG
Tokelau Islands	TK
Tonga	TO
Tunisia	TN
Turkiye	TR
Turkmenistan	TM
Tuvalu	TV
Uganda	UG
Ukraine	UA
United Arab Emirates	AE
Uruguay	UY
Uzbekistan	UZ
Vanuatu	VU
Vietnam	VN
Western Samoa	WS
Yemen	YE
Zambia	ZM
Zimbabwe	ZW
Congo	CG
Puerto Rico	PR
Holy See (vatican City State)	VA
Serbia & Montenegro	CS
Kosovo	XK

Data Layer Entitlement

For customers in U.S. and Canadian markets, the API is provisioned for specific collections of products, reports, and/or features (collectively referred to as data layers) for production and trial usage. Entitlement is not required for testing in the sandbox environment.

This product is entitled as "Compliance Patriot Act" for D&B Direct 2.0 customers.

For customers in the UK, Ireland, Belgium, Netherlands and Luxembourg markets, the API is provisioned as a specific set of data layers for production, trial, and sandbox usage.

This particular data layer is included in the D&B Direct Onboard 2.0 suite.

To obtain the entitlement for this, contact your local Customer Service Center.

Specification

Sample Request (Search Alerts)

<soapenv:Envelope xmlns:soapenv="http://schemas.xmlsoap.org/soap/envelope/" xmlns:com="http://services.dnb.com/ComplianceCheckServiceV2.0">
   <soapenv:Header>
      <wsse:Security soapenv:mustUnderstand="1" xmlns:wsse="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurity-secext-1.0.xsd" xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurity-utility-1.0.xsd">
         <wsse:UsernameToken wsu:Id="UsernameToken-57">
            <wsse:Username>MyUserName</wsse:Username>
            <wsse:Password Type="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-username-token-profile-1.0#PasswordText">MyPassword</wsse:Password>
         </wsse:UsernameToken>
      </wsse:Security>
   </soapenv:Header>
   <soapenv:Body>
      <com:SearchComplianceAlertsRequest>
         <SearchComplianceAlertsRequestDetail>
            <InquiryDetail>
               <SubjectName>ENRON CO LTD</SubjectName>
               <SubjectTypeText>Organization</SubjectTypeText>
            </InquiryDetail>
            <SearchSpecification>
               <PortfolioMonitoringIndicator>true</PortfolioMonitoringIndicator>
            </SearchSpecification>
            <InquiryReferenceDetail>
               <CustomerReferenceText>test</CustomerReferenceText>
            </InquiryReferenceDetail>
         </SearchComplianceAlertsRequestDetail>
      </com:SearchComplianceAlertsRequest>
   </soapenv:Body>
</soapenv:Envelope>

Name	Characteristics
SearchComplianceAlertsRequest	Aggregate
SearchComplianceAlertsRequest. TransactionDetail	Aggregate, Optional Records information necessary to process this request.
SearchComplianceAlertsRequest. TransactionDetail. ApplicationTransactionID	Element, string, up to 64 chars., Optional A number assigned by the calling application to uniquely identify this request.
SearchComplianceAlertsRequest. TransactionDetail. TransactionTimestamp	Element, date & time, Optional The date and time when this request was created. When the request is from an intermediary, such as a workflow manager or service bus, this is the date and time when the message was sent to the D&B function, i.e., the date and time when the xml document was created by the requesting intermediary.
End: SearchComplianceAlertsRequest. TransactionDetail	Aggregate
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail	Aggregate, Required
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail	Aggregate, Required
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. SubjectName	Element, string, up to 100 chars., Required Text that records the name of the inquired subject.
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. SubjectTypeText	Element, string, Required Text describes whether the inquired subject is Person or Organization.
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. Address	Aggregate, Optional Records the location information of the inquired subject.
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. Address. StreetAddressLine	Aggregate, Optional An entry loop which allow the recording of address line contains one or more named address elements. Examples of named address elements are Street Name, Street Number, Building Name, Estate Name. When there are multiple lines the sequence of the lines must be preserved.
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. Address. StreetAddressLine. LineText	Element, string, up to 60 chars., Required Text that records the street address components as it would be presented on an address label. This includes, but is not limited to, details such as street name, street number, building name, estate name.
End: SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. Address. StreetAddressLine	Aggregate
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. Address. PrimaryTownName	Element, string, up to 30 chars, Optional The name of the town or city recognized by the Postal Authority for delivering mail.
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. Address. TerritoryName	Element, string, up to 50 chars, Optional The name of the locally governed area which forms part of a centrally governed nation as received by D&B. Clarification Note: As a guiding principle this is a geographic area which could theoretically exist as a separate nation. In the U.S. this would be a State. In the UK this would be one of the Home Nations.
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. Address. PostalCode	Element, string, up to 20 chars, Optional An identifier used by the local country Postal Authority to identify a particular geographic location. For example, in Belgium, Postal Code 9000 identifies the town of GHENT.
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. Address. CountryISOAlpha2Code	Element, string, up to 2 chars, Optional The two-letter country/market code, defined in the ISO 3166-1 scheme published by International Organization for Standardization (ISO)identifying the country/market of the inquired Subject.
End: SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. Address	Aggregate
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. BirthDate	Element, date, Optional The date on which the person to be screened was born. Supported Formats : YYYY-MM-dd YYYY-MM YYYY
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. Age	Element, string, up to 3 chars, Optional Records the age of the person in years.
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail. RemarksText	Element, string, up to 1000 char, Optional Additional inquiry information that may be useful to RDC or Client during the false positive review process but does not fit in other defined
End: SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryDetail	Aggregate
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. SearchSpecification	Aggregate, Required
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. SearchSpecification. PortfolioMonitoringIndicator	Element, boolean, Optional When turned ON (set to true) it indicates Inquiry Portfolio Monitoring Instructions.
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. SearchSpecification. LoadOnlyIndicator	Element, boolean, Optional When turned ON (set to true) it indicates Inquiry is loaded to the portfolio ONLY(full search is skipped).
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. SearchSpecification. GlobalSearchIndicator	Element, boolean, Optional When turned ON (set to true) it indicates the address provided should take precedence in alerts returned,but you are still interested in alerts where addresses clearly do not match.
End: SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. SearchSpecification	Aggregate
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryReferenceDetail	Aggregate, Optional Records data that allows the customer to specify information to be linked to this request in order to support subsequent searches.
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryReferenceDetail. CustomerReferenceText	Element, string, up to 240 chars., Optional(Up to 5x) A freeform reference string provided by the customer to be linked to the product in order to support subsequent order reconciliation.
SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryReferenceDetail. CustomerBillingEndorsementText	Element, string, at least 1 chars. up to 240 chars., Optional Text that is filled in by customer and commonly contains requesting individual or department name, or customer's own account/reference number and/or name for the case on which the product was provided.This text is a reference used during the billing process.
End: SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail. InquiryReferenceDetail	Aggregate, Optional
End: SearchComplianceAlertsRequest. SearchComplianceAlertsRequestDetail	Aggregate, Optional An identifier used by the local country Postal Authority to identify a particular geographic location. For example, in Belgium, Postal Code 9000 identifies the town of GHENT.
End: SearchComplianceAlertsRequest	Aggregate, Optional

Endpoint

Use the following endpoint with the downloadable WSDL to request this product.

Endpoint (ComplianceCheck)
https://direct.dnb.com/ComplianceCheck/V{version}

Testing

This operation is currently unavailable in the D&B Direct sandbox (test) environment.

Product Response

Specification

The following is a list of the possible data fields returned by this operation in the XML response. Samples are provided for testing successful and failed retrieval, and to demonstrate the basic layout of a response. The data returned in samples may not represent actual values that this feature will deliver.

NOTE: The D-U-N-S Number returned in the response will be a nine-digit zero-padded, numeric value.

Sample Response (Search Alerts)

<soapenv:Envelope xmlns:soapenv="http://schemas.xmlsoap.org/soap/envelope/">
   <soapenv:Body>
      <com:SearchComplianceAlertsResponse xmlns:com="http://services.dnb.com/ComplianceCheckServiceV2.0">
         <TransactionDetail>
            <ApplicationTransactionID>111809376</ApplicationTransactionID>
            <ServiceTransactionID>Id-315a4f5bd044854ecad2a445-1</ServiceTransactionID>
            <TransactionTimestamp>2018-07-18T11:18:10.666-04:00</TransactionTimestamp>
         </TransactionDetail>
         <TransactionResult>
            <SeverityText>Information</SeverityText>
            <ResultID>PD021</ResultID>
            <ResultText>Potential Match found during screening; Review required.</ResultText>
            <ResultMessage>
               <ResultDescription>Potential Match found during screening; Review required.</ResultDescription>
            </ResultMessage>
         </TransactionResult>
         <SearchComplianceAlertsResponseDetail>
            <InquiryDetail>
               <SubjectName>ENRON CO LTD</SubjectName>
               <SubjectTypeText>Organization</SubjectTypeText>
            </InquiryDetail>
            <InquiryID>76</InquiryID>
            <AlertDetail>
               <AlertID>15077253.76</AlertID>
               <AlertDate>2018-07-18T11:18:10</AlertDate>
               <AlertEntity>
                  <RiskScore>95</RiskScore>
                  <CVIP>C</CVIP>
                  <AlertEntityID>95073420</AlertEntityID>
                  <EntityTypeText>Organization</EntityTypeText>
                  <EntityName>Enron</EntityName>
                  <ReferenceDetail>
                     <SourceName>RiskConnect</SourceName>
                     <SourceTypeText>RiskConnect</SourceTypeText>
                     <WebPageURL>https://grid.rdc.com/wss/entity.html?entityId=5d7082b88815f29b5d3f3d53eb346cc4</WebPageURL>
                     <PublicationDate>2018-07-17</PublicationDate>
                  </ReferenceDetail>
                  <EventDetail>
                     <EventTypeCode>SEC</EventTypeCode>
                     <EventTypeText>SEC Violations (Insider Trading, Securities Fraud)</EventTypeText>
                     <EventText>The Enron Corporation was found guilty of share price manipulation, with senior management imprisoned.</EventText>
                     <EventDate>2009-11-05</EventDate>
                     <EventSubTypeCode>CVT</EventSubTypeCode>
                     <EventSubTypeText>Convict, Conviction</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>FRD</EventTypeCode>
                     <EventTypeText>Fraud, Scams, Swindles</EventTypeText>
                     <EventText>Enron fraud scandal, the company was fined $500 million and ultimately de-listed.</EventText>
                     <EventDate>2017-06-22</EventDate>
                     <EventSubTypeCode>FIM</EventSubTypeCode>
                     <EventSubTypeText>Fine - More than $10,000</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>FRD</EventTypeCode>
                     <EventTypeText>Fraud, Scams, Swindles</EventTypeText>
                     <EventText>Kenneth Lay and Jeffrey Skilling, Chief executive officers of Enron Corporation, were convicted for cheating investors and enriched themselves through complex accounting gimmicks like overvaluing assets to boost cash flow and earnings statements.</EventText>
                     <EventDate>2016-05-25</EventDate>
                     <EventSubTypeCode>ASC</EventSubTypeCode>
                     <EventSubTypeText>Associated with, Seen with</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>FRD</EventTypeCode>
                     <EventTypeText>Fraud, Scams, Swindles</EventTypeText>
                     <EventText>Andrew S. Fastow, the former chief financial officer (CFO) of Enron Corporation, has pleaded guilty to two counts of conspiracy to commit securities and wire fraud.</EventText>
                     <EventDate>2004-01-14</EventDate>
                     <EventSubTypeCode>ASC</EventSubTypeCode>
                     <EventSubTypeText>Associated with, Seen with</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>FRD</EventTypeCode>
                     <EventTypeText>Fraud, Scams, Swindles</EventTypeText>
                     <EventText>Kenneth L. Lay, Former Chairman and Chief Executive Officer of Enron Corp., was indicted and charged with conspiracy to commit securities fraud, four counts of securities fraud and two counts of wire fraud, one count of bank fraud and three counts of making false statements to a bank.</EventText>
                     <EventDate>2002-07-08</EventDate>
                     <EventSubTypeCode>ASC</EventSubTypeCode>
                     <EventSubTypeText>Associated with, Seen with</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>BRB</EventTypeCode>
                     <EventTypeText>Bribery, Graft, Kickbacks, Political Corruption</EventTypeText>
                     <EventText>The Supreme Court issued a ruling in the case of Enron’s former president, Jeffrey Skilling, that sharply narrowed what counted as honest services fraud by limiting it to explicit bribes for specific acts.</EventText>
                     <EventDate>2012-06-02</EventDate>
                     <EventSubTypeCode>ASC</EventSubTypeCode>
                     <EventSubTypeText>Associated with, Seen with</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>IRC</EventTypeCode>
                     <EventTypeText>Iran Connect</EventTypeText>
                     <EventText>Joong Ho Kim is serving as the as vice president of SK Enron Co Ltd and also serving as vice president of operations at SK Energy Co Ltd. SK Innovation Co Ltd is the parent company of SK Energy Co Ltd. SK Energy Co Ltd is a part of list of entities determined to be non-responsive bidders/offerers pursuant to The New York State Iran Divestment Act of 2012 issued by Executive Department Office of General Services, New York on 10 Aug 2012. According to Reuters Website, dated 26 Sep 2012, SK Energy loaded a second cargo of crude in Iran last week. Also, SK Energy contracts with Iran this year provide for imports of two Very Large Crude Carriers (VLCCs) of crude per month.</EventText>
                     <EventDate>2012-08-10</EventDate>
                     <EventSubTypeCode>ASC</EventSubTypeCode>
                     <EventSubTypeText>Associated with, Seen with</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>SEC</EventTypeCode>
                     <EventTypeText>SEC Violations (Insider Trading, Securities Fraud)</EventTypeText>
                     <EventText>The SEC announced that former Enron senior vice presidents Rex T. Shelby and Scott Yeager and the former chief financial officer of Enron Broadband Services Kevin A. Howard have agreed to settle the SEC's pending civil actions against them. The SEC charged Shelby and Yeager with securities fraud and insider trading. The SEC alleged that Shelby, Yeager and other EBS executives engaged in a fraudulent scheme to, among other things, make false or misleading statements about the technological prospects, performance, and financial condition of EBS; these statements were made at Enron's annual analyst conference and in multiple press releases during 2000; and while aware of material non-public information concerning the true nature of EBS' technological and commercial condition, Shelby and Yeager sold a large amount of Enron stock at inflated prices.</EventText>
                     <EventDate>2012-12-20</EventDate>
                     <EventSubTypeCode>ASC</EventSubTypeCode>
                     <EventSubTypeText>Associated with, Seen with</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>SEC</EventTypeCode>
                     <EventTypeText>SEC Violations (Insider Trading, Securities Fraud)</EventTypeText>
                     <EventText>Richard A. Causey, Enron's former Chief Accounting Officer, previously entered into a guilty plea on federal securities laws and was sentenced to 66 months in prison. Causey along with others, engaged in a wide-ranging scheme to manipulate Enron's publicly-reported earnings through a variety of devices designed to produce materially false and misleading financial results.</EventText>
                     <EventDate>2012-02-09</EventDate>
                     <EventSubTypeCode>ASC</EventSubTypeCode>
                     <EventSubTypeText>Associated with, Seen with</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>SEC</EventTypeCode>
                     <EventTypeText>SEC Violations (Insider Trading, Securities Fraud)</EventTypeText>
                     <EventText>The SEC announced that the U.S. District Court entered a final judgment in the Commission's pending civil action against Joseph Hirko, former Chairman and Chief Executive Officer of Enron Broadband Services. The Commission charged Hirko and other EBS executives with securities fraud and insider trading. The Commission settled this action in coordination with the Department of Justice, which entered into a plea agreement with Hirko on related charges in October 2008; Hirko and other EBS executives engaged in a fraudulent scheme to, among other things, make false or misleading statements about the technological prospects, performance, and financial condition of EBS. These statements were made at Enron's annual analyst conference and in multiple press releases during 2000. While aware of material non-public information concerning the true nature of EBS' technological and commercial condition, Hirko sold large amounts of Enron stock at inflated values and avoided substantial losses.</EventText>
                     <EventDate>2009-06-18</EventDate>
                     <EventSubTypeCode>ASC</EventSubTypeCode>
                     <EventSubTypeText>Associated with, Seen with</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>SEC</EventTypeCode>
                     <EventTypeText>SEC Violations (Insider Trading, Securities Fraud)</EventTypeText>
                     <EventText>The SEC announced that civil action against Jordan H. Mintz, a former Enron Vice President and General Counsel of Enron's Global Finance group, and Rex R. Rogers, Enron's former Vice President and Associate General Counsel. On March 28, 2007, the Commission charged Mintz and Rogers with, among other things, participating in a fraudulent scheme not to disclose Enron's related-party transactions with partnerships controlled by its Chief Financial Officer, Andrew Fastow, and compensation Fastow had received through those transactions. As part of the alleged scheme, Rogers further failed to disclose Enron's related-party transactions involving insider stock sales by its Chairman, Kenneth Lay.</EventText>
                     <EventDate>2009-01-26</EventDate>
                     <EventSubTypeCode>ASC</EventSubTypeCode>
                     <EventSubTypeText>Associated with, Seen with</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>SEC</EventTypeCode>
                     <EventTypeText>SEC Violations (Insider Trading, Securities Fraud)</EventTypeText>
                     <EventText>The SEC filed a civil action against Lou L. Pai, the former Chairman and Chief Executive Officer of Enron Energy Services, alleging that Pai sold Enron stock in May and June 2001 on the basis of material, nonpublic information concerning Enron. The SEC's complaint alleges that shortly before his departure from Enron, between May 18, 2001 and June 7, 2001, Pai sold 338,897 shares of Enron stock and exercised stock options that resulted in the sale of 572,818 shares to the open market yielding millions of dollars in proceeds. Before making these sales, Pai learned from EES successor management that it had identified certain financial and operational problems and substantial contract-related losses at EES. Pai knew or should have known that he could not sell Enron stock without first disclosing such material, nonpublic information. By selling Enron stock without disclosing this information, Pai breached his fiduciary duty to Enron shareholders.</EventText>
                     <EventDate>2008-07-29</EventDate>
                     <EventSubTypeCode>ASC</EventSubTypeCode>
                     <EventSubTypeText>Associated with, Seen with</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>SEC</EventTypeCode>
                     <EventTypeText>SEC Violations (Insider Trading, Securities Fraud)</EventTypeText>
                     <EventText>The SEC filed a civil action against Lou L. Pai, the former Chairman and Chief Executive Officer of Enron Xcelerator, alleging that Pai sold Enron stock in May and June 2001 on the basis of material, nonpublic information concerning Enron. The SEC's complaint alleges that shortly before his departure from Enron, between May 18, 2001 and June 7, 2001, Pai sold 338,897 shares of Enron stock and exercised stock options that resulted in the sale of 572,818 shares to the open market yielding millions of dollars in proceeds. Before making these sales, Pai learned from EES successor management that it had identified certain financial and operational problems and substantial contract-related losses at EES. Pai knew or should have known that he could not sell Enron stock without first disclosing such material, nonpublic information. By selling Enron stock without disclosing this information, Pai breached his fiduciary duty to Enron shareholders.</EventText>
                     <EventDate>2008-07-29</EventDate>
                     <EventSubTypeCode>ASC</EventSubTypeCode>
                     <EventSubTypeText>Associated with, Seen with</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>SEC</EventTypeCode>
                     <EventTypeText>SEC Violations (Insider Trading, Securities Fraud)</EventTypeText>
                     <EventText>The SEC found that Enron Corp.'s senior executives engaged a wide-ranging scheme to defraud the investing public by materially overstating the company's earnings and cash flows, and concealing debt in periodic reports filed with the Commission, and the fraudulent scheme was carried out through a variety of complex structured transactions, related party transactions, misleading disclosures, and a widespread abuse of generally accepted accounting principles. In connection with this fraudulent scheme, several former Enron executives either pleaded guilty or were convicted of felonies, including Enron's former Chief Executive Officer, Chief Financial Officer, and Chief Accounting Officer.</EventText>
                     <EventDate>2008-01-28</EventDate>
                     <EventSubTypeCode>ASC</EventSubTypeCode>
                     <EventSubTypeText>Associated with, Seen with</EventSubTypeText>
                  </EventDetail>
                  <EventDetail>
                     <EventTypeCode>SEC</EventTypeCode>
                     <EventTypeText>SEC Violations (Insider Trading, Securities Fraud)</EventTypeText>
                     <EventText>The SEC issued an order instituting administrative proceedings, making findings, and imposing remedial sanctions against Jeffrey McMahon, former Chief Operating Officer and Chief Financial Officer of Enron Corp., alleging that McMahon participated in a fraudulent asset parking arrangement that allowed Enron to improperly record $12 million in earnings in the fourth quarter of 1999, and also alleging that McMahon, while serving as Enron's Treasurer from April 1998 until May 2000, made several false and misleading statements and omissions to the national credit rating agencies regarding the stability, predictability, and sources of Enron's cash flows.</EventText>
                     <EventDate>2007-07-18</EventDate>
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                  <EventDetail>
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                     <EventText>The SEC announced that the US District Court in Houston entered a final judgment in the Commission's civil action against Richard A. Causey, Enron's former Chief Accounting Officer. The Commission alleged that Causey, along with others, engaged in a wide-ranging scheme to manipulate Enron's publicly-reported earnings through a variety of devices designed to produce materially false and misleading financial results; Causey and others fraudulently manipulated Enron's merchant asset portfolio; improperly used "off-balance-sheet" special purpose entities; manipulated Enron's "business segment reporting" to conceal losses at Enron's retail energy business, Enron Energy Services; manipulated expenses to conceal losses at Enron's broadband unit, Enron Broadband Services; and manipulated reserves in Enron's wholesale energy trading business to conceal earnings volatility and losses.</EventText>
                     <EventDate>2007-02-09</EventDate>
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                  <EventDetail>
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                     <EventText>The SEC charged Mark E. Koenig, a former Executive Vice-President and Director of Investor Relations at Enron Corp., with violating the antifraud provisions of the federal securities laws. As alleged in the Complaint, Koenig participated in a scheme to defraud in violation of the federal securities laws when he disseminated, and approved the dissemination of, false and misleading information to the public about Enron's business in earnings releases and analyst calls; alleges that in his role as Executive Vice-President and Director of Investor Relations, Koenig was responsible for drafting and preparing portions of Enron's earnings releases and analyst call scripts; Koenig did not correct the false and misleading information provided to analysts and investors in the earnings releases and analyst calls, and affirmatively made false and misleading statements about these two businesses during the calls.</EventText>
                     <EventDate>2004-08-22</EventDate>
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                     <EventText>The SEC settled civil fraud charges filed against Kenneth D. Rice, former Chief Executive Officer of Enron Broadband Services. The complaint charged Rice and other executives from EBS with fraud and insider trading. As alleged in the Commission's complaint, Rice and other EBS executives engaged in a wide-ranging fraudulent scheme to, among other things, inflate the value of Enron stock through a series of false and misleading statements and the omission of material information in such public statements about the technology, financial condition, performance and value of EBS; the false and misleading statements by Rice and others were made in press releases over a two-year period as well as in presentations and statements made at Enron's annual analyst conferences; as a result of the false statements, Enron's stock price was artificially inflated.</EventText>
                     <EventDate>2004-07-30</EventDate>
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                     <EventText>The SEC initiated civil charges against Kenneth L. Lay, former Chairman and Chief Executive Officer of Enron Corp, for violating, and aiding and abetting violations of, the antifraud, periodic reporting, books and records, and internal controls provisions of the federal securities laws. The Commission filed a Second Amended Complaint seeking to add Lay to its pending action against Jeffrey K. Skilling, Enron's former President, CEO and Chief Operating Officer, and Richard A. Causey, Enron's former Chief Accounting Officer; alleges that Lay and others engaged in a wide-ranging scheme to defraud by falsifying Enron's publicly reported financial results and making false and misleading public representations about Enron's business performance and financial condition; alleges that Lay profited from the scheme to defraud by selling large amounts of Enron stock at prices that did not reflect its true value.</EventText>
                     <EventDate>2004-07-08</EventDate>
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                     <EventText>Andrew S. Fastow, the former chief financial officer (CFO) of Enron Corporation, has pleaded guilty to two counts of conspiracy to commit securities and wire fraud.</EventText>
                     <EventDate>2004-01-14</EventDate>
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                     <EventText>David W. Delainey, former chief executive officer of Enron North America and Enron Energy Services, has pleaded guilty to insider trading. Delainey pleaded guilty to a one-count indictment charging him with insider trading.</EventText>
                     <EventDate>2003-10-31</EventDate>
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                     <EventText>The SEC charged David W. Delainey, former Chief Executive Officer of Enron North America and Enron Energy Services, with violating the antifraud provisions of the federal securities laws. As alleged in the Complaint, Delainey, along with others at Enron, engaged in a wide-ranging scheme to manipulate Enron's publicly reported earnings through a variety of devices designed to produce materially false and misleading financial results; this scheme included, among other things, the manipulation of reserve accounts, concealment of losses, improper inflation of asset values and use of fraudulent devices designed to "hedge," or lock-in, inflated asset values, and use of improper accounting techniques to achieve earnings objectives and avoid large losses; alleges that Delainey, while in possession of material non-public information, namely, that Enron management was scheming to manipulate Enron's reported financial results.</EventText>
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                     <EventText>The SEC charged Wesley H. Colwell, former Chief Accounting Officer of Enron North America, with violating the antifraud provisions of the federal securities laws. As alleged in the Complaint, Colwell, along with others at Enron, engaged in a wide ranging scheme to defraud by manipulating Enron's publicly reported earnings through a variety of devices designed to produce materially false and misleading financial results; this scheme included the misuse of reserve accounts, concealment of losses, inflation of asset values, and deliberate use of improper accounting treatment for transactions; alleged that Colwell and others used reserve accounts within ENA to mask over $1 billion in losses associated with Enron's retail energy business, Enron Energy Services; further alleged that when Enron needed earnings in third quarter 2001, Colwell and others released from ENA reserve accounts over $200 million of previously deferred trading profits.</EventText>
                     <EventDate>2003-10-09</EventDate>
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                     <EventText>The SEC announced the filing of a subpoena enforcement action in the US District Court for the District of Columbia against Kenneth L. Lay, the former Chairman and Chief Executive Officer of Enron Corp. Lay has refused to produce documents lawfully subpoenaed by the Commission on the grounds that his act of producing certain documents responsive to the subpoena would violate his Fifth Amendment rights. The Commission alleges that Lay was Chairman and CEO of Enron during a period when certain fraudulent activities were carried out by Enron and its employees; Commission's investigation includes whether Lay had knowledge of, or was involved in, fraudulent activities at Enron; further alleges that documents in Lay's possession that are related to Enron, and generated during his tenure at Enron, are relevant to matters under investigation and within the scope of the Commission's investigative authority.</EventText>
                     <EventDate>2003-09-29</EventDate>
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                     <EventText>The SEC charged Kevin A. Howard, the former chief financial officer, and Michael W. Krautz, a former senior director of accounting, of Enron Broadband Services, with violating the antifraud, periodic reporting, books and records, and internal controls provisions of the federal securities laws. The Complaint alleges that defendants Howard and Krautz engaged in a scheme to overstate the reported earnings of Enron, and its EBS subsidiary, by $111 million during the fourth quarter of 2000 and the first quarter of 2001. The scheme, known as "Project Braveheart," involved a sham sale of certain assets to accelerate recognition of income from a long-term agreement to develop and provide video-on-demand services; they sought to sell an interest in the future revenues associated with this agreement for purposes of immediate income recognition; Project Braveheart was a sham from its inception: the transaction had no economic substance and was created solely for the purpose of generating income.</EventText>
                     <EventDate>2003-03-12</EventDate>
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                  <NonspecificParameterDetail>
                     <ParameterIdentificationNumber>URL</ParameterIdentificationNumber>
                     <ParameterValue>http://www.sec.gov/litigation/litreleases/lr18435.htm</ParameterValue>
                  </NonspecificParameterDetail>
                  <NonspecificParameterDetail>
                     <ParameterIdentificationNumber>URL</ParameterIdentificationNumber>
                     <ParameterValue>http://www.sec.gov/litigation/complaints/comp18435.pdf</ParameterValue>
                  </NonspecificParameterDetail>
                  <NonspecificParameterDetail>
                     <ParameterIdentificationNumber>URL</ParameterIdentificationNumber>
                     <ParameterValue>https://www.ftc.gov/enforcement/cases-proceedings/951-0037/phillips-petroleum-company-enron-corporation-matter</ParameterValue>
                  </NonspecificParameterDetail>
                  <NonspecificParameterDetail>
                     <ParameterIdentificationNumber>URL</ParameterIdentificationNumber>
                     <ParameterValue>https://www.ftc.gov/system/files/documents/cases/951229phillipscmpt.pdf</ParameterValue>
                  </NonspecificParameterDetail>
                  <NonspecificParameterDetail>
                     <ParameterIdentificationNumber>RID</ParameterIdentificationNumber>
                     <ParameterValue>R2682084</ParameterValue>
                  </NonspecificParameterDetail>
                  <NonspecificParameterDetail>
                     <ParameterIdentificationNumber>RGP</ParameterIdentificationNumber>
                     <ParameterValue>Enron Corporation, was sued for allegedly disguising its true financial position by engaging in asset and securities sales to closely related affiliates and interested parties. This audit/accounting fraud relating to Enron's Broadband Subsidiary led to its bankruptcy in December 2001. Commodity Futures Trading Commission charged Enron with price manipulation and other illegal acts. In 2005, Enron agreed to pay up to $1.52 billion to settle charges of market manipulation during the 2000 and 2001 energy crisis. CEO &amp; COO, Jeffrey Skilling was convicted for conspiracy, fraud &amp; insider trading and was sentenced to 24 years, 4 months in prison along with $45m fine.</ParameterValue>
                  </NonspecificParameterDetail>
                  <AlertEntitySystemID>5d7082b88815f29b5d3f3d53eb346cc4</AlertEntitySystemID>
                  <EntityURL>https://grid.rdc.com/wss/entity.html?entityId=5d7082b88815f29b5d3f3d53eb346cc4</EntityURL>
               </AlertEntity>
            </AlertDetail>
            <InquiryReferenceDetail>
               <CustomerReferenceText>test</CustomerReferenceText>
            </InquiryReferenceDetail>
         </SearchComplianceAlertsResponseDetail>
      </com:SearchComplianceAlertsResponse>
   </soapenv:Body>
</soapenv:Envelope>

Name	Characteristics
SearchComplianceAlertsResponse	Aggregate
SearchComplianceAlertsResponse. TransactionDetail	Aggregate, Required Records information necessary to process a particular request. Examples of a request is the ordering of a product.
SearchComplianceAlertsResponse. TransactionDetail. ApplicationTransactionID	Element, string, up to 64 chars., Optional A number assigned by the calling application to uniquely identify this request.
SearchComplianceAlertsResponse. TransactionDetail. ServiceTransactionID	Element, string, up to 64 chars., Required A number assigned by the D&B service to uniquely identify this transaction.
SearchComplianceAlertsResponse. TransactionDetail. TransactionTimestamp	Element, date, Required The date and time when this request was submitted or the date and time when the requesting intermediary, such as a workflow manager or service bus, sent the message to the D&B function, i.e.,the date and time when the xml document was created by the requesting intermediary.
End: SearchComplianceAlertsResponse. TransactionDetail	Aggregate
SearchComplianceAlertsResponse. TransactionResult	Aggregate, Required An aggregate that can repeat multiple times to record the different outcomes of the transaction.
SearchComplianceAlertsResponse. TransactionResult. SeverityText	Element, string, up to 16 chars., Required Text that records the criticality of the outcome, e.g., Information,Warning, Error, Fatal.
SearchComplianceAlertsResponse. TransactionResult. ResultID	Element, string, up to 32 chars., Required An alphanumeric string that uniquely identifies the outcome of the transaction.
SearchComplianceAlertsResponse. TransactionResult. ResultText	Element, string, up to 512 chars., Optional Text that explains the outcome of the transaction.
SearchComplianceAlertsResponse. TransactionResult. ResultMessage	Aggregate, Optional (Array) An aggregate that can repeat multiple times to record textual data that expands on the ResultID and ResultText to provide additional information to the user regarding the status of the transaction. If the status implies that there is a problem this may also provide guidance to the user on how to address it.
SearchComplianceAlertsResponse. TransactionResult. ResultMessage. ResultMessageID	Element, string, up to 30 chars., Optional An alphanumeric string that uniquely identifies the additional information regarding the outcome of the transaction.
SearchComplianceAlertsResponse. TransactionResult. ResultMessage. ResultDescription	Element, string, up to 512 chars., Required Text that describes the additional information regarding the outcome of the transaction.
SearchComplianceAlertsResponse. TransactionResult. ResultMessage. NonSpecificDataProviderText	Element, string, up to 30 chars., Optional Text that describes, in general terms, the source from which the Result Message data was originally obtained by D&B; e.g. Credit Bureau.
End: SearchComplianceAlertsResponse. TransactionResult. ResultMessage	Aggregate
End: SearchComplianceAlertsResponse. TransactionResult	Aggregate
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail	Aggregate, Optional
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail	Aggregate, Required Business Element: Inquiry Detail Records data that provides information about the inquired subject.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. SubjectName	Element, string, up to 100 chars., Required Business Element: Inquiry Subject Name Text that records the name of the inquired subject.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. SubjectTypeText	Element, string, Required Business Element: Inquiry Type Text Text describes whether the inquired subject is Person or Organization.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. Address	Aggregate, Optional Business Element: Inquiry Address Information Records the location information of the inquired subject.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. Address. StreetAddressLine	Aggregate, Optional Business Element: Inquiry Address Type An entry loop which allow the recording of address line contains one or more named address elements. Examples of named address elements are Street Name, Street Number, Building Name, Estate Name. When there are multiple lines the sequence of the lines must be preserved.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. Address. StreetAddressLine. LineText	Element, string, up to 60 chars., Required Business Element: Inquiry LineText Text that records the street address components as it would be presented on an address label. This includes, but is not limited to, details such as street name, street number, building name, estate name.
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. Address. StreetAddressLine	Aggregate
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. Address. PrimaryTownName	Element, string, up to 30 chars., Optional Business Element: Inquiry Town The name of the town or city recognized by the Postal Authority for delivering mail.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. Address. TerritoryName	Element, string, up to 50 chars., Optional Business Element: Inquiry Territory Name The name of the locally governed area which forms part of a centrally governed nation as received by D&B. Clarification Note: As a guiding principle this is a geographic area which could theoretically exist as a separate nation. In the U.S. this would be a State. In the UK this would be one of the Home Nations.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. Address. PostalCode	Element, string, up to 20 chars., Optional Business Element: Inquiry Postal Code An identifier used by the local country Postal Authority to identify a particular geographic location. For example, in Belgium, Postal Code 9000 identifies the town of GHENT.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. Address. CountryISOAlpha2Code	Element, Optional Business Element: Inquiry Country/Market Code The two-letter country/market code, defined in the ISO 3166-1 scheme published by International Organization for Standardization (ISO)identifying the country/market of the inquired Subject.
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. Address	Aggregate
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. BirthDate	Element, Optional Business Element: Inquiry Entity's BirthDate The date on which the person to be screened was born. Supported Formats : YYYY-MM-dd YYYY-MM YYYY
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. Age	Element, string, up to 3 chars., Optional Business Element: Inquiry Entity's Age Records the age of the person in years.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail. RemarksText	Element, string, up to 1000 chars., Optional Business Element: Inquiry Entity's Note Additional inquiry information that may be useful to RDC or Client during the false positive review process but does not fit in other defined fieldst.
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryDetail	Aggregate
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryID	Element, string, up to 64 chars., Optional Business Element: Inquiry ID Inquiry id of the entity.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail	Aggregate, Optional (Array) Records data about the AlertDetail of the entity.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertID	Element, string, up to 64 chars., Optional Business Element: Alert ID An alphanumeric value that identifies the specific Alert for the Inquired Entity.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertDate	Element, Optional Business Element: Alert Date A date specifying the date time information for the AlertDetail.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity	Aggregate, Optional (Array) Business Element: Alert Entity Information Records data about the entity generated for the inquired AlertDetail.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. MatchScore	Element, long, Optional Business Element: Match Score Match score of the inquired entity
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. RiskScore	Element, long, Optional Business Element: Risk Score Risk Score of the inquired entity.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. CVIP	Element, string, up to 1 chars., Optional Business Element: Risk Class Risk class of the inquired entity.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. AlertEntityID	Element, string, up to 64 chars., Required Business Element: Alert Entity ID An alphanumeric value that uniquely identifies the Vendor.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EntityTypeText	Element, Required Business Element: Entity Type Text describes whether the entity is Person or Organization.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EntityName	Element, string, up to 512 chars., Required Business Element: Entity Name Name associated with person or organization entity alert
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetail	Aggregate, Required Business Element: Reference Information Records the source details of the data which was originally obtained by D&B.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetail. SourceName	Element, string, up to 512 chars., Required Business Element: Source Name Text recording the name of the source from which the alert data was originally obtained.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetail. SourceTypeText	Element, string, up to 256 chars., Optional Business Element: Source Type Text denoting the category of the source; e.g., internet, publication,media.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetail. SourceListName	Element, string, up to 256 chars., Optional Business Element: Source List Name Text recording the name of the list from which the alert data was originally obtained; e.g., UK sanctions list, OFAC list.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetail. WebPageURL	Element, string, up to 1024 chars., Optional Business Element: Webpage URL Records the internet link of the publication content.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetail. PublicationDate	Element, date, Optional Business Element: Publication Date The date of publication.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetail. Headline	Element, string, up to 1024 chars., Optional Business Element: Source Headline Headline associated with the event
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetail. PublicationSource	Element, string, up to 256 chars., Optional Business Element: Source Publisher Publisher of the source data
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetail. PublisherName	Element, string, up to 256 chars., Optional Business Element: Publisher Name Name of the company or person that publishes products..
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetail	Aggregate
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail	Aggregate, Required (Array) Business Element: Alert Event Information An entry loop which can repeat multiple times to allow the recording of the details of the events in which the supplier is involved.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. EventTypeCode	Element, string, up to 64 chars., Optional Business Element: Event Type Code Text that describes the sub category of the event.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. EventTypeText	Element, string, up to 256 chars., Optional Business Element: Event Type Text Text that describes the category of the event.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. EventText	Element, string, up to 2000 chars., Optional Business Element: Event Text Free form text recording additional details about the event.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. EventDate	Element, date, Optional Business Element: Event Date The date when the event occured.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. EventSubTypeCode	Element, string, up to 64 chars., Optional Business Element: Event SubType Code Text that describes the sub category of the event.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. EventSubTypeText	Element, string, up to 256 chars., Optional Business Element: Event SubType Text Text that describes the sub category of the event.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. ReferenceDetail	Aggregate, Optional (Array) Business Element: Alert Event Reference Information Records source Information for the associated EventDetail.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. ReferenceDetail. SourceName	Element, string, up to 512 chars., Required Business Element: Source Name Text recording the name of the source from which the alert data was originally obtained.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. ReferenceDetail. SourceTypeText	Element, string, up to 256 chars., Optional Business Element: Source Type Text denoting the category of the source; e.g., internet, publication, media.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. ReferenceDetail. SourceListName	Element, string, up to 256 chars., Optional Business Element: List Name of Source Text recording the name of the list from which the alert data was originally obtained; e.g., UK sanctions list, OFAC list.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. ReferenceDetail. WebPageURL	Element, string, up to 1024 chars., Optional Business Element: Webpage URL Records the internet link of the publication content.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. ReferenceDetail. PublicationDate	Element, date, Optional Business Element: Publication Date The date of publication.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. ReferenceDetail. Headline	Element, string, up to 1024 chars., Optional Business Element: Source Headline Headline associated with the event
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. ReferenceDetail. PublicationSource	Element, string, up to 256 chars., Optional Business Element: Source Publisher Publisher of the source data
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. ReferenceDetail. PublisherName	Element, string, up to 256 chars., Optional Business Element: Publisher Name Name of the company or person that publishes products..
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail. ReferenceDetail	Aggregate
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EventDetail	Aggregate
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Alias	Aggregate, Optional (Array) Business Element: Alert Entity Alias Information Records Alias Information for the associated entity or person.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Alias. AliasType	Element, string, up to 64 chars., Required Business Element: Alias Type Type of alias associated with the entity or person
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Alias. AliasName	Element, string, up to 256 chars., Required Business Element: Alias Name Name of the alias associated with the entity or person
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Alias	Aggregate
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Address	Aggregate, Optional (Array) Business Element: Address Information Records the location details of the supplier.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Address. AddressType	Element, string, up to 64 chars., Optional Business Element: Address Type Address type of the inquired entity
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Address. StreetAddressLine	Aggregate, Optional (Array) Business Element: Alert Entity Address Information An entry loop which can repeat multiple times to allow the recording of several lines where each address line contains one or more named address elements. Examples of named address elements are Street Name, Street Number, Building Name, Estate Name. They are called “lines” because an addres can be divided into multiple lines. When there are multiple lines the sequence of the lines must be preserved.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Address. StreetAddressLine. LineText	Element, string, up to 60 chars., Required Business Element: Address Line Text that records the street address components as it would be presented on an address label. This includes, but is not limited to, details such as street name, street number, building name, estate name.
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Address. StreetAddressLine	Aggregate
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Address. PrimaryTownName	Element, string, up to 64 chars., Optional Business Element: Postal Town The name of the town or city recognized by the Postal Authority for delivering mail.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Address. TerritoryName	Element, string, up to 64 chars., Optional Business Element: Territory Name The name of the locally governed area which forms part of a centrally governed nation as received by D&B. Clarification Note: As a guiding principle this is a geographic area which could theoretically exist as a separate nation. In the U.S. this would be a State. In the UK this would be one of the Home Nations.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Address. PostalCode	Element, string, up to 64 chars., Optional Business Element: Postal Code An identifier used by the local country Postal Authority to identify a particular geographic location. For example, in Belgium, Postal Code 9000 identifies the town of GHENT.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Address. CountryISOAlpha2Code	Element, string, up to 2 chars., Required Business Element: Country/Market Code The two-letter country/market code, defined in the ISO 3166-1 scheme published by International Organization for Standardization (ISO), identifying the country/market for this address.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Address. FromDate	Element, date, Optional Business Element: From Date starting date of inquired entity's address
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Address. ToDate	Element, date, Optional Business Element: To Date ending date of inquired entity's address
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Address	Aggregate
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. PersonalDetail	Aggregate, Optional Business Element: Personal Information Records the personal information about the individual.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. PersonalDetail. BirthDate	Element, String, Optional (Array) Business Element: Birth Date The date when the individual was born.
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. PersonalDetail	Aggregate
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. NonspecificParameterDetail	Aggregate, Optional (Array) An entry loop which can repeat multiple times to allow the recording of supplier information, which cannot be classified into distinct sections, as key value pairs.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. NonspecificParameterDetail. ParameterIdentificationNumber	Element, string, up to 64 chars., Required Business Element: Identification Number An unique identification number that is used to uniquely identify the Parameter Detail
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. NonspecificParameterDetail. ParameterDescription	Element, string, up to 1024 chars., Optional Business Element: Parameter Description Text that identifies the data in ParameterValue.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. NonspecificParameterDetail. ParameterValue	Element, string, up to 2500 chars., Required Business Element: Parameter Value Text that records a fact being communicated in the decisioning process and identified by the ParameterDescription.
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. NonspecificParameterDetail	Aggregate
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. AlertNote	Element, string, up to 1024 chars., Optional Business Element: Alert Note Alert Note for the inquired entity
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. AlertEntitySystemID	Element, string, up to 64 chars., Optional Business Element: Alert Entity System Id ID needed to call the OrderProductRequest for getting the Entity Details in PDF / XML format
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. EntityURL	Element, string, up to 1024 chars., Optional Business Element: Entity URL URL of the inquired entity
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetails	Aggregate, Optional Business Element: Previous Reference Information
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetails. ReferenceDetail	Aggregate, Optional (Array)
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetails. ReferenceDetail. SourceName	Element, string, up to 512 chars., Required Business Element: Source Name Text recording the name of the source from which the alert data was originally obtained.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetails. ReferenceDetail. SourceTypeText	Element, string, up to 256 chars., Optional Business Element: Source Type Text denoting the category of the source; e.g., internet, publication, media.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetails. ReferenceDetail. SourceListName	Element, string, up to 256 chars., Optional Business Element: List Name of Source Text recording the name of the list from which the alert data was originally obtained; e.g., UK sanctions list, OFAC list.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetails. ReferenceDetail. WebPageURL	Element, string, up to 1024 chars., Optional Business Element: Webpage URL Records the internet link of the publication content.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetails. ReferenceDetail. PublicationDate	Element, date, Optional Business Element: Publication Date The date of publication.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetails. ReferenceDetail. Headline	Element, string, up to 1024 chars., Optional Business Element: Source Headline Headline associated with the event
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetails. ReferenceDetail. PublicationSource	Element, string, up to 256 chars., Optional Business Element: Source Publisher Publisher of the source data
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetails. ReferenceDetail. PublisherName	Element, string, up to 256 chars., Optional Business Element: Publisher Name Name of the company or person that publishes products..
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetails. ReferenceDetail	Aggregate
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. ReferenceDetails	Aggregate
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Positions	Aggregate, Optional Business Element: Entity Position
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Positions. Position	Element, string, up to 512 chars., Optional (Array) Business Element: Position Name Position of the inquired entity
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Positions	Aggregate, Business Element: Entity Relationships
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Relationships	Aggregate, Optional (Array) Business Element: Relationship Information Relationships of the inquired enity
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Relationships. RelationshipDirection	Element, string, up to 64 chars., Optional Business Element: Relationship direction Direction of the relationship
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Relationships. RelationshipType	Element, string, up to 64 chars., Optional Business Element: Relationship Type Type of the relationship
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Relationships. AlertEntitySystemID	Element, string, up to 64 chars., Optional Business Element: Relationship Alert Entity ID Alert system id of the relationship
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Relationships. EntityName	Element, string, up to 512 chars., Optional Business Element: Relation Entity Name Related entity name.
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity. Relationships	Aggregate
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail. AlertEntity	Aggregate
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. AlertDetail	Aggregate
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryReferenceDetail	Aggregate, Optional Business Element: Inquiry Reference Detail Records data that allows the customer to specify information to be linked to this request in order to support subsequent searches.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryReferenceDetail. CustomerReferenceText	Element, string, up to 240 chars., Optional(Up to 5x) Business Element: Customer Reference Text A freeform reference string provided by the customer to be linked to the product in order to support subsequent order reconciliation.
SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryReferenceDetail. CustomerBillingEndorsementText	Element, string, at least 1 chars. up to 240 chars., Optional Business Element: Customer Billing Endorsement Text Text that is filled in by customer and commonly contains requesting individual or department name, or customer's own account/reference number and/or name for the case on which the product was provided. This text is a reference used during the billing process.
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail. InquiryReferenceDetail	Aggregate
End: SearchComplianceAlertsResponse. SearchComplianceAlertsResponseDetail	Aggregate
End: SearchComplianceAlertsResponse	Aggregate

Response Codes & Error Handling

Successful service requests will return a CM000 response code in the TransactionResult ResultID field.

When there is No match returned during screening, Services will return CM018 response code.

Operation-specific supplemental response code explanations:

CM000

Information Success.

CM002

The format of this request is invalid.

CM004

Internal D&B system error. Please try again or contact your local Customer Service Center.

CM005

D&B System temporarily unavailable. Please try again or contact your local Customer Service Center.

CM018

No candidates resulted for the given input criteria.

PD020

No Match found during screening.

PD021

Potential Match found during screening; Review required.

PD022

Request accepted for the Portfolio Monitoring.

PD023

Ready to Review.

PD024

Analyst Review in progress, outcome will need to be reviewed in Application.

SC001

Your user credentials are invalid. Please contact your D&B Representative or your local Customer Service Center.

SC002

Your user credentials are not eligible for this request. Please contact your D&B Representative or your local Customer Service Center.

SC003

Your user credentials have expired. Please contact your D&B Representative or your local Customer Service Center.

SC004

Your Subscriber number has expired. Please contact your D&B Representative or your local Customer Service Center.

SC005

You have reached maximum limit permitted as per the contract. Please contact your D&B representative or your local Customer Service Center.

SC006

Transaction not processed as the permitted concurrency limit was exceeded.

SC007

Subscriber validation failed. Please contact your D&B Representative or your local Customer Service Center.

SC008

You have repeatedly attempted to login with an incorrect User ID or Password. For security purposes, the account has been locked out. Please contact your D&B Representative or your local Customer Service Center.

Your account has been locked out due to repeated attempts to login with an incorrect User ID/Password. Please contact your D&B Representative or your local Customer Service Center.

SC009

Invalid Sign On Token in the request. Please contact your D&B Representative or your local Customer Service Center.

SC013

Security error while connecting to Partner system.

What to do Next

Compliance Entity View & Detail

Loading

Search Compliance Alerts

Product Request

Overview

Global Availability

Data Layer Entitlement

Specification

Endpoint

Testing

Product Response

Specification

Response Codes & Error Handling

What to do Next