Compliance Report
D&B Compliance Reports contain the freshest, most up-to-date D&B information from D&B’s global database. D&B Compliance Reports present compliance professionals with the information required to efficiently and thoroughly conduct customer due diligence procedures.
D&B Compliance Reports provide essential reference information to support the compliance with key regulations such as Know Your Customer (KYC), the 3rd EU Money Laundering Directive, and FCPA. The information will support verification and identification of a business and the people associated with the business, as well as, screen the entities against Watch Lists and information on Politically Exposed Persons (PEPs).
From the D&B Compliance Report it is possible to explore a corporate structure through the Global Family Tree, investigate other businesses within that corporate structure, and view the corresponding reports alongside that of the target company. You can view filing history.Snapshot reports or PDFs of reports can be saved and reviewed through the D&B Onboard system. You can also show any notes or references saved under the same D-U-N-S Number.
Data Provided Within a Compliance Report
The Compliance report within D&B Onboard is known as an Electronic Compliance File (ECF). There are 11 markets for which we can deliver ECF reports. An HTML format file is returned for companies in markets for which D&B cannot provide an ECF. The principles and trade styles shown in this report can also be used to gain even deeper knowledge of the business using Enhanced Screening and RDC (Regulatory DataCorp, Inc.).
The contents of the ECF report is displayed via a series of tabs
| Tabs on the ECF Report |
|---|
Summary The first section of the summary page is an identification section verifying D-U-N-S Number, registered address, registration number (if applicable) and a trading name. This section also shows whether or not the business is active, your order reference and the date on which the report was ordered. Following this, an operational summary confirms identification data in greater detail. The Summary section also contains a full Compliance Summary, Principals/Directors overview and their current positions, Financials Overview, Ownership Summary, and Public Filings Summary. |
Provides an executive summary and information on the business history, financials, scores, supplier risk, etc. |
Help you to understand relationships within a corporate structure. |
Compliance Please see help section on Know Your Customer data within a Compliance report. |
Ownership Expanded corporate linkage allows you to more easily view and assess risk across different parts of an |
Web Search This will display up to ten Google search results relating to the search criteria entered. |
This section contains details of where D&B data is procured from, how information is gathered and when it is updated, based on the country in which the entity is located. Other sources may also have been used and our providers are subject to change.For more information, click on Sources Tab within online Help. |
Provides contact information for customer support. |
Clicking on this link will display any previously taken snapshots on the target company. From here you can review the snapshot or order a live report. |
Compliance Report Summary
The compliance report summary contains full identification data, a summary of the directors, an overview of the financials, details of corporate linkage and any public filings. The Onboard compliance report summary also contains a full compliance summary. The Ordered From section of the compliance report summary shows the match criteria, the report selected, where it was ordered from, and the report delivered.
The following table lists the information found in the Compliance Report Summary:
| Information Included in the Compliance Report Summary |
|---|
Operational Summary Company name |
Compliance Summary List of registered directors/principals includes full name and position. |
Financial Overview Shows latest accounts date and currency in which accounts are shown plus a % change versus prior year. |
Ownership Summary Immediate Parent |
The following is an example of the Compliance Report Summary:
Audit Trail
To help you to understand why a certain report has been delivered, D&B Onboard provides an audit trail in Compliance Summary report detailing the business on which you searched, the business selected, and the report delivered. It could be that you have searched for a business and then selected a report but that the report delivered differs in name to that which you selected; the report selected could be a branch location of a larger business. The Onboard audit trail helps you to understand this relationship.
Know Your Customer (KYC) Data
D&B Onboard combines D&B’s Know Your Customer (KYC) data with D&B’s trusted scores and ratings. The Know Your Customer data is found within the Compliance tab of the D&B Onboard Compliance report.
It provides:
- Sanctions List checks against country, company, and principals
- Regulatory/supervisory information
- Active company or not
- Parent company owned
- Stock Exchange details (Stock listed? Ticker available?)
- Financial Summary containing Statement Date, Sales Turnover, Total Assets, Net Worth
The following is an example of the Know Your Customer section of the Compliance Report:
In addition to this KYC data you can also order Global Family Tree reports to show linkage across an entire corporate group structure.
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