THOMSON REUTERS WORLD-CHECK ONE

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THOMSON REUTERS WORLD-CHECK ONE CLIENT ADMINISTRATOR GETTING STARTED GUIDE INTRODUCTION This is the Client Administrator for selected users of Thomson Reuters clients, selected for the roles of

is a highly scalable solution built for single users or large teams to support a highly targeted approach for screening during KYC on-boarding, ongoing monitoring, and rescreening cycles.

It is part of Thomson Reuters, the unified platform built to meet the needs of the governance, risk and compliance community.

1 THOMSON REUTERS WORLD-CHECK ONE CLIENT ADMINISTRATOR GETTING STARTED GUIDE INTRODUCTION This is the Client Administrator for selected users of Thomson Reuters clients, selected for the roles of Client Administrators (Client_Admin). is a highly scalable solution built for single users or large teams to support a highly targeted approach for screening during KYC on-boarding, ongoing monitoring, and rescreening cycles. It makes remediation quicker and more intelligent and is adaptable to meet changes in regulation. It is part of Thomson Reuters, the unified platform built to meet the needs of the governance, risk and compliance community. This guide will walk you through simple steps to take advantage of in a simple and concise way. Client Administrator tasks: WORLD-CHECK ONE ADMINISTRATORS There are three types of administrator roles in the system: 1. TRAdmin: Users with this role are Thomson Reuters Professional Services personnel and they are the only users allowed to create new Client records. 2. Client_Admin: Users with this role belong to the Client organization (i.e. no Thomson Reuters personnel). Client_Admin users can maintain the client and primary group as well as create child groups, users, roles etc. for the particular client. 3. Group_Admin: Users with this role belong to the Client organization (i.e. no Thomson Reuters personnel). Group_Admin users can maintain the group they administer as well as create child groups, users, etc. for the particular group. This guide concentrates on Role 2.

2 HOW TO LOGIN TO WORLD-CHECK ONE As a Client Administrator you will receive a notification by Thomson Reuters containing the url to access World- Check One as well as a registration key to create your OnePass profile. OnePass allows you to log on to multiple Thomson Reuters applications and websites with a single username and password. You choose your own username and password; if you forget your password, you can reset it yourself. As a Client Administrator you can create Groups and Users. In particular for creating Users, by using name and address. If given One Pass login, the user can access by creating an OnePass profile, or if they have already registered their profile on OnePass, by updating their existing profile with the new registration key. 2

CLIENT AND PRIMARY GROUP RECORD When you log into you will land on the Client Summary page. The client record has already been created for you with a standardised set of defaults.

3 CLIENT AND PRIMARY GROUP RECORD When you log into you will land on the Client Summary page. The client record has already been created for you with a standardised set of defaults. The Primary Group is the highest parent group in the hierarchy and it is automatically created when a Client record is added. It contains the default settings that you would like to use across the different child groups, however each individual child group can be customized as needed/wanted regardless of the inherited defaults. The standardised settings will enable your organization to start using with no further changes, however please review and make any change that would be appropriate for your organization. 3

BATCH SCREENING OPTIONAL The Features tab at any Group summary page displays the Batch Screening settings: You can toggle ON/OFF batch screening at Group level depending on your

Click Add Batch Names to display the Batch Names section: Enter a Batch Name, for example Credit Cards, Retail, Brokerage, etc.

4 BATCH SCREENING OPTIONAL The Features tab at any Group summary page displays the Batch Screening settings: You can toggle ON/OFF batch screening at Group level depending on your organisations requirements: If you are using Batch Screening, you must Add Batch Names. Click Add Batch Names to display the Batch Names section: Enter a Batch Name, for example Credit Cards, Retail, Brokerage, etc. The Show check box is ticked by default, click to remove tick if you don t want the batch name to be shown, but would like to create it for later use (will be displayed in Hidden tab) Click Save to save the batch name. The following message will be displayed: You can add more batch names depending on your requirements. 4

5 WORLD-CHECK SETTINGS OPTIONAL Groups Settings World-Check is ON by default. The option Auto-Include data-sources is ON by default. Subscription details: it is set by the Thomson Reuters Administrators based on your client subscription Details (Standard, Premium or Premium Plus; please note: some of the settings below area available to Premium and Premium Plus subscription only) Minimum Score Threshold Minimum score threshold allows you to control the result set returned by the matching engine. The Default is set from Fuzzy to Exact. You can edit the default minimum score threshold for your Primary Group, which will override the initial settings inherited from World-Check settings. Sources All Sources are turned ON by default. Iranian Economic Interest Data (IEI) will be turned ON if you have subscribed to it. 5

CUSTOM FIELDS OPTIONAL Custom Field Configuration Custom fields are optional and each client can label them as deemed appropriate

Custom fields are information only fields that could be used to capture reference information when screening a name.

Note If your organization was using Screening Online, then there will be two customs fields pre-defined for you, carried over from

6 CUSTOM FIELDS OPTIONAL Custom Field Configuration Custom fields are optional and each client can label them as deemed appropriate by typing the label in the entry field. Custom fields are information only fields that could be used to capture reference information when screening a name. There are no default custom fields pre-defined in the system. They are an optional set-up. Note If your organization was using Screening Online, then there will be two customs fields pre-defined for you, carried over from Screening Online. Daily Schedule It is set by default to be 10:00 GMT. RESOLUTION TOOLKIT CONFIGURATION OPTIONAL The Resolution Toolkit Configuration allows you to specify Statuses, Risks and Reasons valid values as these will be displayed to a user resolving matches. 6

7 Reasons The following Reasons are pre-defined on the page: 1. Full match 2. Partial match 3. No Match 4. Unknown Resolution States The following Resolution States, Risk and Reasons are pre-defined: STATUS MANDATORY NOTES RISK REASONS POSITIVE No HIGH, MEDIUM, LOW Full Match POSSIBLE No HIGH, MEDIUM, LOW, UNKNOWN Partial Match FALSE No UNKNOWN No Match UNSPECIFIED No UNKNOWN Unknown If you want to make any changes, please access the Resolution Toolkit Configuration on the Admin page and click Edit next to the option. AUTO-RESOLUTION SETTINGS OPTIONAL Authorised users can set rules for the matching engine so that the system will auto resolve false positives returned when a User screens Individual, Organizations or Vessels. The system allows also excluding those potential false positives entirely from the screening results. There are no pre-configured settings for the Auto-Resolution rules using Secondary Matching fields. 7

CREATE GROUPS Note If you are migrating from Screening Online, the existing Group(s) will be created for you, so you only have to review and check if current settings are the ones applicable for your

It is a suggested best practice not using directly the Primary Group, but creating at least one parent group in case in the future you need to assign new parent groups immediately under the Primary

8 CREATE GROUPS Note If you are migrating from Screening Online, the existing Group(s) will be created for you, so you only have to review and check if current settings are the ones applicable for your organization. You only need to create one Group as a child of the Primary Group that would inherit all settings by the Primary Group. It is a suggested best practice not using directly the Primary Group, but creating at least one parent group in case in the future you need to assign new parent groups immediately under the Primary Group. In order to create a Parent Group directly under the Primary group, On the Admin page select Groups, then select the Primary Group, then click New Group: On the Create New Group page you have to enter a Group Name and the Compliance Leader name and address. The default search for the group is Classic (i.e. Initial & Ongoing screening). Then click Create Group. Optional: If your organizational hierarchy is more complex (i.e. there are multiple divisions, with sub-divisions that you would like to mirror into the group structure) then you will only create the Parent Groups and assign those groups to Groups Administrators that would then manage the subgroups within their assigned group structure. You will need to: Create the Parent Groups Create the Group Administrator Users and assign them to the appropriate Parent Group(s) 8

Notify the Group Admin by communicating them their registration key and how to access so that they can register in OnePass and login into ROLES - OPTIONAL The following Roles are pre-defined in the

9 Notify the Group Admin by communicating them their registration key and how to access so that they can register in OnePass and login into ROLES - OPTIONAL The following Roles are pre-defined in the system: CLIENT_ADMIN: this is the Client Administrator and permissions cannot be changed within this role GROUP_ADMIN: this is the Group Administrator and permissions cannot be changed with in this role Case Manager: this is a custom pre-defined role that includes all permissions related to screening/maintaining a case Note You can either change the Case Manager Role by removing permissions or you could create your own custom roles. 9

USERS As a Client Administrator, you are automatically assigned all permissions of a Group Administrator for all the child groups within your Client/Primary Group.

you exceed your user limit, the following prompt message is displayed: Contact your Sales Representative for further help or alternatively email grc.wc.support@thomsonreuters.com.

10 USERS As a Client Administrator, you are automatically assigned all permissions of a Group Administrator for all the child groups within your Client/Primary Group. If you would like or need to create Group Administrator Users and assign to them the creation and maintenance of further child groups, then access Users in the Admin Page and click New User: Note If you exceed your user limit, the following prompt message is displayed: Contact your Sales Representative for further help or alternatively grc.wc.support@thomsonreuters.com. On the New User Page enter First Name, last Name and address of the User and on the Unassigned Role list select GROUP_ADMIN by clicking on it. Then Select what Group the User will be administering by clicking on the Group Name under GROUPS: Note You can also assign other roles to the Group Administrator as needed/wanted or the Group Administrator can assign herself/himself other roles directly if appropriate. 10

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THOMSON REUTERS WORLD-CHECK ONE

THOMSON REUTERS WORLD-CHECK ONE GROUP ADMINISTRATOR GETTING STARTED GUIDE INTRODUCTION This is the Group Administrator Getting Started Guide for selected users of Thomson Reuters clients, selected for