A BrokerPlus screening pulls from three broad categories of sources. Understanding what's being checked helps you explain to clients (and regulators) what your due diligence actually looks like.
Sanctions And Watchlists
Every screening hits global sanctions regimes and law-enforcement / regulatory watchlists. This includes:
- OFAC (US Office of Foreign Assets Control).
- UN Security Council Consolidated List.
- EU Consolidated List.
- UK HMT (HM Treasury) sanctions.
- Canadian sanctions regimes (Special Economic Measures Act, Justice for Victims of Corrupt Foreign Officials Act).
- Major regulatory and law-enforcement watchlists.
A hit on a sanctions list is a serious event - it triggers the Sanctions Incidents flow and requires admin handling.
PEP Databases
We check the client against Politically Exposed Persons databases, including:
- Heads of state (current and former).
- Senior government officials.
- Senior judges, military, and central bankers.
- Senior executives of state-owned companies.
- Heads of international organizations (HIOs).
- Family members and close associates of all of the above.
PEPs aren't blocked from doing business with you, but they require enhanced due diligence (EDD). See Managing EDD Cases.
Adverse Media
We scan negative news coverage tied to financial crime, fraud, corruption, money laundering, and related categories. This catches people who haven't been convicted (or sanctioned) but show up in credible reporting linked to high-risk activity.
Adverse media hits don't automatically trigger an incident - they show up as Attention results that you evaluate.
Standard Vs Extensive
We run two screening tiers:
- Standard - used for low and medium risk clients. Covers the core sanctions lists, PEP databases, and most adverse media sources.
- Extensive - used automatically for high-risk clients. Adds:
- Broader adverse media coverage (more sources, longer historical window).
- Additional regulatory and law-enforcement databases.
- Tighter fuzzy-match thresholds.
You don't pick the tier - it's auto-selected based on the risk rating checklist you fill in.
How We Stay Current
Our screening source data is updated continuously by our screening provider. Every screening you run uses the most current data available at that moment.
What To Do Next
- See how scheduled re-screenings work: Re-Screening Frequency.
- If a screening hits a sanctions list: Sanctions Incidents.