Warning lists include individuals, legal entities, and vessels issued by relevant law enforcement or regulatory bodies. Entities on such lists are involved in law-breaking activities at an international level or within specific jurisdictions, are under investigation, or have been found guilty of regulatory breaches in their operating industry. These entities may pose significant financial, compliance, or reputational risks.
Key characteristics
- Law-breaking activities: Entities listed have been involved in activities that violate laws at an international level or within specific jurisdictions.
- Regulatory breaches: These entities have been investigated or found guilty of breaching regulations in their operating industry.
- Risk indication: Inclusion on a warning list suggests a significant potential for financial, compliance, or reputational risk.
Difference from sanctions
Unlike sanctions, warnings are not used as diplomatic or governmental tools to achieve foreign policy objectives or to influence the decisions of state and non-state actors that threaten national interests or violate international norms.
Usage of warning lists
Warning lists are crucial in making informed business decisions. They help determine whether to engage in business relationships with potential customers, counterparties, and suppliers. Additionally, they can be used when making payments to assess whether a transaction may be involved in financial crimes such as money laundering or insider trading.
ComplyAdvantage warning list intelligence
ComplyAdvantage provides comprehensive intelligence on warning lists, including data from regional, national, and international sources. This information is invaluable for businesses looking to mitigate risks and ensure compliance with regulatory standards.
By utilizing ComplyAdvantage’s warning lists, businesses can enhance their due diligence processes, safeguard their operations, and maintain their reputation in the market.
To access the warnings lists covered by ComplyAdvantage, visit and follow Data Updates. You will then be notified each time the lists are updated.