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Sanctions screening

Checking customers, counterparties and payments against government sanctions lists, blocking or rejecting prohibited transactions and reporting them to the relevant authority.

In the US the primary list is the Specially Designated Nationals list maintained by ofac, supplemented by sectoral and country-based programs. The UK, EU and UN maintain their own, and firms typically screen against several.

Liability is strict. There is no intent requirement, and penalties apply even where a payment was processed by mistake through fuzzy name matching failure. That is why screening produces heavy false positive volumes and manual review queues.

Consequences for a matched transaction differ: blocking freezes funds in a segregated account, while rejection returns them. Both are reportable, and the customer generally cannot have the money back without a licence.

Related: ofac, politically-exposed-person, travel-rule, enhanced-due-diligence, anti-money-laundering

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