Checking Sanctions List and PEP Lists in SAP

A structured Compliance Management not only supports you in complying with legal regulations, it also helps you optimize internal processes.

Your needs

  • Complying with legal requirement for sanction lists checks
  • Integration with your SAP system
  • Ensuring trouble-free export control
  • Daily updated international sanctions lists
  • Use of international PEP lists
  • Import of own sanction lists
  • Company code-specific settings for various legal areas
  • Documenting file processing and creation
  • Checking existing master data
  • Transparent processing status with check folder
  • Email notification of the persons involved
  • Automatic locking
  • Checking of external files (SV)
  • Connection to external systems (CMS, SRM)

Our solution

Marlin Compliance Screening (MCS) is a SAP add-on for comparing persons and companies with sanction lists of all kinds – whether boycotts, fraud, terrorists or PEP lists (politically exposed persons). The software addresses the operative process and can monitor master data during creation and maintenance as well as various stock data: customer and vendor stock data, HR master data, in the central business partner and in the company’s bank master data. In addition, relevant transaction data – for example a different goods or services recipient entered manually – is also checked against the sanction lists. The reconciliation also takes place for manually entered, deviating ship-to parties or CPD accounts.

For a company group to be able to meet the different legal requirements of the countries, these are mapped by customizing. You can assign European company codes to other lists – such as American company codes – and responsible employees.

If a match with a list is found, the responsible persons of the respective legal area of a company will automatically receive a notification. Depending on the settings, the Compliance Management System sets various locks and informs the user via a message. The findings monitor qualifies the hits and processes them further. All steps are documented in a file in a traceable manner. Non-SAP systems can be connected to the screening process via a web service. Master data can also be uploaded as CSV files, checked and documented.

With the add-on Marlin Content (MCT), we determine the national and international parent company for a master record and also compare this with lists.

Compliance Management – Features

  • dialog check when creating and editing master data
  • check the objects customer, vendor, contact person, business partner, personnel master record
  • check during creation of relevant transaction data in master data and material master
  • checking the existing stock data
  • delta check upon changed lists
  • checking external CSV files
  • linking to further systems via a web service
  • illustration of different legal fields such as for USA, Europe, China
  • creation of a file for each compliance case
  • e-mail notification of the person in charge
  • company code-specific customizing
  • automated setting and controlling of locks
  • adding notes and documents
  • creation of a reference file for sending
  • editing monitor
  • audit-proof and SOX-compliant document management
  • review of Good Guy and Bad Guy lists
  • import of international sanctions lists
  • import of PEP lists (Politically Exposed Persons)
  • import of own lists
  • creating a personal blacklist
  • language-independent testing technology
  • e-mail notification of the persons involved
  • interface to the MCT product for auditing parent companies
  • runs on SAP® S/4HANA and/or SAP® ERP ECC 6.0

Legal Basis

With its regulations 2580/2001 and 881/2002, the European Union prohibits the providing of assets and services to terrorist organizations and individuals nationally and internationally. In accordance with articles 13 and 14 section 2 of the German Criminal Code (StGB), management is obliged to take organizational countermeasures. Pursuant to article §17 sections 1 to 7 of the German Foreign Trade and Payments Law (AWG), transactions involving sanctioned persons and institutions are punishable by law. This prohibits not only corresponding deliveries of goods but also business contacts of this kind. The US authorities Bureau for Industry and Security (BIS) and Office for Foreign Assets Controls (OFAC) have likewise adopted regulations that apply also to non-US companies.

Entry-level licenseMCS – one productive SAP system with up to 25,000 master data
One-time license5,000 EUR
Maintenance/year1,000 EUR
Implementation4,000 EUR (excluding workshop and travel expenses)

References of ISO Professional Services

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