deviations, inventory
Strategic – techniques, industry, financial instrument, offense, occupation,
geography etc. Types of Analysis
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Prioritizing and Targeting Suspicious Transaction Reports FIU Approach
Содержание
- 1. Prioritizing and Targeting Suspicious Transaction Reports FIU Approach
- 2. STR Targeting ProcessSelect TargetsNo Targets IdentifiedTargets Rejected
- 3. Data mining – information enrichmentOperational – tactical
- 4. Most STR activities contain insufficient details to
- 5. STR Structural Requirements The report must be structured to enable automated filtering and evaluation.
- 6. STR Parts include information on the:Reporting Institution
- 7. STR Elements (Fields)
- 8. STR Elements (Fields) Continued
- 9. STR Elements (Fields) Continued
- 10. STR Elements (Fields) Continued
- 11. STR Elements (Fields) Continued
- 12. FIU Information FlowDISSEMINATIONREPORTING ANALYSISBanksSecuritiesDealersInsurersCasinosAccountantsLawyersOther PersonsSuspiciousTransactionReportsCash Transaction
- 13. Each received report must be audited by
- 14. FIUs should establish a screening process when
- 15. Scoring of Face Value of Data (Keywords,
- 16. Basic Rules for Screening Incoming STR
- 17. STR review based on “face value” [e.g.,
- 18. A “cluster” is defined as
- 19. Database of Accounts and Linked Physical Persons= account= physical person
- 20. First Level Links
- 21. 32154Second Level Links: Identification of Cluster
- 22. 32541Cluster Identification
- 23. 7321564Cluster Building - Third Level Links
- 24. 3215476
- 25. 321547$1,000,0006$1,000,000
- 26. Ms. PinkMr. GreenMeasuring Proximity of Mr. Blue and Ms. PinkWeighing RelationshipsABC INC.Mr. Blue132
- 27. MarriedShareholderMr. BlueCEOSiblingsShareholderMs. PinkMr. GreenABC INC.
- 28. 124334567
- 29. 1 Mr. Blue is Ms.
- 30. 3 Ms. Pink owns ABC INC equals
- 31. CEO 0.3 SHAREHOLDER = 0.9Mr.BlueMs.PinkProximity (3) 0.2
- 32. Weighted Proximity (1)(2)(3) =1- (1-0.9) (1-0.09)
- 33. ConclusionSTR Form and StructureScreening and Prioritizing Incoming STRsCluster DevelopmentWeighing Relationships Using Simple AlgorithmQuestions?
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STR Targeting ProcessSelect TargetsNo Targets IdentifiedTargets Rejected
Слайды и текст этой презентации
Слайд 3Data mining – information enrichment
Operational – tactical casework
Statistical – trends,
deviations, inventory
geography etc. 
Слайд 4Most STR activities contain insufficient details to serve as grounds
for criminal suspicion.
Requires cross-checking of an STR with information in
the FIU’s STR database and threshold-based reports databases.Enrichment from other available data sources may support need for further investigation.
STR Targeting
Слайд 5 STR Structural Requirements
The report must be structured to
enable automated filtering and evaluation.
Слайд 6STR Parts include information on the:
Reporting Institution Filing the STR
Physical
Person Conducting the Transaction
Person (Physical or Legal) on Whose Behalf
the Transaction is ConductedTransaction
Account
Narrative
STR Structure
Слайд 12FIU Information Flow
DISSEMINATION
REPORTING
ANALYSIS
Banks
Securities
Dealers
Insurers
Casinos
Accountants
Lawyers
Other Persons
Suspicious
Transaction
Reports
Cash Transaction Reports
Electronic Transfer Reports
Cross-Border
Cash Transaction Reports
Prosecutor’s Office
Law Enforcement Agencies
Other FIUs
FIU Database
Gov’t Databases
Data From
Other FIUsOther Data
Financial Intelligence
Reporting Entities
Reports
FIU Processes
Customers
Слайд 13Each received report must be audited by FIU.
ID data
format must be validated and checked against government sources if
possible.Erroneous or incomplete reports must be returned for correction to the reporting institution’s compliance officer.
Audit and Validation of STRs
Слайд 14FIUs should establish a screening process when STRs are uploaded
into FIU database.
Compare new STR data with existing STRs
(and other threshold based reports) in FIU’s database for preliminary links.Basic rules should be established for:
Sharing the STR data with customer agencies,
Conducting analysis on STR,
Retaining STR for further review, or
Archiving STR in FIU database.
Preliminary Screening of Individual STRs
Слайд 15Scoring of Face Value of Data
(Keywords, search of structured
fields in reports)
STR Score
Scoring Tool
for relationship of persons
listed on STR.Automated Model for STR Screening
Scoring Engine
FIU policies
Compilation of scores
Input of statistical tools, work priorities and analyst input.
Maintenance of Scoring Rules
Topics
Formulas
Rule definition
Слайд 17STR review based on “face value” [e.g., text analysis, classification
of activity by reporting institution].
Identification of persons and data enrichment
for relationship analysis.Transaction analysis and comparison with relationships identified.
Implication of patterns indicative of money laundering or terrorist financing.
Indication of a “cluster” pattern based on persons and transactions identified.
Screening STRs With Software Tools
![STR review based on “face value” [e.g., text analysis, classification of activity by reporting institution].Identification of persons](/img/thumbs/6647cc91681368abdb9dbc58a5b6ba40-800x.jpg "Prioritizing and Targeting Suspicious Transaction Reports FIU Approach STR review based on “face value” [e.g., text analysis, classification of")
Слайд 18 A “cluster” is defined as a group of
physical and legal persons (real or fictitious) identified in STRs
or associated by inference from shared attributes* through further analysis.*financial activity, address, phone, account, business activity, recurrent sequence of events on a time line, etc.
“CLUSTER”
Слайд 26Ms. Pink
Mr. Green
Measuring Proximity of Mr. Blue and Ms. Pink
Weighing
Relationships
ABC INC.
Mr. Blue
1
3
2
Слайд 29 1
Mr. Blue is Ms. Pink’s Spouse
Proximity (1)
= 0.9
If Mr. Blue is involved in suspicious activity, the
probability that Ms. Pink is involved equals 90%.Mr. Blue
Ms. Pink
Weighing Relationship 1
Слайд 303
Ms. Pink owns ABC INC equals 10%.
Mr. Blue is
a Shareholder in
ABC INC equals 90%.
Ms.
Pink
Mr.
Blue
Proximity (2)
0.1
x 0.9 = 0.09ABC INC.
4
Weighing Relationship 2
Слайд 31CEO 0.3
SHAREHOLDER = 0.9
Mr.
Blue
Ms.
Pink
Proximity (3)
0.2 x 0.3 x
0.9 = .054
Mr.
Green
ABC INC.
7
SIBLING 0.2
4
5
Weighing Relationship 3
Слайд 32Weighted Proximity (1)(2)(3) =
1- (1-0.9) (1-0.09) (1-0.054) =
0.999946
Mr.
Blue
Ms.
Pink
Assuming Mr. Blue is conducting suspicious activity,
the chance that
Ms. Pink is involved is 99.9946%Weighing Relationships 1, 2 and 3
Together
Слайд 33Conclusion
STR Form and Structure
Screening and Prioritizing Incoming STRs
Cluster Development
Weighing Relationships
Using Simple Algorithm
Questions?
