UNACCEPTABLE
Risk rating recommandé
Sanctions Match — OFAC SDN + EU Consolidated + UK HMT (UBO Sokolov)
Synthèse exécutive
Dossier KYC Aldebaran Holdings (BVI) + 7 entités liées (Cayman trust, Delaware SPV, Luxembourg PE GP+Fund, Germany maritime GmbH, Liechtenstein foundation, UAE DMCC trading) soumis par Banque Privée Genève (private banking) pour onboarding pré-account opening. Suite à screening complet sanctions (OFAC SDN/Consolidated, EU Consolidated, UN, UK HMT, SECO) + PEP (Refinitiv World-Check + Dow Jones Risk & Compliance) + adverse media (Reuters, FT, OCCRP, Forbes Russia) sur les UBO et entités, nous identifions un risque rating HIGH avec recommandation de REFUS d'onboarding sous conditions actuelles. Le red flag absolu : Viktor Sokolov apparaît sur la liste OFAC SDN (ajouté 2024-03-15 — Russian Harmful Foreign Activities Sanctions, EO 14024) avec 94% confidence match — date of birth + place of birth + alias 'V. Sokolov-Petrovich' tous concordants. Cette correspondance déclenche : (1) interdiction d'onboarding immédiate sous OFAC règles US person + EU adoption Council Reg 2022/394, (2) freeze immédiat des actifs détenus indirectement par Sokolov si résidence US/EU des contreparties bancaires, (3) obligation de Suspicious Activity Report (SAR) auprès du MROS Suisse (Money Laundering Reporting Office Switzerland) sous LBA art. 9 dans 24h. Trois entités secondaires présentent des risques amplificateurs : (a) Sokolov Family Trust Cayman = structure d'évasion sanctions classique (SDN + offshore trust), (b) Apex Trading FZ-LLC UAE DMCC = entité sourcing 28% du revenue oil/gas en 2024 — secteur ciblé par sanctions énergétiques EU/UK, (c) Triton Maritime GmbH = 3 tankers Suez/Aframax pouvant tomber sous EU/UK Russian oil price cap regulations. Sept gaps documentaires significatifs identifiés dont 4 mandatory : (i) missing source-of-funds declaration sur Aldebaran $87M acquisition Geneva real estate 2020, (ii) UBO declaration Reinhardt Foundation expirée depuis 2023-11-10 (>24 mois, dépasse FATF Recommendation 24), (iii) shareholder register Helios Capital Fund I obsolète, (iv) financial statements Triton Maritime 2024 manquants. Olivier recommande : (1) refus d'onboarding immédiat avec memo formel Compliance Director sous 4h, (2) déclaration SAR/STR Suisse MROS sous 24h, (3) si la banque souhaite continuer due diligence pour un autre membre du groupe (Reinhardt Foundation isolé ?), conduire EDD séparée avec re-screen complet. La structure groupe consolidée est inacceptable en tant que client unifié.
Fiche entité
Aldebaran Holdings Ltd. (BVI) — groupe consolidé 8 entités
Structure complexe multi-juridictionelle 8 entités sur 7 juridictions (BVI / Cayman / Delaware / Luxembourg / Germany / Liechtenstein / UAE) avec UBO concentration : Viktor Sokolov 60-70% effective ownership consolidé. Pattern typique 'sanction evasion structure' identifié par OCCRP + Atlantic Council 2022-2024 reports : top-co BVI + offshore trust + onshore SPV + EU/Lux investment vehicles + UAE post-sanctions relocation. Reinhardt Foundation Liechtenstein = canal secondaire indépendant Marcus Reinhardt + family. Apex Trading DMCC UAE = entité commodity trading post-relocation 2021, 28% revenue oil/gas. Helios Capital Fund Lux = vehicle PE intégrant 47 LPs externes (institutional EU 60% / family offices MEA 30% / UAE individuals 10%) — exposure secondary sanctions élevée.
Beneficial Owners
Viktor Sokolov
60% ✓
Elena Sokolova
25% ✓
Marcus Reinhardt
15% ✓
Anna Sokolova
0% ⚠
Dmitri Sokolov
0% ⚠
Klaus Vogel
5% ✓
Identifiants
BVI Registration
BVI-2018-104782
LEI Code (Aldebaran)
549300XYZAB123456789
Luxembourg RCS
B-2018-218456
Delaware EIN
85-7889234
Russian Federation Passport — Viktor Sokolov
65-2389117
UAE Emirates ID — Viktor Sokolov
784-1968-XXXXXXX-X
Adresses
- Aldebaran Holdings — Trident Chambers, P.O. Box 146, Road Town, Tortola, BVI
- Sokolov Family Trust — Maples Corporate Services Limited, P.O. Box 309, Ugland House, Grand Cayman KY1-1104
- Polaris Real Estate SPV I — 1209 Orange Street, Wilmington, Delaware 19801, USA
- Helios Capital Partners SA — 5, rue Heienhaff, L-1736 Senningerberg, Luxembourg
- Triton Maritime Holdings GmbH — Domstraße 14, 20095 Hamburg, Germany
- Reinhardt Foundation — Aulestrasse 5, FL-9490 Vaduz, Liechtenstein
- Apex Trading FZ-LLC — Almas Tower 53rd Floor, JLT, DMCC Dubai, UAE
Rules engine — résultats
FAILR-001
OFAC SDN list match — primary UBO
· Sanctions / PrimaryViktor Sokolov · Russian Harmful Foreign Activities Sanctions · ajouté OFAC SDN 2024-03-15 · 94% match confidence · DOB + POB + alias all concordants
→ STOP onboarding immédiat. Notification Compliance Director sous 4h. SAR/STR Suisse MROS sous 24h. Asset freeze obligation si US/EU person involved.
FAILR-002
EU Consolidated Sanctions match — UBO
· Sanctions / PrimaryViktor Sokolov · EU Council Reg (EU) 2022/394 · adopted 2022-04-08 + extensions · 91% match
→ EU sanctions interdiction onboarding pour EU-domiciled banks. Switzerland a aligned ~70% des EU sanctions Russie via SECO.
FAILR-003
PEP screening — Tier1 government official close associate
· PEP / RCAViktor Sokolov classified Tier1-Gov RCA (Relative & Close Associate) — frère de Andrei Sokolov (former Deputy Minister of Energy Russia 2018-2020). Source: Refinitiv World-Check ID 8847291.
→ EDD obligatoire si onboarding accepté (rejeté pour autres raisons). RCA screening conforme FATF Recommendation 12.
FAILR-004
Adverse media scan — high severity
· Adverse Media / Financial Crime6 hits adverse media (3 high, 3 medium). High: (1) Reuters investigation 2023 sanctions evasion network, (2) FT 2024 oil trading sanctions probe DMCC entities, (3) OCCRP 2022 Pandora Papers reference Sokolov family trust.
→ Severity high + relevance directe = STOP. Documentation à intégrer au memo escalation.
WARNR-005
Structure opacity — multi-jurisdictional layered
· Structure / Risk Indicator8 entités sur 7 juridictions. Layering pattern: BVI → Cayman trust → Delaware SPV. FATF Recommendation 24 + Wolfsberg Group 2022 guidance flag this pattern as 'high-risk indicator'.
→ Pattern sanction-evasion typology — déjà bloqué par R-001 mais à documenter SAR si SAR généré.
FAILR-006
Source of funds documentation
· Documentation / KYCSource-of-funds declaration absente sur Aldebaran $87M acquisition Geneva real estate 2020. AMLA Switzerland art. 6 + LBA exigent SoF documenté pour transactions >CHF 100k.
→ Si onboarding acceptable (pas le cas ici), exiger SoF documentation: bank statements 24 mois + tax returns + asset declarations.
WARNR-007
UBO refresh frequency
· Documentation / MaintenanceReinhardt Foundation UBO declaration last update 2023-11-10 (>24 mois). FATF Recommendation 24 + EU AMLD6 require periodic refresh max 12-24 months.
→ Si Reinhardt Foundation isolé acceptée pour onboarding séparée, exiger UBO refresh complet + ID re-verification.
WARNR-008
Sectoral exposure — oil/gas + maritime
· Risk SectorApex Trading 28% revenue oil/gas + Triton Maritime 3 tankers Suez/Aframax. EU/UK Russian oil price cap regulation (Dec 2022) + secondary sanctions extended.
→ Sectoral red flag amplificateur — déjà bloqué par sanctions match mais à mentionner SAR.
Hits sanctions
Viktor Sokolov
OFAC-SDN94% match
Matched on : Name + DOB + POB + alias 'V. Sokolov-Petrovich' · Listed : 2024-03-15
"SOKOLOV, Viktor (a.k.a. SOKOLOV-PETROVICH, Viktor; a.k.a. SOKOLOV, V.); DOB 12 Apr 1968; POB Moscow, Russia; nationality Russia; passport 65-2389117 (Russia)"
Russian Harmful Foreign Activities Sanctions — Executive Order 14024. Sokolov designated for being or having been a leader, official, senior executive officer, or member of the board of directors of an entity operating in the Russian Federation energy sector.
Action requise : Asset freeze obligatoire pour US persons. Onboarding interdiction. SAR/STR generation. Notification compliance + legal sous 24h.
Viktor Sokolov
EU-Consolidated91% match
Matched on : Name + DOB + POB · Listed : 2022-04-08
"Council Regulation (EU) 2022/394 — Annex I.A entry 287. SOKOLOV, Viktor — birthdate 12 Apr 1968."
Restrictive measures in view of Russia's actions destabilising the situation in Ukraine. Senior executive in Russian energy sector entity supporting government revenues.
Action requise : EU asset freeze + EU travel ban. Switzerland: SECO has aligned ~70% of EU Russia sanctions — verify SECO listing parallel.
Aldebaran Holdings Ltd.
OFAC-Consolidated88% match
Matched on : Beneficial ownership chain — derived match · Listed : 2024-03-15
"Derived match — entities owned 50%+ by SDN designated person (Viktor Sokolov 60% UBO). OFAC '50 percent rule' applies."
Aldebaran derived sanctioned status via OFAC '50 percent rule' (Sokolov 60% UBO, exceeding 50% threshold).
Action requise : Aldebaran et toutes les filiales (Sokolov Family Trust, Polaris SPV, Apex Trading) sont également sanctionnées par derivation. Toute relation interdite.
Sokolov Family Trust
OFAC-Consolidated86% match
Matched on : Beneficial ownership chain — derived match · Listed : 2024-03-15
"Discretionary trust — Sokolov family beneficial ownership exceeds 50% threshold per OFAC Aug 2014 Memorandum on offshore structures."
Trust with 4 family beneficiaries all linked to SDN-designated individual.
Action requise : Trust account interdiction. Notification Maples Trust Company Cayman.
Apex Trading FZ-LLC
UK-HMT95% match
Matched on : Beneficial ownership 100% Sokolov · Listed : 2024-04-22
"UK Office of Financial Sanctions Implementation (OFSI) — Russia sanctions list. Apex Trading FZ-LLC linked to Sokolov designation 2024."
100% UBO Sokolov + entity engaged in Russian-origin oil trading post-sanctions designation.
Action requise : UK persons interdiction de transactions. UAE jurisdiction non-aligned mais reputational risk + secondary sanction risk.
Hits PEP
Viktor Sokolov
RCAHIGH
RCA — Brother of Andrei Sokolov (former Deputy Minister of Energy Russia 2018-2020)
Juridiction : Russian Federation · Source : Refinitiv World-Check (ID 8847291) + Dow Jones Risk & Compliance (ID DJRC-RU-44872)
RCA classification conforme FATF Recommendation 12. Andrei Sokolov a quitté ses fonctions 2020 mais EDD obligatoire sur RCA pendant 24+ mois post-mandat selon Wolfsberg Group guidance.
Klaus Vogel
Tier3-LocalLOW
Tier3-Local — Maire suppléant Commune de Cologny (Genève) 2018-2024
Juridiction : Switzerland (Geneva) · Source : Refinitiv World-Check (ID 9921184)
PEP local-level Suisse — risk rating low car (a) commune size <20k habitants, (b) mandat terminé 2024, (c) pas de evidence corruption locale. Standard PEP screening adequate.
Marcus Reinhardt
Tier2-SOEMEDIUM
Tier2-SOE — Former CEO Bayerische Landesbank Russia branch 2014-2017
Juridiction : Germany · Source : Refinitiv World-Check (ID 7733512) + Dow Jones
Former state-owned enterprise executive (BayernLB est SOE Bavaria). Mandat 2014-2017 = ante-sanctions Russia 2022. Pas evidence corruption mais EDD recommandée si onboarding accepté.
Petra Reinhardt (Reinhardt Foundation beneficiary)
RCALOW
Spouse Marcus Reinhardt — Former senior advisor Liechtenstein Bankers Association 2018-2022
Juridiction : Liechtenstein · Source : Dow Jones Risk & Compliance (ID DJRC-LI-1873)
RCA spouse PEP. Petra Reinhardt position advisory non-decisional. Risk rating low standalone mais à documenter.
Adverse media
Viktor Sokolov / Aldebaran Holdings
sanctions-evasionHIGHdirect
Russian energy oligarch built sanctions evasion network through BVI-Cayman structure
Reuters Special Report · 2023-08-14
« Reuters investigation reveals how Viktor Sokolov, designated by OFAC and EU in 2022, used a BVI-Cayman trust structure to continue receiving energy revenues post-sanctions through UAE intermediary Apex Trading FZ-LLC. Bank records seen by Reuters show $312M in oil-related transactions routed through Aldebaran Holdings 2022-2023. »
Apex Trading FZ-LLC + DMCC entities
sanctions-evasionHIGHdirect
DMCC oil trading entities under UK FCA probe over Russian crude price cap evasion
Financial Times investigation · 2024-06-10
« FT identified 18 DMCC-registered trading entities, including Apex Trading FZ-LLC, suspected of facilitating Russian crude oil exports above the $60/barrel price cap set by G7+EU in December 2022. Apex specifically named in FCA preliminary investigation memo dated April 2024. »
Sokolov Family Trust (Cayman)
tax-evasionHIGHdirect
Russian elite hide $4B+ in offshore Cayman trusts revealed in Pandora Papers update
OCCRP / ICIJ — Pandora Papers continuation · 2022-11-03
« OCCRP's Pandora Papers continuation series identifies Sokolov Family Trust at Maples Corporate Services Cayman as one of 47 newly-discovered Russian elite trusts holding combined $4.2B+ in concealed assets — many tied to OFAC SDN designations 2022-2024. »
Triton Maritime Holdings GmbH
sanctions-evasionMEDIUMindirect
German maritime holding flagged for shadow fleet involvement in Russian oil exports
Lloyd's List shipping intelligence · 2024-09-22
« Lloyd's List shipping intelligence database identifies Triton Maritime Holdings GmbH as part of a 'shadow fleet' network involved in Russian oil exports post-sanctions. Two of three Triton vessels (MV Ishtar, MV Ningaloo) flagged for AIS spoofing incidents 2023-2024. »
Helios Capital Fund I S.C.S.
reputationalMEDIUMindirect
Luxembourg PE fund Helios Capital faces LP redemption requests over GP sanctions exposure
Bloomberg European PE coverage · 2024-02-08
« Bloomberg reports that Helios Capital Fund I, managed by Helios Capital Partners SA Luxembourg (with Sokolov as 60% GP UBO), faces redemption requests from 4 institutional LPs (estimated €78M committed) following Sokolov's OFAC designation March 2024. »
Reinhardt Foundation
AMLMEDIUMindirect
Liechtenstein foundation linked to former BayernLB Russia executive under FIU review
Tagesspiegel (Germany) · 2024-04-15
« Tagesspiegel reports German FIU (Financial Intelligence Unit) reviewing Reinhardt Foundation Liechtenstein in context of broader probe into former BayernLB Russia branch personnel. No formal charges. Foundation's recent UBO refresh (Nov 2023) noted as compliance trigger. »
Gaps documentaires
MANDATORY
Aldebaran Holdings Ltd.
· missing-source-of-fundsSource-of-funds declaration absente sur Aldebaran $87M acquisition Geneva real estate (Quai du Mont-Blanc 12) en 2020. AMLA Suisse art. 6 + LBA exigent SoF pour transactions >CHF 100k.
Document requis : SoF declaration signée par UBO + bank statements 24 mois + tax returns 3 années + asset declarations Switzerland AHV/Tax
⏱ Délai : immédiat (rejeté actuellement par sanctions match)
MANDATORY
Reinhardt Foundation
· expired-documentUBO declaration last update 2023-11-10 — ~25 mois old. FATF Recommendation 24 et EU AMLD6 exigent refresh max 12-24 mois.
Document requis : UBO declaration update + ID re-verification + structure chart Reinhardt family + economic activity description
⏱ Délai : 30 jours si onboarding séparée acceptée
MANDATORY
Helios Capital Fund I S.C.S.
· missing-shareholder-registerShareholder register Helios Fund obsolète — last update juin 2024. 47 LPs avec composition 60/30/10 (institutional EU / family offices CH-MEA / individuals UAE) non-vérifiée actuel.
Document requis : Updated LP register + LP-by-LP screening (sanctions / PEP / adverse media) + KYC files all 47 LPs
⏱ Délai : 60 jours pour LP refresh — onboarding rejected donc moot
MANDATORY
Triton Maritime Holdings GmbH
· missing-financial-statementsFinancial statements 2024 manquants. Last filed: 2023 audited statements. Deutsche Handelsregister disclose statement filing required for GmbH.
Document requis : Audited financial statements 2024 + 2025 interim + vessel ownership documentation + AIS records
⏱ Délai : à coordonner avec German FIU si SAR generated
MANDATORY
Sokolov Family Trust
· structure-opacityDiscretionary trust avec 4 beneficiaries — pouvoirs trustee Maples non-divulgués. Letter of wishes confidentielle. Beneficiary rights opaques.
Document requis : Trust deed full disclosure + letter of wishes + trustee discretionary powers spec + beneficiary rights schedule
⏱ Délai : rejeté
MANDATORY
Apex Trading FZ-LLC
· structure-opacityDMCC free zone entity avec 100% Sokolov UBO — 28% revenue oil/gas non-detailed. Trade route non-disclosed. Counterparties non-listed.
Document requis : Trade ledger 2022-2025 + counterparty list + commodity origin documentation + AIS tracker for shipments
⏱ Délai : rejeté
OPTIONAL
Polaris Real Estate SPV I, L.L.C.
· missing-proof-of-addressPolaris Real Estate SPV — Delaware registered agent 1209 Orange Street (mass-registration address shared by ~250k entities). Pas de proof of operating address Geneva building.
Document requis : Geneva real estate building documentation + property tax records + utility bills + insurance certificates
⏱ Délai : 30 jours si onboarding séparée
Risk rating final
UNACCEPTABLE
Sanctions Match — OFAC SDN + EU Consolidated + UK HMT (UBO Sokolov)
Rationale : Le UBO principal Viktor Sokolov est désigné OFAC SDN (March 2024, 94% match), EU Consolidated (April 2022, 91% match), UK HMT (April 2024, 95% match for Apex Trading subsidiary). En vertu de la règle OFAC 50% (Sokolov détient 60% Aldebaran), tout le groupe consolidé est dérivativement sanctionné. EU sanctions adoptées par Switzerland via SECO (~70% alignment) renforcent l'interdiction. Adverse media additional confirms sanctions evasion network active 2022-2024. Aucune circumstance ne rend cet onboarding acceptable.
Acceptance conditionnelle : Aucune condition ne peut lever cette interdiction. Le groupe consolidé est unacceptable as-is. Seule alternative théorique : isoler Reinhardt Foundation Liechtenstein (Marcus Reinhardt UBO 100% sans concentration Sokolov) en entité séparée standalone — mais cela nécessite re-screening complet, restructuration formelle séparation Aldebaran, et EDD intensive sur Reinhardt antérieur BayernLB Russia.
EDD Requirements :
- Si Reinhardt Foundation isolée acceptée : full UBO declaration refresh + ID re-verification + 24-month bank statements + asset origin documentation
- Adverse media re-screen monthly pendant 12 mois post-onboarding
- Source-of-wealth declaration signed by Marcus Reinhardt + supporting tax returns 3 years
- Confirmation Reinhardt Foundation trustees + governance independence vs Aldebaran group
- Quarterly transaction monitoring with low CHF 50k threshold + PEP/sanctions re-screen
Escalation packet
immediate
→ Compliance Director — Banque Privée Genève + MROS Suisse (Money Laundering Reporting Office Switzerland)
Demande onboarding Aldebaran Holdings + 7 entités liées REJETÉE — UBO Viktor Sokolov sur OFAC SDN + EU Consolidated + UK HMT. OFAC 50% rule étend la désignation à toutes les entités du groupe. Adverse media confirme sanctions evasion network. Recommandation : refus immédiat + déclaration SAR/STR au MROS Suisse sous LBA art. 9. Le dossier KYC-2026-Q4-1147 doit être transmis au Compliance Director sous 4h pour notification formelle au déposant Sophie Martinez.
Pièces jointes
- 📎 OFAC SDN list match report — Viktor Sokolov (PDF)
- 📎 EU Consolidated Sanctions screening — Council Reg 2022/394 entry 287 (PDF)
- 📎 UK HMT screening — Apex Trading FZ-LLC entry (PDF)
- 📎 Refinitiv World-Check + Dow Jones PEP/RCA reports — 4 entities (PDF)
- 📎 Adverse media compilation — 6 articles Reuters/FT/OCCRP/Bloomberg/Lloyd's/Tagesspiegel (PDF)
- 📎 Structure analysis memo — sanction-evasion typology FATF/Wolfsberg patterns (PDF)
- 📎 Source-of-funds gap analysis — 7 documentation gaps (Excel)
- 📎 Recommended SAR/STR draft template MROS Suisse (DOCX)
Décision requise : Approval Compliance Director pour : (1) refus formel onboarding au déposant, (2) transmission SAR/STR au MROS Suisse sous 24h, (3) optionnel : décision sur traitement séparé Reinhardt Foundation Liechtenstein si demande reformulée.
Actions immédiates
- T+0 : Notification immédiate Compliance Director Banque Privée Genève — memo 1 page synthèse + escalation packet attaché
- T+4h : Préparer SAR/STR draft pour MROS Suisse avec evidence packet — submission sous 24h obligatoire selon LBA art. 9
- T+8h : Communication formelle au déposant Sophie Martinez — refus onboarding sans détail de motifs (legal risk de tipping off)
- T+24h : Transmission SAR/STR au MROS Suisse via plateforme online + accusé de réception archivé
- T+48h : Briefing Legal team Banque Privée Genève sur asset freeze obligations si transactions historiques avec Sokolov entities — verifier portfolio existant
- T+5j : Re-screen Refinitiv + Dow Jones + OFAC + EU sur 90 jours pour catch-up éventuelles désignations supplémentaires (Reinhardt? Vogel?)
- T+30j : Si demande reformulée pour Reinhardt Foundation isolée, lancer EDD complète parallèle avec re-screening + UBO refresh + source-of-wealth
Sources
[1] OFAC SDN List — Viktor Sokolov designation March 2024
https://ofac.treasury.gov/sanctions-list-search-tool
« SOKOLOV, Viktor (a.k.a. SOKOLOV-PETROVICH, Viktor); DOB 12 Apr 1968; POB Moscow, Russia; nationality Russia; passport 65-2389117 (Russia); Designated under E.O. 14024 — Russian Harmful Foreign Activities Sanctions; designated date 2024-03-15. »
[2] EU Council Regulation 2022/394 — Sanctions Russia
https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32022R0394
« Annex I.A entry 287: SOKOLOV, Viktor — birthdate 12 Apr 1968. Restrictive measures in view of Russia's actions destabilising the situation in Ukraine. »
[3] FATF Recommendations 2023 — Recommendation 12 PEP
https://www.fatf-gafi.org/en/publications/Fatfrecommendations/Fatf-recommendations.html
« Financial institutions should be required to apply enhanced due diligence (EDD) to family members and close associates (RCA) of foreign Politically Exposed Persons (PEPs). »
[4] FATF Recommendations 2023 — Recommendation 24 Beneficial Ownership
https://www.fatf-gafi.org/en/publications/Fatfrecommendations/Fatf-recommendations.html
« Countries should ensure that there is adequate, accurate and timely information on the beneficial ownership and control of legal persons that can be obtained or accessed by competent authorities in a timely fashion. »
[5] Reuters Special Report — Sokolov sanctions evasion network (Aug 2023)
https://www.reuters.com/investigates/special-report/russia-sokolov-sanctions-evasion-2023
« Bank records seen by Reuters show $312M in oil-related transactions routed through Aldebaran Holdings 2022-2023 via UAE intermediary Apex Trading FZ-LLC. »
[6] Wolfsberg Group AML Principles 2022
https://www.wolfsberg-principles.com/sites/default/files/wb/Wolfsberg-AMP-2022.pdf
« Multi-jurisdictional layered structures combining offshore trusts with onshore SPVs and free zone entities should be considered high-risk indicators warranting enhanced due diligence. »
[7] AMLA Switzerland (LBA) art. 9 — SAR/STR obligation
https://www.fedlex.admin.ch/eli/cc/1998/892_892_892/fr
« Le financier qui a des soupçons fondés que les valeurs patrimoniales en cause ont un rapport avec une infraction visée à l'article 305bis CP doit en informer immédiatement le Bureau de communication. »
[8] OCCRP Pandora Papers continuation — Russian elite Cayman trusts (Nov 2022)
https://www.occrp.org/en/the-pandora-papers/russian-elite-offshore-trusts-2022
« Sokolov Family Trust at Maples Corporate Services Cayman one of 47 newly-discovered Russian elite trusts holding combined $4.2B+ in concealed assets, many tied to OFAC SDN designations 2022-2024. »
Méthodologie
Screening conduit par Olivier via méthodologie FATF Recommendations 2023 (Recommendation 12 PEP screening, Recommendation 24 beneficial ownership transparency) + Wolfsberg Group AML Principles 2022 + EU AMLD6 + AMLA Switzerland (LBA). Triangulation 5 sources sanctions : OFAC SDN/Consolidated, EU Consolidated, UN Consolidated, UK HMT, SECO Switzerland. PEP via Refinitiv World-Check + Dow Jones Risk & Compliance + LSEG Connected. Adverse media via Reuters Connect + Factiva + LexisNexis + OCCRP database + ICIJ Pandora Papers. Match scoring 0-100 utilise NIST Entity Resolution algorithms + manual verification on >85% confidence matches. Risk rating final dérivé de matrice 5x5 (sanctions / PEP / adverse media / structure / sectoral) avec règle override : sanctions match >90% confidence = automatic 'unacceptable'.