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Compliance Verification API (v1)

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Compliance Verification API allows an agent to manage compliance verifications for parties.

Party Due Diligence

Endpoints for managing due diligence verifications for parties. This includes creating, retrieving, and searching due diligence records (party identification and party information review), as well as linking them to related entities.

Search due diligences

Retrieves due diligences matching the search criteria.

Authorizations:
bearerAuth
query Parameters
partyId
Array of strings <uuid> (PartyId) <= 25 items [ items <uuid > ]
Example: partyId=123e4567-e89b-12d3-a456-426614174000

Filter due diligences by party IDs.

agentId
Array of strings <uuid> (AgentId) <= 25 items [ items <uuid > ]
Example: agentId=5d2a6d47-da73-4b11-8940-27cffabb6de5

Filter due diligences by agent IDs.

assignmentId
Array of strings <uuid> (AssignmentId) <= 25 items [ items <uuid > ]
Example: assignmentId=123e4567-e89b-12d3-a456-426614174000

Filter due diligences by linked assignment IDs.

continuationAgreementId
Array of strings <uuid> (ContinuationAgreementId) <= 25 items [ items <uuid > ]
Example: continuationAgreementId=123e4567-e89b-12d3-a456-426614174000

Filter due diligences by linked continuation agreement IDs.

purchaseOfferId
Array of strings <uuid> (PurchaseOfferId) <= 25 items [ items <uuid > ]
Example: purchaseOfferId=123e4567-e89b-12d3-a456-426614174000

Filter due diligences by linked purchase offer IDs.

tradeSettlementId
Array of strings <uuid> (TradeSettlementId) <= 25 items [ items <uuid > ]
Example: tradeSettlementId=123e4567-e89b-12d3-a456-426614174000

Filter due diligences by linked trade settlement IDs.

rentalSettlementId
Array of strings <uuid> (RentalSettlementId) <= 25 items [ items <uuid > ]
Example: rentalSettlementId=123e4567-e89b-12d3-a456-426614174000

Filter due diligences by linked rental settlement IDs.

statusCode
Array of strings
Items Enum: "DRAFT" "READY_FOR_SIGNING" "COMPLETED"

Filter due diligences by status codes.

startIndex
integer >= 0
Default: 0
Example: startIndex=0

The zero-based index of the first result to return.

size
integer [ 1 .. 100 ]
Default: 20
Example: size=20

The maximum number of results to return.

sort
string^(modificationTime)\|(asc|ASC|desc|DESC)$
Example: sort=modificationTime|desc

Sort order for the results. Format: modificationTime|asc or modificationTime|desc. Default is modificationTime|desc.

header Parameters
Request-ID
required
string <uuid>
Example: 9031d1c5-7d40-41dd-b2b8-7919a2fc4fe9

A unique id which identifies the HTTP request. The value of this header must be created by the client. This identifier is used for troubleshooting purposes.

Responses

Response samples

Content type
application/json
{
  • "items": [
    ],
  • "totalCount": 42
}

Create a new due diligence for a party

Creates a new due diligence verification for a party. This endpoint supports three types of verifications:

  • Party Identification - Verifies the identity of a party using either electronic signing or external signing methods.
  • Party Information Review - Reviews and updates party information.
Authorizations:
bearerAuth
header Parameters
Request-ID
required
string <uuid>
Example: 9031d1c5-7d40-41dd-b2b8-7919a2fc4fe9

A unique id which identifies the HTTP request. The value of this header must be created by the client. This identifier is used for troubleshooting purposes.

Request Body schema: application/json
required
agentId
required
string <uuid> (AgentId)

A unique identifier which identifies the business user who acts as an agent.

partyId
required
string <uuid> (PartyId)

The unique identifier of the party.

typeCode
required
string

The type of verification to be performed.

required
object (DigitalPartyIdentificationContent)

The detailed content of the party due diligence with digital verification. This content object supports multiple schema versions, selected based on the schemaVersion field.

Responses

Request samples

Content type
application/json
Example
{
  • "agentId": "5d2a6d47-da73-4b11-8940-27cffabb6de5",
  • "partyId": "123e4567-e89b-12d3-a456-426614174000",
  • "typeCode": "DIGITAL_PARTY_IDENTIFICATION",
  • "content": {
    }
}

Response samples

Content type
application/json
{
  • "dueDiligenceId": "987e6543-e21b-12d3-a456-426614174999"
}

Get a due diligence by identifier

Retrieves a single due diligence by its unique identifier.

Authorizations:
bearerAuth
path Parameters
dueDiligenceId
required
string <uuid>
Example: 987e6543-e21b-12d3-a456-426614174999

The unique identifier of the due diligence.

header Parameters
Request-ID
required
string <uuid>
Example: 9031d1c5-7d40-41dd-b2b8-7919a2fc4fe9

A unique id which identifies the HTTP request. The value of this header must be created by the client. This identifier is used for troubleshooting purposes.

Responses

Response samples

Content type
application/json
Example
{
  • "dueDiligenceId": "987e6543-e21b-12d3-a456-426614174999",
  • "agentId": "5d2a6d47-da73-4b11-8940-27cffabb6de5",
  • "partyId": "123e4567-e89b-12d3-a456-426614174000",
  • "partyTypeCode": "ORGANIZATION_PARTY",
  • "typeCode": "DIGITAL_PARTY_IDENTIFICATION",
  • "statusCode": "READY_FOR_SIGNING",
  • "dueDiligenceDocumentId": "987e6543-e21b-12d3-a456-426614174999",
  • "content": {
    },
  • "linkedItems": [
    ],
  • "creationTime": "2024-01-15T10:00:00Z",
  • "modificationTime": "2024-01-15T12:00:00Z"
}

Update a due diligence

Updates the content of an existing due diligence verification. Due diligence can be updated only if it is in DRAFT status.

The content schema in the request body must match the type and schema version of the existing due diligence entity. For example, if the due diligence is of type DIGITAL_PARTY_IDENTIFICATION, the request body must use PutDigitalPartyIdentification schema, and the schemaVersion in the content must match the version currently stored for that entity.

Authorizations:
bearerAuth
path Parameters
dueDiligenceId
required
string <uuid>
Example: 987e6543-e21b-12d3-a456-426614174999

The unique identifier of the due diligence.

header Parameters
Request-ID
required
string <uuid>
Example: 9031d1c5-7d40-41dd-b2b8-7919a2fc4fe9

A unique id which identifies the HTTP request. The value of this header must be created by the client. This identifier is used for troubleshooting purposes.

Request Body schema: application/json
required

Contains the updated due diligence content. The content schema type (e-signing, external, or information review) and schema version must match the existing due diligence entity.

typeCode
required
string
agentId
required
string <uuid> (AgentId)

A unique identifier which identifies the business user who acts as an agent.

required
object (DigitalPartyIdentificationContent)

The detailed content of the party due diligence with digital verification. This content object supports multiple schema versions, selected based on the schemaVersion field.

Responses

Request samples

Content type
application/json
Example
{
  • "typeCode": "DIGITAL_PARTY_IDENTIFICATION",
  • "agentId": "5d2a6d47-da73-4b11-8940-27cffabb6de5",
  • "content": {
    }
}

Response samples

Content type
application/json
{ }

Execute due diligence action

Execute an action for a due diligence.

Authorizations:
bearerAuth
path Parameters
dueDiligenceId
required
string <uuid>
Example: 987e6543-e21b-12d3-a456-426614174999

The unique identifier of the due diligence.

header Parameters
Request-ID
required
string <uuid>
Example: 9031d1c5-7d40-41dd-b2b8-7919a2fc4fe9

A unique id which identifies the HTTP request. The value of this header must be created by the client. This identifier is used for troubleshooting purposes.

Request Body schema: application/json
required

Contains the action to be executed for the due diligence.

actionCode
required
string
Enum: "LOCK" "UNLOCK" "APPROVE" "COMPLETE"

Action to be executed for due diligences. The actions can be used to trigger the following status transitions.

Party Identification with digital verification:

  • LOCK = DRAFT -> READY_FOR_SIGNING
  • UNLOCK = READY_FOR_SIGNING -> DRAFT
  • APPROVE = READY_FOR_SIGNING -> COMPLETED

Party Identification with physical verification and Party Information Review:

  • COMPLETE = DRAFT -> COMPLETED

Responses

Request samples

Content type
application/json
{
  • "actionCode": "LOCK"
}

Response samples

Content type
application/json
{ }

Sanctions Lists Check

Endpoints for managing sanctions list checks for parties. This includes creating, retrieving, searching, and evaluating sanctions list check records, as well as linking them to related entities.

Search sanctions list checks

Retrieves sanctions list checks matching the search criteria.

Authorizations:
bearerAuth
query Parameters
partyId
Array of strings <uuid> (PartyId) <= 25 items [ items <uuid > ]
Example: partyId=123e4567-e89b-12d3-a456-426614174000

Filter sanctions list for parties that have been checked.

agentId
Array of strings <uuid> (AgentId) <= 25 items [ items <uuid > ]
Example: agentId=5d2a6d47-da73-4b11-8940-27cffabb6de5

Filter sanctions list checks by agent identifiers.

assignmentId
Array of strings <uuid> (AssignmentId) <= 25 items [ items <uuid > ]
Example: assignmentId=123e4567-e89b-12d3-a456-426614174000

Filter sanctions list checks by linked assignment identifiers.

continuationAgreementId
Array of strings <uuid> (ContinuationAgreementId) <= 25 items [ items <uuid > ]
Example: continuationAgreementId=123e4567-e89b-12d3-a456-426614174000

Filter sanctions list checks by linked continuation agreement identifiers.

purchaseOfferId
Array of strings <uuid> (PurchaseOfferId) <= 25 items [ items <uuid > ]
Example: purchaseOfferId=123e4567-e89b-12d3-a456-426614174000

Filter sanctions list checks by linked purchase offer identifiers.

tradeSettlementId
Array of strings <uuid> (TradeSettlementId) <= 25 items [ items <uuid > ]
Example: tradeSettlementId=123e4567-e89b-12d3-a456-426614174000

Filter sanctions list checks by linked trade settlement identifiers.

rentalSettlementId
Array of strings <uuid> (RentalSettlementId) <= 25 items [ items <uuid > ]
Example: rentalSettlementId=123e4567-e89b-12d3-a456-426614174000

Filter sanctions list checks by linked rental settlement IDs.

statusCode
Array of strings
Items Enum: "DRAFT" "EVALUATED"

Filter sanctions list checks by status codes.

startIndex
integer >= 0
Default: 0
Example: startIndex=0

The zero-based index of the first result to return.

size
integer [ 1 .. 100 ]
Default: 20
Example: size=20

The maximum number of results to return.

sort
string^(modificationTime)\|(asc|ASC|desc|DESC)$
Example: sort=modificationTime|desc

Sort order for the results. Format: modificationTime|asc or modificationTime|desc. Default is modificationTime|desc.

header Parameters
Request-ID
required
string <uuid>
Example: 9031d1c5-7d40-41dd-b2b8-7919a2fc4fe9

A unique id which identifies the HTTP request. The value of this header must be created by the client. This identifier is used for troubleshooting purposes.

Responses

Response samples

Content type
application/json
{
  • "items": [
    ],
  • "totalCount": 42
}

Create a new sanctions list check

Creates a new sanctions list check for a party.

Authorizations:
bearerAuth
header Parameters
Request-ID
required
string <uuid>
Example: 9031d1c5-7d40-41dd-b2b8-7919a2fc4fe9

A unique id which identifies the HTTP request. The value of this header must be created by the client. This identifier is used for troubleshooting purposes.

Request Body schema: application/json
required
agentId
required
string <uuid> (AgentId)

A unique identifier which identifies the business user who acts as an agent.

partyId
required
string <uuid> (SanctionsListCheckPartyId)

The unique identifier of the party for which the sanctions list check is performed.

required
Array of objects (SanctionListQueryRefs)

List of references to DOKS sanction list queries used in this sanctions list check. The list must be non-empty if DOKS sanction list queries are used.

The queries to include depend on the party type:

  • For person party: queries for that party
  • For estate party: queries for estate shareholders
  • For organization party: queries for that organization and for beneficial owners

Responses

Request samples

Content type
application/json
{
  • "agentId": "5d2a6d47-da73-4b11-8940-27cffabb6de5",
  • "partyId": "123e4567-e89b-12d3-a456-426614174000",
  • "sanctionListQueryRefs": [
    ]
}

Response samples

Content type
application/json
{
  • "sanctionsListCheckId": "987e6543-e21b-12d3-a456-426614174999"
}

Get a sanctions list check by identifier

Retrieves a single sanctions list check by its unique identifier.

Authorizations:
bearerAuth
path Parameters
sanctionsListCheckId
required
string <uuid>
Example: 987e6543-e21b-12d3-a456-426614174999

The unique identifier of the sanctions list check.

header Parameters
Request-ID
required
string <uuid>
Example: 9031d1c5-7d40-41dd-b2b8-7919a2fc4fe9

A unique id which identifies the HTTP request. The value of this header must be created by the client. This identifier is used for troubleshooting purposes.

Responses

Response samples

Content type
application/json
Example
{
  • "sanctionsListCheckId": "987e6543-e21b-12d3-a456-426614174999",
  • "agentId": "5d2a6d47-da73-4b11-8940-27cffabb6de5",
  • "partyId": "123e4567-e89b-12d3-a456-426614174000",
  • "statusCode": "DRAFT",
  • "sanctionListQueryRefs": [
    ],
  • "creationTime": "2024-01-15T10:00:00Z",
  • "modificationTime": "2024-01-15T12:00:00Z"
}

Update a sanctions list check

Updates an existing sanctions list check.

Authorizations:
bearerAuth
path Parameters
sanctionsListCheckId
required
string <uuid>
Example: 987e6543-e21b-12d3-a456-426614174999

The unique identifier of the sanctions list check.

header Parameters
Request-ID
required
string <uuid>
Example: 9031d1c5-7d40-41dd-b2b8-7919a2fc4fe9

A unique id which identifies the HTTP request. The value of this header must be created by the client. This identifier is used for troubleshooting purposes.

Request Body schema: application/json
required
agentId
required
string <uuid> (AgentId)

A unique identifier which identifies the business user who acts as an agent.

required
Array of objects (SanctionListQueryRefs)

List of references to DOKS sanction list queries used in this sanctions list check. The list must be non-empty if DOKS sanction list queries are used.

The queries to include depend on the party type:

  • For person party: queries for that party
  • For estate party: queries for estate shareholders
  • For organization party: queries for that organization and for beneficial owners

Responses

Request samples

Content type
application/json
{
  • "agentId": "5d2a6d47-da73-4b11-8940-27cffabb6de5",
  • "sanctionListQueryRefs": [
    ]
}

Response samples

Content type
application/json
{ }

Save sanctions list check evaluation

Saves an evaluation for a sanctions list check.

  • If the check is in DRAFT status, it evaluates it and changes status to EVALUATED.
  • If the check is already EVALUATED, it updates the result, description, or evaluation date.
Authorizations:
bearerAuth
path Parameters
sanctionsListCheckId
required
string <uuid>
Example: 987e6543-e21b-12d3-a456-426614174999

The unique identifier of the sanctions list check.

header Parameters
Request-ID
required
string <uuid>
Example: 9031d1c5-7d40-41dd-b2b8-7919a2fc4fe9

A unique id which identifies the HTTP request. The value of this header must be created by the client. This identifier is used for troubleshooting purposes.

Request Body schema: application/json
required

Contains the evaluation to be created for the sanctions list check.

result
required
string
Enum: "SANCTIONED" "NOT_SANCTIONED"

The result of the sanctions list evaluation.

resultDescription
string (ResultDescription) <= 1000 characters

Additional description or notes about the evaluation result.

evaluationDate
string <date-time>

The date when the evaluation was performed.

  • For first evaluation: If omitted, current time will be used.
  • For update: If omitted, the existing evaluation date is preserved.

Responses

Request samples

Content type
application/json
{
  • "result": "NOT_SANCTIONED",
  • "resultDescription": "No matches found in any sanctions lists.",
  • "evaluationDate": "2024-01-15T10:00:00Z"
}

Response samples

Content type
application/json
{ }

DOKS Sanction List Query

Endpoints for managing DOKS sanction list queries. This includes executing sanction list queries for parties and retrieving query results.

Execute DOKS sanction list queries

Executes sanction list queries for multiple parties and saves the results.

Authorizations:
bearerAuth
header Parameters
Request-ID
required
string <uuid>
Example: 9031d1c5-7d40-41dd-b2b8-7919a2fc4fe9

A unique id which identifies the HTTP request. The value of this header must be created by the client. This identifier is used for troubleshooting purposes.

Request Body schema: application/json
required
partyIds
required
Array of strings <uuid> (PartyId) [ 1 .. 100 ] items [ items <uuid > ]

List of party IDs to query against sanction lists.

Responses

Request samples

Content type
application/json
{
  • "partyIds": [
    ]
}

Response samples

Content type
application/json
{
  • "items": [
    ]
}

Search DOKS sanction list query results

Retrieves DOKS sanction list query results matching the search criteria. Either partyId or doksSanctionListQueryId query parameter must be provided.

Authorizations:
bearerAuth
query Parameters
partyId
Array of strings <uuid> (PartyId) <= 25 items [ items <uuid > ]
Example: partyId=123e4567-e89b-12d3-a456-426614174000

Filter by party IDs.

doksSanctionListQueryId
Array of strings <uuid> (DoksSanctionListQueryId) <= 25 items [ items <uuid > ]
Example: doksSanctionListQueryId=987e6543-e21b-12d3-a456-426614174999

Filter by DOKS sanction list query IDs.

startIndex
integer >= 0
Default: 0
Example: startIndex=0

The zero-based index of the first result to return.

size
integer [ 1 .. 100 ]
Default: 20
Example: size=20

The maximum number of results to return.

sort
string^(queryTime)\|(asc|ASC|desc|DESC)$
Example: sort=queryTime|desc

Sort order for the results. Format: queryTime|asc or queryTime|desc. Default is queryTime|desc.

header Parameters
Request-ID
required
string <uuid>
Example: 9031d1c5-7d40-41dd-b2b8-7919a2fc4fe9

A unique id which identifies the HTTP request. The value of this header must be created by the client. This identifier is used for troubleshooting purposes.

Responses

Response samples

Content type
application/json
{
  • "items": [
    ],
  • "totalCount": 42
}