影响映射：通过国内政治公众人物名单管理腐败风险的方法

Approaches to Managing Corruption Risks throughDomestic Politically Exposed Persons Lists.Public Disclosure Authorized GUIDANCE NOTE Marilyne Pereira Goncalves and Nigel Marc Bartlett MAPPING INFLUENCE: Approaches to Managing Corruption Risks throughDomestic Politically Exposed Persons Lists. GUIDANCE NOTE Marilyne Pereira Goncalves and Nigel Marc Bartlett ©[2026] International Bank for Reconstruction and Development / The World Bank1818 H Street NWWashington DC 20433Telephone: 202-473-1000Internet:www.worldbank.org This work is a product of the staff of The World Bank with external contributions. The findings,interpretations, and conclusions expressed in this work do not necessarily reflect the views ofTheWorldBank, its Board of Executive Directors, or the governments they represent. The World Bank does not guarantee the accuracy, completeness, or currency of the data includedinthiswork and does not assume responsibility for any errors, omissions, or discrepancies in theinformation, or liability with respect to the use of or failure to use the information, methods, processes,orconclusions set forth. The boundaries, colors, denominations, and other information shown on any mapin this work do not imply any judgment on the part of The World Bank concerning the legal status of anyterritory or the endorsement or acceptance of such boundaries. Nothing herein shall constitute or be construed or considered to be a limitation upon or waiver of theprivileges and immunities of The World Bank, all of which are specifically reserved. Rights and Permissions The material in this work is subject to copyright. Because The World Bank encourages disseminationofitsknowledge, this work may be reproduced, in whole or in part, for noncommercial purposes as longas full attribution to this work is given. Any queries on rights and licenses, including subsidiary rights, should be addressed to World BankPublications, The World Bank Group, 1818 H Street NW, Washington, DC 20433, USA; fax: 202-522-2625;e-mail:pubrights@worldbank.org. Cover design: Sanjay R. Seth, srscreative. Contents AbbreviationsviiiAcknowledgmentsixExecutive Summaryx 1.Introduction 1.1.Significance of Politically Exposed Persons in Combating Money Laundering,TerroristFinancing, and Corruption21.2.Challenges in Identifying PEPs41.3.Purpose of the Guidance: Helping Countries Create Lists of PEPs to AlleviatetheRegulatory Burden5 2.1.Benefits82.2.Costs and Challenges9 3.Defining Domestic PEPs11 3.1.FATF Definition of PEPs123.2.Use of Open-Ended Definition Versus a Defined List of Official Positions133.2.1Open-Ended Definition133.2.2Defined List of Official Positions143.3.Broader Versus Narrower Definitions: What Is Required UnderaRisk-BasedApproach143.3.1Considering High-Risk Sectors and Situations (Sectors and SituationsParticularlyExposed to Corruption and Money Laundering)153.3.2Middle-Ranking Positions153.3.3Considering Political, Legal, and Cultural Systems in Defining PEPs163.3.4High-Risk Environmental Sector163.4.Family Members and Close Associates18 4.Developing and Managing aDomestic PEP List204.1.Step 1:Designating an Authority Responsible for DevelopmentofaDomesticPEPList224.2.Step 2:Compiling Sources of Information and IdentifyingNecessaryStakeholders244.2.1Resources Provided by Public Authorities and Agencies254.2.2Commercial Databases284.2.3Obliged Entities In-House Systems294.2.4Media Resources and Non-Profit Projects294.2.5Open-Source Intelligence314.3.Step 3: Establishing Collaboration Frameworks for Verifications and Updates314.3.1Building Collaboration Channels324.3.2Updating PEP List334.4.Step 4: Determining the Scope of Information to Be Provided in the PEP List344.4.1Personal Information354.4.2Professional Information354.4.3Legal and Financial Information354.5.Step 5:Determining Accessibility of the PEP List and FormattingandInformationTechnology Challenges364.5.1Accessing PEP Database364.5.2Use of the List404.5.3Format of PEP Lists414.5.4Information Technology Options for Managing PEP List424.6.Step 6:Building a Legal and Institutional Framework for an EffectiveDomesticPEPListswith Names444.6.1Clarifying the Notion of PEPs and Their Family MembersandCloseBusinessAssociates454.6.2Determining the Period for Declassification of PEPs464.6.3Protecting Personal Data484.6.4Balancing Identification and Privacy494.6.5Setting Up an Institutional Framework49 Abbreviations AMLAnti-Money LaunderingCDDCustomer Due DiligenceCFTCombating the Financing of TerrorismDNFBPsDesignated Non-Financial Businesses and ProfessionsEDDEnhanced Due DiligenceEUEuropean UnionFATFFinancial Action Task ForceFIUFinancial Intelligence UnitOSINTOpen-Source IntelligencePEPPolitically Exposed Person Acknowledgments This World Bank Guidance is the result of collaborative efforts of teams within the FinanceCompetitiveness and Investment and Environment departments, with funding from the GlobalEnvironment Facility–financed, World Bank–led Global Wildlife Program