THE RESOLUTION OF THE MINISTRY OF FINANCE OF THE REPUBLIC OF UZBEKISTAN, DEPARTMENT ON FIGHT AGAINST ECONOMIC CRIMES UNDER THE PROSECUTOR GENERAL'S OFFICE OF THE REPUBLIC OF UZBEKISTAN

of October 16, 2019 No. 105, No. 26

About modification and amendments in Rules of internal control on counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction for auditing organizations

According to the laws of the Republic of Uzbekistan "About counteraction of legalization of the income received from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction" "About auditor activities" and the Presidential decree of the Republic of Uzbekistan of May 21, 2019 the No. UP-5723 "About Enhancement of Procedure for Determination of the Amount of Compensation, Pensions and Other Payments" Ministry of Finance and Department on fight against economic crimes under the Prosecutor General's Office of the Republic of Uzbekistan decide:

1. Make changes and additions to Rules of internal control on counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction for auditing organizations, the Ministries of Finance approved by the resolution and Department on fight against economic crimes under the Prosecutor General's Office of the Republic of Uzbekistan of November 14, 2018 No. No. 145, 45 (рег. No. 3101 of December 15, 2018) (Collection of the legislation of the Republic of Uzbekistan, 2018, No. 51, the Art. 980), according to appendix.

2. This resolution becomes effective from the date of its official publication.

Appendix

to the Resolution of the Ministry of Finance and Department on fight against economic crimes under the Prosecutor General's Office of the Republic of Uzbekistan of October 16, 2019 No. No. 105, 26

Changes and additions made to Rules of internal control on counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction for auditing organizations

1. In preamble, the paragraph the fifth Item 3, Item 8, the paragraph third Item 13, the paragraph the second Item 23, Items 46, shall be replaced with words the 59th words "and to terrorism financing" to "financing of terrorism and financing of distribution of weapons of mass destruction".

2. In paragraph three of Item 2 of the word "and terrorism financings" shall be replaced with words "financings of terrorism and financing of distribution of weapons of mass destruction".

3. The second offer of Item 6 to state in the following edition:

"The auditing organization sends through means of mail service or electronically the information about the responsible and fulfillment of requirements of these rules to the Ministry of Finance of the Republic of Uzbekistan annually till January 10 according to appendix 1 to these rules".

4. Add with Item of 61 following contents:

"61. The Ministry of Finance of the Republic of Uzbekistan annually no later than January 20 represents to specially authorized state body of the information about responsibles in auditing organizations and fulfillment of requirements of these rules.".

5. 10, 11 to state Items in the following edition:

"10. Auditing organizations shall carry out regular retraining of responsibles for the purpose of increase in their knowledge of modern technology of legalization of the income received from criminal activities, financing of terrorism and financing of distribution of weapons of mass destruction, methods and tendencies and accurate explanation of all aspects of the legislation and obligations on counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction.

11. The responsible performs the following functions:

takes measures, stipulated by the legislation, these rules and internal regulations, for suppression of threat of use of services of auditing organization for legalization of income gained from criminal activities, financing of terrorism and financing of distribution of weapons of mass destruction;

exercises control of observance by auditing organization of requirements of the legislation on counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction, these rules and internal documents;

provides to the head of auditing organization information on the facts of the violations of the law connected with legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction;

submits for consideration to the head of auditing organization of the offer on elimination of the revealed shortcomings and violations of activities of auditing organization regarding non-compliance with requirements of these rules and internal regulations;

provides to the head of auditing organization at least once a year the report on results of implementation of these rules;

provides timely transmission of messages in specially authorized state body about suspicious transactions, about attempts of their making, and also execution of requests of specially authorized state body about provision of the additional information;

performs interaction with responsible persons of the Ministry of Finance of the Republic of Uzbekistan and specially authorized state body on the organization of internal control, the prevention and elimination of cases of violations of requirements of the legislation on counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction;

brings the List to employees of auditing organization.".

6. Add with Item of 141 following contents:

"141. Auditing organizations shall in the activities systematically, it is at least carry out once a year studying, the analysis and identification of possible risks of legalization of income gained from criminal activities, financing of terrorism and financing of distribution of weapons of mass destruction documentary to fix results of studying and to take adequate measures on decrease in the revealed risks.".

7. In Item 15 of the word "and to terrorism financing" shall be replaced with words to "financing of terrorism and financing of distribution of weapons of mass destruction".

8. State Item 16 in the following edition:

"16. Foreign separate divisions of auditing organizations (in the presence of those) when implementing measures for counteraction of legalization of income gained from criminal activities, to financing terrorism and financing of distribution of weapons of mass destruction shall observe requirements of the country of stay and in case these requirements differ from requirements of the legislation of Uzbekistan, to apply international standards in the field of counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction.".

9. In Item 17 of the word "and to terrorism financing" shall be replaced with words to "financing of terrorism and financing of distribution of weapons of mass destruction".

10. In paragraph seven of Item 19 of the word of "minimum wage" shall be replaced with words "from basic settlement size".

11. To state the subitem "an" of Item 30 in the following edition:

"a) the persons included in the List or which are under control of person included in the List, directly either indirectly being the owner or controlling the organization included in the List;".

12. State Item 53 in the following edition:

"53. The data received as a result of proper check and identification of the client shall be updated at least once a year, in case of assessment by auditing organization of risk of implementation by the client of legalization of income gained from criminal activities, financing of terrorism and financing of distribution of weapons of mass destruction.".

13. In item 4 of appendix 1 of the word "and to terrorism financing" shall be replaced with words to "financing of terrorism and financing of distribution of weapons of mass destruction".

14. To state Item 1 of appendix 3 in the following edition:

"1. The information obtained in the course of identification of the client and his beneficial owner, specified in appendix 2 to Rules of internal control on counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction in auditing organizations.".

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