ORDER OF FEDERAL SERVICE FOR FINANCIAL MONITORING

of June 7, 2005 No. 86

About approval of the Instruction about submission to Federal Service for Financial Monitoring of information provided by the Federal Law of August 7, 2001 No. 115-FZ "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing"

According to the Federal Law of July 28, 2004 N 88-FZ "About introduction of amendments to the Federal law "About Counteraction of Legalization (Washing) of Income Gained in the Criminal Way and to Terrorism Financing" (The Russian Federation Code, 2004, N 31, the Art. 3224), the Presidential decree of the Russian Federation of March 9, 2004 N 314 "About system and structure of federal executive bodies" (The Russian Federation Code, 2004, N 1, the Art. 945), the order of the Government of the Russian Federation of June 23, 2004 N 307 "About approval of the Regulations on Federal Service for Financial Monitoring" (The Russian Federation Code, 2004, N 26, the Art. 2676), the order of the Government of the Russian Federation of October 25, 2004 N 578 "About modification of the order of the Government of the Russian Federation of April 17, 2002 N 245" (The Russian Federation Code, 2004, N 44, the Art. 4351), the order of the Government of the Russian Federation of February 16, 2005 N 82 "About approval of the Regulations on procedure for information transfer in Federal Service for Financial Monitoring the lawyers, notaries and persons performing business activity in the field of rendering legal or accounting services" (The Russian Federation Code, 2005, N 8, the Art. 659), the order of the Ministry of Finance of the Russian Federation of December 30, 2004 N 127 N "About approval of the Regulations on territorial authority of Federal Service for Financial Monitoring" (The bulletin of regulations of federal bodies of the power, 2005, N 9), I order:

1. Approve the enclosed Instruction about submission to Federal Service for Financial Monitoring of information provided by the Federal Law of August 7, 2001 N 115-FZ "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing".

2. Recognize to invalid:

The order of Committee of the Russian Federation on financial monitoring of September 3, 2002 N 62 "About approval of the Instruction about submission to Committee of the Russian Federation on financial monitoring of information provided by the Federal Law of August 7, 2001 N 115-FZ "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (it is registered in the Ministry of Justice of the Russian Federation on October 11, 2002, registration N 3860);

The order of Committee of the Russian Federation on financial monitoring of June 4, 2003 N 64 "About modification and amendments in the Order KFM of Russia of September 3, 2002 N 62" (it is registered in the Ministry of Justice of the Russian Federation on June 26, 2003, registration N 4832).

 

Approved by the order of Federal Service for Financial Monitoring of June 7, 2005 No. 86

The instruction about submission to Federal Service for Financial Monitoring of information provided by the Federal Law of August 7, 2001 No. 115-FZ "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing"

Based on the Federal Law of August 7, 2001 N 115-FZ "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (The Russian Federation Code, 2001, N 33 (p. I), Art. 3418; 2002, N 30, Art. 3029; N 44, of Art. 4296; 2004, N 31, the Art. 3224), the Presidential decree of the Russian Federation of November 1, 2001 N 1263 "About authorized body on counteraction of legalization (washing) of income gained in the criminal way and terrorism financing" (The Russian Federation Code, 2001, N 45, Art. 4251; 2003, N 15, the Art. 1346), orders of the Government of the Russian Federation of June 23, 2004 N 307 "About approval of the Regulations on Federal Service for Financial Monitoring" (The Russian Federation Code, 2004, N 26, the Art. 2676), orders of the Government of the Russian Federation of April 17, 2002 N 245 "About approval of the Regulations on submission of information to Federal Service for Financial Monitoring by the organizations performing transactions with money and other property" (The Russian Federation Code, 2002, N 16, Art. 1572; 2003, N 4, Art. 327; 2004, N 44, the Art. 4351), orders of the Government of the Russian Federation of February 16, 2005 N 82 "About approval of the Regulations on procedure for information transfer in Federal Service for Financial Monitoring the lawyers, notaries and persons performing business activity in the field of rendering legal or accounting services" (The Russian Federation Code, 2005, N 8, the Art. 659), the order of the Ministry of Finance of the Russian Federation of December 30, 2004 N 127 N "About approval of the Regulations on territorial authority of Federal Service for Financial Monitoring" (The bulletin of regulations of federal bodies of the power, 2005, N 9) in this Instruction the Federal Service for Financial Monitoring (daleerosfinmonitoring) establishes single format of submission to Rosfinmonitoring by the organizations performing transactions with money or other property information on transactions with money or other property which is subject to mandatory control and also on transactions with money or other property on which based on program implementation of implementation of internal control there were suspicions that they are performed for the purpose of legalization (washing) of income gained in the criminal way or terrorism financing (further - information); coding form; lists (reference books) of codes which are subject to use in case of its representation; communication channels for information transfer; forms of written requests of Rosfinmonitoring in the organization about the submission of information and documents (or the copies of documents certified in accordance with the established procedure) confirming this information, and the list of the officials having the right to send written requests to the organizations.

Professional participants of the security market, insurance companies; the leasing companies, the organizations of federal mail service, pawnshops, the organizations performing buying up, purchase and sale of precious metals and gemstones, jewelry from them and scrap of such products, the organizations which are containing totalizators and bookmaker offices, and also organizing and carrying out lotteries, totalizators (mutual bet) and other, founded on risk of game, including electronically, the organizations exercising control of investment funds or non-state pension funds, the organizations rendering intermediary services when implementing transactions of purchase and sale of real estate (further - the organizations) provide information in Rosfinmonitoring according to provisions of this Instruction.

The lawyers, notaries and persons performing business activity in the field of rendering the legal or accounting services having the right to transfer information to Rosfimonitoring as independently, and through lawyer and notarial chambers in the presence at these chambers of the agreement on interaction with Rosfinmonitoring.

Credit institutions provide in Rosfinmonitoring the relevant information according to the procedure, established by the Central bank of the Russian Federation.

1. Forms of representation and methods of information transfer in Rosfinmonitoring

1.1. The organizations documentary fix and provide in Rosfinmonitoring information provided by the Federal Law of August 7, 2001 N 115-FZ "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (further - the Federal Law), no later than the working day following behind day of making of the transaction which is subject to mandatory control according to provisions of this Instruction.

1.2. The organizations, the lawyers, notaries and persons performing business activity in the field of rendering legal or accounting services in the presence at them any bases to believe that transactions or financial transactions are performed or can be performed for the purpose of legalization (washing) of income gained in the criminal way or terrorism financing, notify on it Rosfinmonitoring no later than the working day following behind day of identification of the corresponding transaction (transaction).

1.3. Submission of information is allowed by the following methods:

a) in the form of the formalized message on papers (further - SPD) certified by authorized signatures of the organization and certified by seal of the organization (person);

b) in the form of the electronic document (further - EDMS) created by the organization, signed (certified) by the registered digital signature and having equal legal force with SPD.

1.4. SPD go the organizations (persons) to Rosfinmonitoring the mailing with the assurance of receipt or the courier, with observance of the measures excluding uncontrolled access to documents to delivery time are located in the packaging excluding possibility of their damage or extraction of information from them without violation of integrity of packaging.

1.5. For sending by the EDMS organizations to Rosfinmonitoring the following methods of information transfer are provided: Internet, modem communication.

1.6. Preparation and sending EDMS to Rosfinmonitoring is performed by means of the automated complex of software on input, processing and information transfer in Rosfinmonitoring using means of cryptographic information security (further - automated workplace "Organization").

1.7. The automated workplace "Organization" is used only for preparation and submission to Rosfinmonitoring of information provided by the Federal Law according to provisions of this Instruction.

1.8. In case of lack of possibility of submission of information on the EDMS form, for example, before receipt of the software of automated workplace "Organization", lack of communication channels, in case of technical failures of the equipment, information is presented in SPD form according to provisions of this Instruction.

1.9. Rosfinmonitoring ensures safety and nondisclosure of information provided by the organizations (persons).

2. Forming and direction by the organizations (persons) of SPD. Format

representations of SPD. Control SPD, provided by the organizations (persons) to Rosfinmonitoring

2.1. The formalized messages on papers on the transactions with money or other property which are subject to control are represented to Rosfinmonitoring in the form 3-SPD given in Appendix 1 to this Instruction.

2.2. The form 3-SPD is intended for filling with the organizations (persons) of information provided by this Instruction, and representation in the form of paper forms of the established format.

2.3. The organizations (person) provide information on the form 3-SPD filled with the following methods:

a) with use of software on technology of bar coding of information;

b) with use of text editor on the computer with printout on the printer;

c) on the typewriter or printing letters pen on the ready form.

2.4. For forming of form 3-SPD with use of technology of bar coding of information the software of Adobe Reader 7.0 shall be installed on the computer of the organization (person).

Software of Adobe Reader 7.0., its updates and instructive materials on installation can be received by the organization (person) from the official site of the Adobe company (http://www.adobe.com/products/acrobat/readstep2.html).

The instruction for loading and installation on workplace of the organization (person) of the software for forming, filling and seal of the form 3-SPD prepared using technology of bar coding of information is posted on the website of Rosfinmonitoring on the Internet (www.fedsfm.ru).

2.5. For forming of form 3-SPD with use of text editor on the computer or printing letters on the ready form the form 3-SPD is published on the website of Rosfinmonitoring in the Internet (www.fedsfm.ru), and also in the operating information legal-reference systems.

2.6. In case of submission of information by the organizations (persons) to Rosfinmonitoring on papers filling of form 3-SPD is allowed, using any software on forming of the formalized messages on papers.

2.7. Explanations on filling of details of form 3-SPD are given in Appendix 2 to this Instruction.

2.8. Each form 3-SPD irrespective of method of filling is signed by the head of the organization or the special official responsible for observance of rules of internal control and programs of its implementation, and certified by seal of the organization (person).

2.9. To each form 3-SPD sent to Rosfinmonitoring, the organization (person) assigns sequence numerical number of the message, starting with number "1" within one calendar year of submission of messages and date of submission of the message which are unique transaction ID and can be used in case of references to messages of the organization (person).

Primary message matters the detail "Document type" - "1 - addition of new record".

2.10. In case of simultaneous sending to Rosfinmonitoring of large number of the prepared forms 3-SPD of the message it is possible to direct as appendices to the cover letter.

2.11. Submission by the organization (person) to Rosfinmonitoring of information on papers in the form other than form 3-SPD, is not allowed.

2.12. Rosfinmonitoring exercises control of authenticity of the obtained information, including identification of the sender of information, identity (invariance) of contents of the information message, and also check of reliability of the obtained information.

In case of submission of information by the organizations in the distorted type or incomplete amount, submissions of information on the form other than form 3-SPD, lack of sheets, obligatory for filling, and details of form 3-SPD, and also lack of seal of the organization, the signature of the head of the organization or the special official responsible for observance of rules of internal control and programs of its implementation, Rosfinmonitoring sends to the address of the organization the written request on submission of information provided by the Federal Law for informing the organization on rejection of form 3-SPD and the specific reasons of rejection of the information message by Rosfinmonitoring.

The form of the written request on submission of information provided by the Federal Law is given in Appendix 3 to this Instruction.

2.13. In case of receipt of the written request the organization takes measures for elimination of the reasons of rejection of the message specified in the written request and within 5 working days from the date of receipt of the written request directs the corrected message in form 3-SPD important the detail "Document type" - "2 - record correction".

At the same time primary couple of values of details of number and date of the message are specified.

2.14. In case of initiative entering by the organization (person) of changes or amendments into information which is earlier provided and accepted by Rosfinmonitoring, the organization (person) sends to Rosfinmonitoring the replacing message in form 3-SPD entirely important the detail "Document type" - "3 - record replacement request" with indication of in the detail "Additional information" of the made changes and additions.

When filling sheets of form 3-SPD primary couple of values of details of number and date of the message are specified.

3. Forming and direction by the EDMS organizations. Format

representations of EDMS. Control EDMS, provided by the organizations to Rosfinmonitoring

3.1. The formalized messages protected electronic are presented by the organizations in Rosfinmonitoring in the EDMS form, the automated workplaces prepared with use "Organization".

3.2. The sequence of actions for forming of EDMS by means of automated workplace "Organization", and also format and structure of EDMS are stated in the instructive materials which are in automated workplace set "Organization".

3.3. To everyone EDMS, sent to Rosfinmonitoring, the organization assigns sequence numerical number of the message, starting with number "1" within one calendar year of submission of messages, and date of submission of the message which are the EDMS unique identifier and can be used in case of references to messages of the organization. Primary message matters the detail "Document type" - "1 addition of new record".

3.4. Transfer of EDMS by means of automated workplace "Organization" is performed using the means of cryptographic information security which are included in the automated workplace package "Organization".

3.5. The sequence of receipt of means of cryptographic information security by the organizations and automated workplace "Organization" is established by Rosfinmonitoring.

3.6. The e-mail address of Rosfinmonitoring is automatically created for EDMS by means of automated workplace "Organization" and "Organization" in the Parameters catalog registers in automated workplace.

3.7. The method of submission of information by means of modem communication is posted on the website of Rosfinmonitoring on the Internet (www.fedsfm.ru).

3.8. In case of receipt of EDMS Rosfinmonitoring exercises control of authenticity of the obtained information, including identification of the sender of EDMS, identity (invariance) of contents of the information message, and also check of reliability of the obtained information.

3.9. It cannot be accepted EDMS it (is rejected) by Rosfinmonitoring as a result of implementation of procedures of incoming logical inspection of information presented in the distorted form or incomplete amount, emergence of mistakes when deciphering EDMS.

3.10. EDMS, not accepted (rejected) by Rosfinmonitoring, are excluded from further processing, and to the organization the inquiry is sent for submission of information provided by the Federal Law for informing the organization on rejection of EDMS with indication of the specific reasons of rejection of the information message in electronic form.

The request form about submission of information provided by the Federal Law is given in Appendix 3 to this Instruction.

3.11. In case of receipt of request the organization takes measures for elimination of the reasons of rejection of EDMS specified in request, corrects the notes specified by Rosfinmonitoring and within 5 working days from the date of receipt of electronic request, sends the corrected message to Rosfinmonitoring.

The corrected message matters the detail "Document Type " " 2 — Record Correction". At the same time primary couple of values of details of number and date of the message are specified.

3.12. In case of the technical issues connected with forming and the EDMS direction, the organization calls Rosfinmonitoring of "the hot line" or addresses in writing to Rosfinmonitoring.

3.13. For initiative modification and amendments of information which is earlier provided and successfully accepted by Rosfinmonitoring the organization provides replacing EDMS entirely, important the detail "Document type" - "3 - record replacement request" with indication of in the detail "Additional information" of the made changes and additions in the information message.

At the same time primary couple of values of details of number and date of the message are specified.

4. Appeals of the organizations (persons) to Rosfinmonitoring for removal of earlier provided information

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