THE RESOLUTION OF THE UZBEK COMMUNICATION AGENCY AND INFORMATIZATION, DEPARTMENT ON FIGHT AGAINST TAX, CURRENCY OFFENCES AND LEGALIZATION OF THE CRIMINAL INCOME UNDER THE PROSECUTOR GENERAL'S OFFICE OF THE REPUBLIC OF UZBEKISTAN 

of October 13, 2009 No. No. 10-8/4270, 33-09

About approval of Rules of internal control on counteraction of legalization of income gained from criminal activities and financing of terrorism for operators, providers of mail service

List of amending documents

Based on the Law of the Republic of Uzbekistan "About counteraction of legalization of income gained from criminal activities and to terrorism financing" (Sheets of chambers of Oliy Majlis of the Republic of Uzbekistan, 2009, No. 4, the Art. 139), Resolutions of the President of the Republic of Uzbekistan of April 21, 2006 No. PP-331 "About measures for strengthening of fight against crimes in the financial and economic, tax sphere, with legalization of the criminal income" (Collection of the legislation of the Republic of Uzbekistan, 2006, No. 18, the Art. 147), resolutions of the Cabinet of Ministers of the Republic of Uzbekistan of May 7, 2004 No. 215 "About measures for enhancement of activities of the Uzbek communication agency and informatization" (Collection of the legislation of the Republic of Uzbekistan, 2004, No. 19, the Art. 220) the Uzbek communication agency and informatizations and Department on fight with tax, currency crimes and legalization of the criminal income under the Prosecutor General's Office of the Republic of Uzbekistan decide:

1. Approve Rules of internal control on counteraction of legalization of the income, about received from criminal activities, and to financing of terrorism for operators, providers of mail service, according to appendix.

2. This Resolution becomes effective after ten days from the date of its state registration in the Ministry of Justice of the Republic of Uzbekistan.

CEO of the Uzbek communication agency and informatization

A. Aripov

The head of the department of fight against tax, currency offenses and legalization of the criminal income under the Prosecutor General's Office of the Republic of Uzbekistan

Z.Dusanov

Appendix

to the Resolution of the Uzbek communication agency and informatization and Department on fight against tax, currency offenses and legalization of the criminal income under the Prosecutor General's Office of the Republic of Uzbekistan from October 13, 2009 No. No. 10-8/4070 and 33-09

Rules of internal control on counteraction of legalization of income gained from criminal activities and financing of terrorism for operators, providers of mail service

These rules according to the Law of the Republic of Uzbekistan "About counteraction of legalization of the income received from criminal activities and to terrorism financing" (Collection of the legislation of the Republic of Uzbekistan, 2004, No. 43, Art. 451) establish procedure for the organization and implementation of internal control on counteraction of legalization of income gained from criminal activities and financing of terrorism by operators, providers of mail service in case of acceptance and delivery (delivery) of postal money transfers.

I. General provisions

1. In these rules the following basic concepts are applied:

the beneficial owner - physical person which finally owns the property rights or really controls the user of services of mail service, including the legal entity for the benefit of whom transaction with postal money transfers is made;

internal control - activities of operators, the providers of mail service performing acceptance and delivery (delivery) of postal money transfers for identification of the transactions which are subject to the message in specially authorized state body;

identification - establishment by operators, providers of mail service of data on users, on the basis of the documents provided by them for the purpose of implementation of proper check of users;

the transactions which are subject to the message - the made and prepared transactions with postal money transfers recognized by operators, providers of mail service suspicious during internal control;

suspicious transaction - the transaction with postal money transfers which is in process of preparation, making or already committed concerning which operators, providers in case of implementation of these rules had suspicions about its implementation for the purpose of legalization of income gained from criminal activities, and (or) terrorism financing;

the user of services of mail service (further - the user) the legal entity or physical person which is the consumer of services of mail service;

postal money transfer (further - money transfer) service of the operator or provider of mail service in transfer and delivery (delivery) of money with use of networks of mail service and telecommunications;

specially authorized state body - Department on fight against tax, currency offenses and legalization of criminal income under the Prosecutor General's Office of the Republic of Uzbekistan on behalf of Management on counteraction of legalization of the income gained about criminal activities and to terrorism financing (further - Department).

the states which are not participating in international cooperation in the field of counteraction of legalization of income gained from criminal activities and to terrorism financing - the states and the territories determined in official declarations of group on development of financial measures for anti-money laundering which pose threat to international financial system and which have system of counteraction of legalization of income gained from criminal activities and to terrorism financing have strategic shortcomings;

object of mail service - separate divisions of operators of mail service (post offices, nodes, departments, Items of mail service, and also other divisions);

offshore zone - the states and the territories which are providing preferential tax regime and (or) not providing disclosure and submission of information when carrying out financial transactions.

2. The purposes of implementation of internal control are:

effective identification and suppression of the transactions with money transfers directed to legalization of income gained from criminal activities and terrorism financing;

non-admission of intentional or unintentional involvement of operators, providers of mail service in criminal activities;

ensuring strict observance of requirements of the legislation on counteraction of legalization of income gained from criminal activities and to terrorism financing.

3. The main objectives of operators, providers of mail service when implementing internal control are:

determination and risks assessment of legalization of income gained from criminal activities, and terrorism financing and also taking measures to their decrease;

implementation of measures of proper check of users according to the legislation and these rules;

identification and studying of beneficial owners, and also sources of origin of the money used when implementing transactions;

identification of suspicious transactions based on the criteria determined by Item 20 of these rules;

timely provision in Department of information (documents) on the suspicious transactions revealed during implementation of internal control and subjects to the message;

suspension of the transactions which are subject to the message in particular cases for three working days from date when this transaction be made, and informing Department on such transaction in day of its suspension;

ensuring confidentiality of the data connected with counteraction of legalization of income gained from criminal activities and to terrorism financing;

ensuring storage of information on transactions with money transfers, and also identification data and materials on proper check of users during the terms established by the legislation;

forming of the database about implementation or attempts of implementation of suspicious transactions, persons (heads, founders) connected with the users who performed suspicious transactions, and also interchange by such information with state bodies and other organizations according to the legislation;

identification on requests in client base of faces tied with financing of terrorist activities.

II. Organization of internal control system

4. Operators, providers of mail service bear responsibility for the organization of internal control, forming of structural division or determination of responsible persons for observance of these rules.

The qualification requirements imposed to responsible persons for observance of these rules are determined by the head of the organization taking into account requirements of the legislation in the field of counteraction of legalization of income gained from criminal activities and to terrorism financing.

The face responsible for observance of these rules is appointed by the order of the operator, provider of mail service from number of persons employed, holding executive position.

Person responsible for observance of these rules shall:

know the legislation in the field of mail service, including the regulating documents accepted by the Ministry of development of information technologies and communications and the legislation on counteraction of legalization of income gained from criminal activities and to terrorism financing.

own knowledge of rules of rendering services of mail service, and also to regularly undergo advanced training on specialization courses.

Responsible for observance of these rules cannot be the nominated persons who showed malmanagement of entrusted division or dishonest business management in the activities and personal behavior, and also earlier brought by court to trial for crimes in the field of economy.

The order of interaction of staff of divisions of operators, providers of mail service with person responsible for observance of these rules, is established by internal documents of operators, providers of mail service.

5. The internal control system will be organized by operators, providers of mail service taking into account features of their functioning, the main activities, level of the risks connected with users and their transactions.

6. Operators, providers of mail service annually till January 15 provide in the Ministry of development of information technologies and communications of the Republic of Uzbekistan and the State inspectorate for supervision in the field of communication, informatization and telecommunication technologies (further - Inspection) lists of persons responsible for observance of these rules, with appendix of their biographical particulars.

Reports for work on counteraction of legalization of income gained from criminal activities, and financing of terrorism are provided quarterly in inspection of communication to the 5th following quarter of month.

7. For the purpose of counteraction of legalization of income gained from criminal activities and to financing of terrorism of person, responsible for observance of these rules, perform the following functions:

perform measures for identification, assessment, control, management and decrease in risks of legalization of income gained from criminal activities, and terrorism financing;

will organize implementation and implementation of procedures of internal control and proper check of users according to these rules;

on the basis of the analysis of risks assessment develop and submit for approval to management (approve) programs of actions for implementation of internal control;

provide to the head of the organization at the scheduled time, but at least once a year, the report on results of implementation of these rules and programs for implementation of internal control;

provide timely transmission of messages in Department about suspicious transactions or actions of the users revealed during implementation of procedures of internal control and also execution of requests of Department about provision of the additional information;

provide confidentiality of implementation process of these rules and programs of actions for implementation of internal control;

perform interaction with responsible persons of the Ministry of development of information technologies and communications of the Republic of Uzbekistan, Inspection and Department on the organization of internal control, the prevention and elimination of cases of violation of requirements of the legislation on counteraction of legalization of income gained from criminal activities and financing of terrorism and these rules.

8. Persons responsible for observance of these rules have the right:

request from the administrative, accounting and other documents necessary for the purposes of implementation of internal control the staff of the organization;

make copies of the received documents, receive copies of the files and other records which are stored in electronic databases, local area networks and autonomous computer systems of the organization for the purposes of implementation of internal control;

make to management offers on further actions concerning the transaction which is subject to the message (including on suspension of carrying out transaction for the purpose of obtaining additional or verifications of the available information on the user or transaction).

Persons responsible for observance of these rules can have also other rights according to the legislation.

9. Persons responsible for observance of these rules shall:

take adequate measures on identification and risks assessment of legalization of income gained from criminal activities and terrorism financing, on their registration and decrease;

perform proper check and identification of users;

take measures for identification of beneficial owners;

in case of identification of suspicious transactions to transfer in accordance with the established procedure information to Department;

observe confidentiality of the acquired information;

ensure safety and return of the documents received during implementation of internal control;

request from users of the data on the purpose and expected nature of business relations, and also information on origin of money in necessary cases;

in writing to fix results and conclusions of proper check on all transactions which are not making explicit economic sense, not answering the purpose and types of activity of the user provided by its constituent documents or the certificate on state registration which join materials of proper check of the user;

refuse to the user implementation of money transfers in cases of impossibility of completion of identification or obtaining by results of proper verification of the data specifying inexpediency of establishment with it business relations.

stop the transactions which are subject to the message in Department in the particular cases listed in Item 22 of these rules;

perform exchange of information about users with responsible persons of other operators, providers of mail service on observance of these rules;

Persons responsible for observance of these rules can perform also other duties according to the legislation.

10. Operators, providers of mail service shall in coordination with the Ministry of development of information technologies and communications. carry out regular retraining of persons responsible for observance of these rules, for the purpose of increase in their knowledge of the last innovations, including information on modern technology of legalization of income gained from criminal activities, and terrorism financing, methods and tendencies and accurate explanation of all aspects of the legislation and obligations on counteraction of legalization of income gained from criminal activities and terrorism financing.

11. Based on information obtained in the course of proper check, taking into account type of activity and the performed transaction with money transfers risk level of making of transaction for the purpose of legalization of income gained from criminal activities or financing of terrorism is appropriated to the user corresponding (high or low).

Operators, providers of mail service shall refer the users answering to initially following criteria concerning which operators, providers of mail service shall show special attention to category of high risk level:

persons concerning whom there are data on their participation in terrorist activities, or stay under control of the persons who are engaged in terrorist activities, or directly or indirectly being the owner or person controlling the organization performing or suspected of implementation of terrorist activities;

the persons who are constantly living, being or registered in the states which are not participating in international cooperation in the field of counteraction of legalization of income gained from criminal activities and to terrorism financing or in offshore zones;

the residents and nonresidents having accounts in offshore zones;

the organizations and individual entrepreneurs whose actual location does not correspond to the data specified in constituent or registration documents;

the organizations and individual entrepreneurs whose period of activities does not exceed one quarter of financial year;

the organizations which real owner is person specified in paragraph three of this Item;

the users performing suspicious transactions on systematic basis (more than two times within three months in a row).

In case of establishment of high risk level operators, providers of mail service shall take the strengthened measures for proper check of the user and perform permanent monitoring of the transactions made by it.

If the user is not carried to high risk level, then these users belong to the category of users with low risk level.

In process of change of nature of the operations performed by the user, operators, providers of mail service shall review risk level taking into account collected data by results of proper check of the user.

11-1. The strengthened measures for proper check of the user include:

receipt of additional information about the user (type of activity, the size of assets, other information which receipt is available, available to obtaining through open databases, including the Internet or other sources) and frequent updating of data on the user and the beneficial owner;

obtaining from the sender of data on source of means or financial condition of the user;

receipt of data about the planned or performed operations on money transfer;

obtaining from management of object of mail service of permission to carrying out transaction for money transfer;

implementation of the strengthened monitoring of postal orders.

III. Proper check of users

12. Operators, providers of mail service take measures for proper check of users:

in case of establishment of business relations with users;

when rendering services in acceptance and delivery (delivery) of money transfers;

in the presence of any suspicions on participation of the performed operations for the purposes of legalization of income gained from criminal activities, and terrorism financing;

in the presence of doubts in authenticity and reliability of earlier obtained data for identification.

13. Proper check of users shall be performed at all stages of rendering services.

Along with identification of the user or beneficial owner it is necessary to check their powers for making of transactions with use of the documents provided by them according to the legislation.

14. In case of one-time or repeated reference of the user with the order about implementation of transactions operators, providers of mail service shall:

identify the user or the beneficiary on transaction according to requirements of these rules or other acts of the legislation;

study earlier performed operations of this user during the last accounting period (month, quarter, half-year, year) if data on such transactions are available on hand;

determine transaction type and degree of its compliance of the purpose and to types of activity of the user - the legal entity, specified in its constituent documents;

determine transaction type and degree of its compliance to types of activity of the user - the physical person performing business activity, specified in its certificate on state registration.

pay special attention and carry out careful operation analysis, connected with international money transfers in which the information about the sender (surname, name, middle name of physical persons, full name, locations (postal address) of legal entities and the bank settlement account of the sender) is not provided or provided not in full.

15. Identification of the user - physical person is performed based on the document (the passport or the document equated to it) proving the identity.

If the physical person is individual entrepreneur, also its certificate on state registration shall be studied.

16. In case of identification of the user - the legal entity operators, providers of mail service shall check, if necessary, the relevant documents on state registration, data on form of business, the location, heads, and also the data specified in constituent documents.

17. Operators, providers of mail service shall check information provided by the user by means of:

uses of the information about the user received from state bodies and other organizations;

studying of relations of the user with other operators, providers of mail service.

18. In the course of identification of legal entities and physical persons operators, providers of mail service, shall undertake reasonable and available measures for identification of beneficial owners of the user, including by studying of structure of property of the user.

19. The operator, provider of mail service refuses to users making of transactions in case of non-presentation of documents by them, necessary for identification.

19-1. In case of identification of the user and beneficial owner operators, providers of mail service shall verify the acquired information with the list of persons specified in Item 22 of these rules.

19-2. Data on transactions with money transfers shall be drawn up so that it was in case of need possible to recover all details of transactions.

19-3. The data received as a result of proper check on all difficult, unusually large transactions or other suspicious transactions which do not have the explicit or visible economic or legal target are fixed on paper or entered into the electronic database allowing persons performing identification of users to have quick access in the permanent mode for verification of information on the user.

19-4. The data received as a result of proper check and identification of the user shall be updated by operators, providers of mail service annually.

IV. Criteria and procedure for identification of suspicious transactions

20. Transaction on acceptance, transfer and payment of money can be acknowledged suspicious in the following cases:

unmotivated refusal in provision by the user of the data (except as specified, established by the legislation) requested due to the need including on the principal (if the user acts as the attorney);

excessive concern of the user in questions of confidentiality concerning the made transaction;

unreasonable haste in carrying out transaction on which the user insists;

identification of numerous making of transactions which suggest that the purpose of their implementation is evasion from the control procedures established by the legislation;

if the user for one or within 30 calendar days sends or gets money transfers for the total amount exceeding the amount equivalent to the 1000-fold size of minimum wage;

if the user sends or gets the money transfers having tangled or unusual character (sending within one or 30 calendar days of 10 and more money transfers regardless of total amount to different addresses);

if it is not possible to hand money transfer to the addressee or the sender for any reasons;

if the user - the legal entity insists on carrying out settlement in cash;

if the user or one of participants of transaction is the person who is constantly living, being or registered in the state which is not participating in international cooperation in the field of counteraction of legalization of income gained from criminal activities and to terrorism financing;

impossibility of completion of identification or obtaining by results of proper verification of the data specifying inexpediency of establishment with the user of business relations;

availability of any suspicions that the money used when implementing transaction has criminal origin.

21. Recognition of transaction suspicious is performed in each case on the basis of the complex analysis which is carried out with use of the criteria of suspiciousness established by these rules and also depending on the risk determined by the user's type, the purposes and the amount of money transfer and based on other circumstances important for the correct determination of suspiciousness of transactions.

22. Any transaction with money transfers is subject to the message in Department in the presence of information obtained in accordance with the established procedure on what one of the parties of this transaction is:

legal entity or physical person which participates or is suspected of participation in terrorist activities;

legal entity or physical person which directly or indirectly is owner or controls the organization performing or suspected of implementation of terrorist activities;

the legal entity who is in property or under control of physical person or the organizations performing or suspected of implementation of terrorist activities.

In these cases operators, providers of mail service shall stop transactions with money transfers for three working days from date when this transaction be made and inform Department on such transaction in day of its suspension. In the absence of the instruction of Department about suspension of transaction with money transfers after the specified term the operator, provider of mail service starts transaction renewal.

23. After recognition of transaction of the user suspicious person responsible for observance of these rules makes the decision on further actions on the user, including:

the message on suspicious transaction in Department;

acceptance of the strengthened measures for proper check;

the termination of the relations with the user according to the legislation or the agreement signed with it.

24. Messages on suspicious transactions are transferred by operators, providers of mail service to Department no later than one working day from the moment of recognition of transaction suspicious according to the form determined by the Cabinet of Ministers of the Republic of Uzbekistan.

Information on each message concerning suspicious transaction is entered in the special magazine which is kept in paper and (or) electronic type-faced, responsible for observance of these rules.

25. Operators, providers of mail service shall give also without delay in Department any information which can confirm or remove suspicions from the corresponding transaction.

V. Registration, storage, ensuring confidentiality of information and the documents received as a result of implementation of internal control

26. On the transactions which are subject to the message in Department according to the legislation and these rules are documentary drawn up:

transaction type and bases of its making;

transaction date and the amount on which it is made;

the data necessary for identification of the user making transaction;

the data necessary for identification of the user, according to the order and on behalf of which transaction is made;

the data necessary for identification of the representative (confided) user making transaction on behalf of this person;

the data necessary for identification of the receiver on transaction with money and his representative.

27. Operators, providers of mail service shall store information on transactions with money, and also identification data and materials on proper check of users, including business correspondence during the terms established by the legislation, but at least five years after implementation of transactions or the termination of the relations with users.

28. Operators, providers of mail service limit information access, the legalization of income gained from criminal activities connected with counteraction and terrorism financing, provide its non-proliferation and have no right to inform legal entities and physical persons on provision of messages on their transactions in Department.

Operators, providers of mail service provide nondisclosure (either non-use for personal reasons or interests of the third parties) their employees of information obtained in the course of accomplishment of functions by them on internal control.

28-1. These rules, and also other documents regulating measures for counteraction of legalization of income gained from criminal activities and terrorism financing shall be brought to all staff of structural divisions of operators, providers of mail service.

VI. Final provisions

29. Monitoring and control of observance by operators, providers of mail service of requirements of these rules are performed by the Ministry of development of information technologies and communications and Inspection together with Department.

30. Persons guilty of concealment of the facts of violations of the law in the field of counteraction of legalization of income gained from criminal activities and to terrorism financing, and also in violation of requirements of these rules, bear responsibility according to the procedure, established by the legislation.

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