ORDER OF THE MINISTER OF FINANCE OF THE REPUBLIC OF KAZAKHSTAN

of October 10, 2014 No. 430

About approval of the Regulations on Committee on financial monitoring of the Ministry of Finance of the Republic of Kazakhstan

List of amending documents

According to the order of the Government of the Republic of Kazakhstan of April 24, 2008 "About some questions of the Ministry of Finance of the Republic of Kazakhstan" I ORDER to No. 387:

1. Approve the enclosed Regulations on Committee on financial monitoring of the Ministry of Finance of the Republic of Kazakhstan.

2. (Tadzhiyakov B. Sh.) in the procedure established by the legislation to provide to committee on financial monitoring of the Ministry of Finance of the Republic of Kazakhstan:

1) state registration of this order in the Ministry of Justice of the Republic of Kazakhstan;

2) within ten calendar days after state registration of this order its direction on official publication in periodic printing editions and in information system of law of Ad_let;

3) placement of this order on Internet resource of the Ministry of Finance of the Republic of Kazakhstan.

3. This order becomes effective after ten calendar days after day of its first official publication, except for subitems 22), 23), 24) and 25) of Item 14 of the Regulations on Committee on financial monitoring of the Ministry of Finance of the Republic of Kazakhstan approved by this order which become effective since December 15, 2014.

Approved by the Order of the Minister of Finance of the Republic of Kazakhstan of October 10, 2014 No. 430

Regulations on Committee on financial monitoring of the Ministry of Finance of the Republic of Kazakhstan

Chapter 1. General provisions

1. The committee on financial monitoring of the Ministry of Finance of the Republic of Kazakhstan (further – Committee) is the department of the Ministry of Finance of the Republic of Kazakhstan performing management in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing and also in the field of the prevention, identification, suppression, disclosures and investigations of the criminal and administrative offenses carried by the legislation of the Republic of Kazakhstan to maintaining this body and other functions according to the legislation of the Republic of Kazakhstan.

The committee has territorial authorities, being legal entities, in the form of republican public institution, created and abolished by the Government of the Republic of Kazakhstan, and also specialized public institution – republican public institution "the Film logical center of Committee on financial monitoring of the Ministry of Finance of the Republic of Kazakhstan.

2. The committee performs the activities according to the Constitution and the laws of the Republic of Kazakhstan, acts of the President and the Government of the Republic of Kazakhstan, other regulatory legal acts, and also this Provision.

3. The committee is legal entity in form of business of public institution, has seals and stamps with the name in state language, forms of the established sample, according to the legislation of the Republic of Kazakhstan, the account in bodies of treasury.

4. The committee enters the civil relations from own name.

5. The committee has the right to act as the party of the civil relations on behalf of the state if it is authorized on it according to the legislation.

6. The committee on questions of the competence of the procedure established by the legislation of the Republic of Kazakhstan makes the decisions which are drawn up by orders of the Chairman of Committee or replacement his face and other acts, stipulated by the legislation the Republic of Kazakhstan.

7. The structure and limit of the number of staff of Committee affirm according to the current legislation.

8. Legal address of Committee: 010000, Republic of Kazakhstan, Nour-Sultan's city, Prospekt Mang_l_k El, 8, entrance 1, building "House of the Ministries".

9. Full name of state body - republican public institution "Committee on financial monitoring of the Ministry of Finance of the Republic of Kazakhstan".

10. This Provision is the constituent document of Committee.

11. Financing of activities of Committee is performed from the republican budget.

12. The committee is forbidden to enter contractual relations with subjects of entrepreneurship regarding accomplishment of the obligations which are functions of Committee.

If the Committee by legal acts is granted the right to perform the activities which are bringing in incomes, then income gained from such activities go to the income of the government budget.

Chapter 2. Main objectives, functions, rights and obligations of Committee

13. Tasks of Committee:

1) realization of single state policy in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

2) counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing, coordination of work of state bodies in this activity;

3) creation of unified information system and maintaining the republican database in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

4) implementation of interaction and information exchange with competent authorities of foreign states in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

5) representation of interests of the Republic of Kazakhstan in the international organizations for counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

6) the prevention, identification, suppression, disclosure and investigation of the criminal and administrative offenses carried by the legislation of the Republic of Kazakhstan to maintaining this body.

14. Functions of Committee:

1) implementation of data collection and processing about the transactions with money and (or) other property which are subject to financial monitoring according to the Law of the Republic of Kazakhstan of August 28, 2009 "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (further - the Law);

2) implementation of the analysis of the acquired information in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

3) coordination of activities of state bodies in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

4) the direction of necessary information on transactions with money and (or) other property which is subject to financial monitoring for permission of the materials which are in production at the request of criminal court judge;

5) representation in the procedure established by the legislation of the Republic of Kazakhstan on requests of law enforcement and special state bodies of data and information on the transaction which is subject to financial monitoring;

6) the direction in the Prosecutor General's Office of the Republic of Kazakhstan of data and information on transaction with money and (or) other property, in the presence of the bases to believe that such transaction is connected with legalization (washing) of income gained in the criminal way, and (or) terrorism financing;

7) participation in development and implementation of programs of international cooperation concerning counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

8) the organization of forming and maintaining the republican database, and also ensuring methodological unity and the approved functioning of information systems in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

9) development and holding actions for the warning of violations of the law of the Republic of Kazakhstan of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

10) generalization of practice of application of the legislation of the Republic of Kazakhstan on counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism based on information obtained from state bodies and other organizations and also development and introduction of offers on its enhancement;

11) studying of the international experience and practice of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

12) holding actions for retraining and advanced training of personnel in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

13) participation in accordance with the established procedure in activities of the international organizations, associations and working groups in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

14) determination of the list of offshore zones for the purposes of the Law in coordination with National Bank of the Republic of Kazakhstan;

15) determination in coordination with the relevant state bodies of the list of the documents necessary for proper check of the client by types of subjects of financial monitoring;

16) creation of the list of the organizations and faces tied with financing of terrorism and extremism which is placed on official Internet resource of Committee, and the direction it to the relevant state bodies in electronic form;

17) decision making about suspension of suspicious transaction or about lack of need for suspension of suspicious transaction and finishing it to the subject of the financial monitoring and state body which provided the message on suspicious transaction, electronic method or on paper;

18) decision making about suspension of account transactions according to bank accounts of persons who are participants of transaction on whom reasons to believe are had that they are directed to financing of terrorism and finishing it to the subjects of financial monitoring provided by the subitem 1) of Item 1 of article 3 of the Law;

19) informing on suspension of account transactions according to bank accounts of the Prosecutor General's Office of the Republic of Kazakhstan, the law enforcement and special state bodies which provided decisions on need of suspension of suspicious transaction according to which reasons to believe are had that they are directed to terrorism financing;

20) bringing to the subject of financial monitoring of the relevant decision of law enforcement and special state bodies within three hours from the moment of obtaining;

21) cooperation with competent authorities of foreign states in the field of the prevention, identifications, suppression and investigation of the acts connected with legalization (washing) of income gained in the criminal way, and terrorism financing, and also confiscation of the specified income according to the laws of the Republic of Kazakhstan and international treaties of the Republic of Kazakhstan;

22) creation of the list of the states (territories) which do not carry out and (or) implement insufficiently recommendations of Group of development of financial measures of anti-money laundering (FATF) which is placed on official Internet resource of Committee;

23) determination together with authorized body of foreign intelligence and the Prosecutor General's Office of the Republic of Kazakhstan of procedure for provision of data and information on the transactions which are subject to financial monitoring, authorized body of foreign intelligence;

24) the information transfer, data and documents on legalization (washing) of income gained in the criminal way, and terrorism financing performed at the request of competent authority of foreign state;

25) the notification on refusal in information transfer, data and documents to the requesting competent authority of foreign state with indication of the bases for refusal;

26) implementation of accounting of the subjects of financial monitoring provided by subitems 7) (except for lawyers), 13) - 16) Item 1 of article 3 of the Law according to the Law of the Republic of Kazakhstan "About permissions and notifications";

27) implementation of acceptance of notifications from the subjects of financial monitoring provided by subitems 7) (except for lawyers), 13) - 16) Item 1 of article 3 of the Law according to the Law of the Republic of Kazakhstan "About permissions and notifications";

28) coordination of work on realization of risks assessment in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

29) development and entering into the Government of the Republic of Kazakhstan on approval of Rules of evaluating risks of legalization (washing) of the income and financing of terrorism, and also the measures directed to decrease in risks of legalization (washing) in the income and financing of terrorism;

30) transfer of data on identification of property of person included in the list of the organizations and faces tied with financing of terrorism and extremism, including the isolated property in legal entities in the Prosecutor General's Office of the Republic of Kazakhstan for the solution of question of seizure of such property;

31) decision making about carrying out transaction or refusal in carrying out the transaction provided by the subitem 1) of part one of Item 8 of article 12 of the Law and finishing it to subjects of financial monitoring;

32) consideration of the application about exception of the organization or physical person of the list of the organizations and faces tied with financing of terrorism and extremism;

33) approval of tipologiya, schemes and methods of legalization (washing) of the criminal income and financing of terrorism and finishing them to subjects of financial monitoring by placement on official Internet resource;

34) the direction of information in law enforcement and special state bodies according to their competence in the presence of the bases to believe that activities of physical persons and legal entities are connected with legalization (washing) of income gained in the criminal way, and (or) terrorism financing;

35) implementation of interaction with law enforcement and special state bodies according to the transferred information;

36) implementation of operational search activities according to the legislation of the Republic of Kazakhstan on operational search activities;

37) safety of activities of bodies for financial monitoring, protection of officials of bodies for financial monitoring and members of their families against illegal actions according to the legislation of the Republic of Kazakhstan;

38) the prevention, identification, suppression, disclosure and investigation of the criminal offense carried by the legislation of the Republic of Kazakhstan to maintaining this body;

39) enhancement of forms and methods of fight the against criminal offenses carried by the legislation of the Republic of Kazakhstan to maintaining this body;

40) implementation of coordination and holding all-republican, regional operational search and preventive events for questions of the competence, development of optimal solutions on use of the available forces and means, rendering the practical and methodical help to territorial authorities on financial monitoring, generalization and distribution of positive work experience;

41) implementation of operational search activities, inquiry and pretrial investigation, the analysis of practice of operational search, administrative, investigative activities and inquiry of bodies for financial monitoring, creation of the forecast of operational situation in the republic, taking measures of rapid response to the questions requiring intervention of bodies for financial monitoring;

42) implementation of search of persons on criminal cases and cases on the administrative offenses carried to maintaining bodies by the legislation of the Republic of Kazakhstan and defendants in the absence of data on their place of stay in the claims made for the benefit of the state according to the court order;

43) interaction with relevant organs of foreign states and participation within the powers in activities of the international organizations for fight against the criminal offenses carried by the legislation of the Republic of Kazakhstan to maintaining this body;

44) interaction with other state bodies on ensuring economic safety of the Republic of Kazakhstan;

45) implementation of other powers, stipulated by the legislation Republic of Kazakhstan.

15. Rights and obligations of Committee:

Rights:

1) to request necessary information, data and documents on transactions with money and (or) other property from subjects of financial monitoring, and also from state bodies of the Republic of Kazakhstan;

2) to pass the decision on suspension of transactions with money and (or) other property in case of detection of signs of suspicious transaction for a period of up to three working days;

3) to participate in project development of regulatory legal acts and international treaties of the Republic of Kazakhstan on counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

4) to sign agreements with competent authorities of foreign states concerning cooperation in the field of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism according to the established legislation of the Republic of Kazakhstan procedure;

5) on demand or independently to exchange information, data and documents with competent authority of foreign state in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

To involve 6), including on contractual basis, research and other organizations, and also certain specialists for conducting examinations, development of training programs, methodical materials, program and information support, creation of information systems in the field of financial monitoring with observance of requirements for protection of the state, office, commercial, bank and protected by the law other secret;

To send 7) to the relevant state bodies the notification on violation of the law of the Republic of Kazakhstan on counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

8) together with law enforcement and special state bodies to determine order of interaction by exchange and transfer of the data and information connected with legalization (washing) of income gained in the criminal way, and terrorism financing;

9) to approve legal acts on the questions entering competence of Committee, except for the regulatory legal acts affecting rights and freedoms of man and citizen;

10) to encourage workers and employees, to impose authority punishments, to bring workers and employees to financial responsibility in the cases and procedure provided by the Labor code and the legislation on public service;

11) to take part in development and program implementation of fight against crime in the Republic of Kazakhstan;

12) to conduct criminalistic researches according to the procedure, established by the legislation of the Republic of Kazakhstan;

13) to constitute protocols and to consider cases on administrative offenses, to perform administrative detention, and also to apply other measures provided by the Code of the Republic of Kazakhstan about administrative offenses;

14) according to the legislation of the Republic of Kazakhstan to detain and bring to service premises of bodies for financial monitoring or other bodies of the Republic of Kazakhstan persons who made offense;

15) to control work of territorial authorities of Committee;

16) to withdraw, execute search or seizure of documents, goods, objects or other property according to the criminal procedure legislation of the Republic of Kazakhstan and the legislation of the Republic of Kazakhstan on administrative offenses;

17) to make documentation, zvuko-, video, film, photographing, production of molds, prints, plans, schemes and other methods of imprinting of information according to legal acts of the Republic of Kazakhstan;

18) to acquire goods, including weapon, special technical and other means for accomplishment of the functions assigned to bodies for financial monitoring according to the legislation of the Republic of Kazakhstan;

19) to use physical force, including fighting acceptances of fight;

20) to perform operational search activities according to the legislation of the Republic of Kazakhstan on operational search activities;

21) to carry, store in the procedure established by the legislation of the Republic of Kazakhstan and to use fire and other weapon and special means;

22) to perform powers according to the criminal procedure legislation of the Republic of Kazakhstan;

23) on the materials and criminal cases which are available in production to have access to documents, materials, statistical information and other data, and also to demand their representation from heads and other officials of the organizations, physical persons, to make copies of them, to receive explanations;

24) to use the corresponding temporary detention centers, pre-trial detention centers according to the procedure, stipulated by the legislation the Republic of Kazakhstan;

To subject 25) on the criminal cases which are available in production to the drive of persons evading from appearance on challenge;

26) to escort the detainees and other persons taken into custody;

27) to bring representation according to the Code of penal procedure of the Republic of Kazakhstan;

27-1) to create and use the information systems providing the solution of the tasks assigned by the legislation of the Republic of Kazakhstan, to organize researches during pretrial investigation, inquiry, production on cases on administrative offenses according to the procedure, established by the legislation of the Republic of Kazakhstan;

28) to perform other rights, stipulated by the legislation the Republic of Kazakhstan.

Obligations:

29) to take measures for counteraction of legalization (washing) of income gained in the criminal way and terrorism financing;

30) to provide the corresponding mode of storage, protection and safety received in the course of the activities of information, data and documents, components the office, commercial, bank or protected by the law other secret;

31) to provide observance of the rights and legitimate interests of man and citizen, legal entities and the state in the course of implementation of financial monitoring;

32) to consider claims to actions (failure to act) of body for financial monitoring and (or) officials of body for financial monitoring according to the procedure and terms which are established by the legislation of the Republic of Kazakhstan;

33) to perform pre-judicial investigation on cases on the criminal offenses carried by the laws of the Republic of Kazakhstan to maintaining these bodies according to the procedure, provided by the Code of penal procedure of the Republic of Kazakhstan;

34) within the competence to carry out work on the prevention, suppression and identification of offenses;

35) to carry out the obligations established by the Code of penal procedure of the Republic of Kazakhstan, and also the Law of the Republic of Kazakhstan "About operational search activities";

36) to take measures for the prevention, identification, suppression, disclosure and investigation of the criminal offenses carried to maintaining according to the laws of the Republic of Kazakhstan;

To bring 37) to the administrative responsibility according to the procedure, established by the legislation of the Republic of Kazakhstan on administrative offenses;

To provide 38) according to the legislation of the Republic of Kazakhstan protection against illegal actions concerning activities of bodies for financial monitoring, officials of bodies for financial monitoring and members of their families;

To accept 39), to register and consider applications and messages about the made or preparing criminal offenses, to timely take measures for their suppression and disclosure, and also detention of persons which made them and to non-admission of socially dangerous effects;

40) to take within competence measures to ensuring compensation with the caused criminal offense carried by the legislation of the Republic of Kazakhstan to maintaining this body, property harm;

41) to take the measures for the state protection of persons who are involved in criminal trial provided by legal acts;

42) to perform other obligations, stipulated by the legislation the Republic of Kazakhstan.

Chapter 3. Organization of activities of Committee

16. Management of Committee is performed of the Chairman of Committee who bears the personal responsibility for accomplishment of the tasks assigned to Committee and implementation of the functions by it.

17. The chairman of Committee is appointed to position and dismissed according to the legislation of the Republic of Kazakhstan.

18. The chairman of Committee has deputies who are appointed to positions and are dismissed according to the legislation of the Republic of Kazakhstan.

19. Powers of the Chairman of Committee:

1) according to the legislation of the Republic of Kazakhstan appoints to positions and dismisses:

workers and staff of Committee;

deputy managers of territorial authorities;

2) determines obligations and powers of heads of structural divisions of Committee, heads of territorial authorities and their deputies;

3) is approved by the staff list of Committee and territorial authorities within limit of the number of staff of Committee;

4) in the procedure established by the legislation imposes authority punishments;

5) approves regulations on structural divisions of Committee and its territorial authorities;

6) in the procedure established by the legislation of the Republic of Kazakhstan resolves issues of sending, provision of leaves, rendering financial support, preparation (retraining), advanced training, payment of allowances and awarding of vice-chairmen, workers and staff of Committee and heads of territorial authorities of Committee and their deputies;

7) in the procedure established by the legislation of the Republic of Kazakhstan resolves issues of encouragement of vice-chairmen, workers, staff of Committee and territorial authorities of Committee;

8) signs orders of Committee, and also instructs, obligatory for execution by workers, staff of Committee, both heads of territorial authorities of Committee and their deputies;

9) is represented by Committee in all state bodies and other organizations according to the legislation;

10) bears the personal responsibility on anti-corruption;

11) performs other powers according to the legislation of the Republic of Kazakhstan.

Execution of powers of the Chairman of Committee in the period of its absence is performed by person replacing it according to the current legislation of the Republic of Kazakhstan.

20. The chairman of Committee determines powers of the deputies according to the current legislation of the Republic of Kazakhstan.

Chapter 4. Property of Committee

21. The committee can have on the right of operational management the isolated property in cases, stipulated by the legislation.

The property of Committee is created at the expense of the property given it by the owner and also the property (including cash incomes) acquired as a result of own activities and other sources which are not prohibited by the legislation of the Republic of Kazakhstan.

22. The property assigned to Committee belongs to republican property.

23. The committee has no right to alienate independently or to dispose otherwise of the property assigned to it and the property acquired at the expense of the funds allocated to it according to the plan of financing if other is not established by the legislation.

Chapter 5. Reorganization and abolition of Committee

24. Reorganization and abolition of Committee are performed according to the legislation of the Republic of Kazakhstan.

 

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