ORDER OF THE MINISTRY OF FINANCE OF UKRAINE

of April 7, 2015 No. 402

About approval of the Procedure for exchange of information between Public service of financial monitoring of Ukraine and the National commission on securities and the stock market for increase in efficiency of implementation of supervision of observance by subjects of primary financial monitoring of requirements of the legislation concerning prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction

According to Items 6, 7 and 15 parts two of Article 14, 15 parts two of article 18 of the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction" to the subitem 5 of item 4 of the Regulations on the Ministry of Finance of Ukraine approved by the resolution of the Cabinet of Ministers of Ukraine of August 20, 2014 No. 375, and for the purpose of increase in efficiency of implementation of supervision of observance by subjects of primary financial monitoring of requirements of the legislation concerning prevention and counteraction of legalization (washing) of income gained in the criminal way, financing of terrorism and financing of distribution of weapons of mass destruction order to item 4 of part one and Item:

1. Approve the Procedure for exchange of information between Public service of financial monitoring of Ukraine and the National commission on securities and the stock market for increase in efficiency of implementation of supervision of observance by subjects of primary financial monitoring of requirements of the legislation concerning prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction which is applied.

2. Declare invalid the order of the Ministry of Finance of Ukraine of February 28, 2013 No. 344 "About approval of the Procedure for exchange of information between Public service of financial monitoring of Ukraine and the National commission on securities and the stock market for increase in efficiency of implementation of supervision of observance by subjects of primary financial monitoring of requirements of the legislation concerning prevention and counteraction of legalization (washing) of income gained in the criminal way, or to terrorism financing", registered in the Ministry of Justice of Ukraine on March 21, 2013 for No. 452/22984.

3. To department of tax, customs policy and methodology of financial accounting of the Ministry of Finance of Ukraine (Chmeruk N. A.) and to Department of coordination of system of financial monitoring of Public service of financial monitoring of Ukraine (Gajewski I. M.) to provide in accordance with the established procedure:

provision of this order on state registration in the Ministry of Justice of Ukraine;

promulgation of this order.

4. This order becomes effective from the date of its official publication.

5. To impose control over the implementation of this order on the First Deputy Chairman of Public service of financial monitoring of Ukraine Kovalchuk A. T.

Approved by the Order of the Ministry of Finance of Ukraine of April 7, 2015 No. 402 and the Decision of the National commission on securities and the stock market of April 7, 2015, No. 465

Procedure for exchange of information between Public service of financial monitoring of Ukraine and the National commission on securities and the stock market for increase in efficiency of implementation of supervision of observance by subjects of primary financial monitoring of requirements of the legislation concerning prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction

I. General provisions

1. This Procedure is developed according to Items 6, 7 both 15 parts two of Article 14, item 4 of part one and Item 15 parts two of article 18 of the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction".

2. This Procedure determines amount and procedure for exchange of information between Public service of financial monitoring of Ukraine (further - Gosfinmonitoring) and the subject of the state financial monitoring - the National commission on securities and the stock market (further - the Commission) for increase in efficiency of implementation of supervision of observance of requirements of the legislation by it in the field of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction by subjects of primary financial monitoring - professional participants of the stock market (security market) (except banks) (further - Subjects), supervision of which is exercised by the Commission, for prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction.

II. Information provided by Gosfinmonitoring

1. State financial monitoring provides to the Commission information on efficiency of the measures taken by Subjects, supervision of which is exercised by the Commission, for prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction namely:

statistical data about the financial transactions which are subject to financial monitoring, received by Gosfinmonitoring from Subjects;

statistical data about the mistakes made by Subjects in case of submission of information on the financial transactions which are subject to financial monitoring;

information on condition of accounting of Subjects in Gosfinmonitoring;

information on the facts elicited by Gosfinmonitoring which can demonstrate violation by subjects of requirements of the legislation in the field of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction;

information on delivery by Gosfinmonitoring of protocols on the administrative offenses made by officials of Subjects and results of their consideration;

data on the analysis Gosfinmonitoringy methods and financial schemes of legalization (washing) of income gained in the criminal way, financings of terrorism and financing of distribution of weapons of mass destruction.

2. Data which contain information with limited access are provided in cases and according to the procedure, stipulated by the legislation.

3. Exchange of information between Gosfinmonitoring and the Commission is performed with observance of the measures excluding foreign information access or to documents by their provision taking into account the restrictions set by the legislation.

4. Information which is transferred by Gosfinmonitoring of the Commission is used by it only in the office purposes when implementing supervision of observance by subjects of requirements of the legislation and cannot be subject to disclosure.

III. Information provided by the Commission

1. The commission provides to Gosfinmonitoring information on increase in efficiency of implementation of supervision of observance by subjects of requirements of the legislation in the field of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction namely:

information on the revealed violations of the law in the field of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction by Subjects and the measures taken for their elimination;

summarized information on observance by Subjects, state regulation and supervision of whom is exercised by the Commission, requirements of the legislation in the field of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction including about the revealed violations and the measures taken for their elimination;

information (in the presence) on cancellation to the legal entity of the license for implementation of professional activity in the stock market (security market).

2. Exchange of information between the Commission and Gosfinmonitoring is performed with observance of provisions of Items 2-4 of the Section II of this Procedure.

IV. Terms of provision of information

1. The commission provides to Gosfinmonitoring certain information:

according to the paragraph the second Item 1 of the Section III of this Procedure - quarterly to the 20th following reporting quarter;

according to the paragraph third Item 1 of the Section III of this Procedure - annually, no later than January of the following after accounting year;

according to the paragraph the fourth Item 1 of the Section III of this Procedure - quarterly to the 20th following reporting quarter.

2. State financial monitoring provides to the Commission certain information:

according to paragraphs to the second - the fourth Item 1 of the Section II of this Procedure - quarterly to the 20th following reporting quarter;

according to the paragraph the fifth Item 1 of the Section II of this Procedure - within a month from the date of identification of such facts;

according to the paragraph the sixth Item 1 of the Section II of this Procedure - within three working days after sending the protocol to judicial authority and receipt of information from it on results of consideration of the case about administrative offense;

according to the paragraph the seventh Item 1 of the Section II of this Procedure - annually till March 01 of the year following for reporting.

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