RESOLUTION OF THE CABINET OF MINISTERS OF UKRAINE

of August 5, 2015 No. 552

Some questions of the organization of financial monitoring

According to Item of 1 part two of Article 6, 12, to Article 13, parts five 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" the Cabinet of Ministers of Ukraine decides Article parts one:

1. Approve enclosed:

Procedure for submission of information for registration (removal from accounting) of subjects of primary financial monitoring, identification and registration, and also representation by subjects of primary financial monitoring to Public service of financial monitoring of information on the financial transactions which are subject to financial monitoring, other information which can be connected with legalization (washing) of income gained in the criminal way, either financing of terrorism or financing of distribution of weapons of mass destruction;

Procedure for maintaining by Public service of financial monitoring of accounting of information on the financial transactions which are subject to financial monitoring;

Procedure for conducting financial monitoring of accounting of subjects of primary financial monitoring by Public service.

2. Recognize invalid resolutions of the Cabinet of Ministers of Ukraine according to the list which is attached.

 

Approved by the Resolution of the Cabinet of Ministers of Ukraine of August 5, 2015 , No. 552

Procedure for submission of information for registration (removal from accounting) of subjects of primary financial monitoring, identification and registration, and also representation by subjects of primary financial monitoring to Public service of financial monitoring of information on the financial transactions which are subject to financial monitoring, other information which can be connected with legalization (washing) of income gained in the criminal way, either financing of terrorism or financing of distribution of weapons of mass destruction

1. This Procedure determines procedure for granting subjects of primary financial monitoring (further - subjects) to Gosfinmonitoring according to 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" (further - the Law) information necessary for their statement on accounting as subjects and removal from accounting, and also identification, registration, representation by subjects to Gosfinmonitoring of information on the financial transactions which are subject to financial monitoring, other information which can be connected with legalization (washing) of income gained in the criminal way, either financing of terrorism or financing of distribution of weapons of mass destruction.

2. Action of this Procedure extends to all subjects and their separate divisions (except subjects concerning which the National Bank according to article 14 of the Law performs functions on state regulation and supervision).

3. In this Procedure terms are used in the value given in the Law.

4. Any information moves the subject to Gosfinmonitoring in paper form by the direction by mail with the assurance of receipt of the mailing or delivery on receipt or in electronic form.

If the subject submits information to Gosfinmonitoring in paper form, confirmation of observance of the terms of submission of such information provided by the Law by it is availability at the subject of the document issued by the operator of mail service, confirming the fact of transfer of the relevant information with the assurance of receipt post sendings or marks of Gosfinmonitoring on receipt of information.

The subject provides information on the addresses determined by the Ministry of Finance.

Data representation forms, messages on results of its processing, formats, details of files of exchange of information and procedure for their filling are established by the Ministry of Finance.

Information (copies or the second copies of forms and the copy of files) provided by the subject, the received message on results of its processing, the documents confirming the fact of submission of information to Gosfinmonitoring remain the subject at least five years.

5. Subjects (except specially certain subjects) shall get registered in Gosfinmonitoring as subjects within three working days from the date of appointment of the worker responsible for carrying out financial monitoring (further - the ranking officer), but no later than day of carrying out the first financial transaction (date of establishment of business relations with the client) by giving to Gosfinmonitoring of information necessary for its statement on accounting.

Specially certain subjects shall get registered in Gosfinmonitoring as subjects no later than day of establishment of business relations with the client (carrying out financial transaction) in the cases determined by article 8 of the Law.

6. Information necessary for capture of the subject on accounting, moves in paper form and shall contain data on registration of the subject, its location, the ranking officer, person who will temporarily fulfill duties of the ranking officer in case of its absence (in case of appointment of such person), and also separate divisions of the subject in case of their availability.

7. Information on the activities termination necessary for removal of the subject from accounting moves in paper form and shall contain the activities termination reasons. In case of the termination of activities of separate divisions the subject gives the relevant information for removal them from accounting.

Information on the termination of activities goes the subject to Gosfinmonitoring no later than three working days from the date of approach of the corresponding event, in particular:

completion of the procedure of liquidation of the subject with entering of record about it into the Unified State Register of Legal Entities and physical persons - entrepreneurs;

deprivations of the subject of licenses (permissions) appropriate subject of the state financial monitoring (other state body);

the subject, in particular shareholder meeting of the subject, make the decision on the activities termination in case after its acceptance the subject does not perform financial operations.

8. In case of change of information which is provided by the subject to Gosfinmonitoring for its statement on accounting, in particular about person, the acting as the ranking officer in case of its absence or dismissal the subject within three working days from the date of approach of such changes gives to Gosfinmonitoring the relevant information in paper or electronic type.

9. In case of submission of information by the subject necessary for its statement on accounting (or with mistakes Gosfinmonitoring reports removals from accounting, modification of information which got registered the basis for capture of the subject), not in full about it to the subject. In that case the subject within three working days from the date of receipt of the notification shall provide information in full and/or without mistakes.

10. If for any reasons the subject did not receive from Gosfinmonitoring within 10 working days from receipt date of the assurance of receipt of the mailing or within 20 working days from the date of departure of information necessary for its statement on accounting (removals from accounting, modification of information which got registered the basis for capture of the subject) (in case of not receipt of the assurance of receipt of the mailing), or within two working days from the date of departure of such information in electronic form of the message on results of the information processing necessary for capture of the subject on accounting (removal from accounting, modification of information which got registered the basis for capture of the subject), the subject (separate division) addresses to Gosfinmonitoring for clarification of the reason of non receipt of the notification.

In case of need receipts of the copy of the notification on results of the information processing necessary for capture of the subject on accounting (removal from accounting, modification of information which got registered the basis for capture of the subject), the subject sends the written request to Gosfinmonitoring.

In case of need receipts by the subject of the certificate of the accounting identifier the subject sends to Gosfinmonitoring the written request with obligatory specifying of the details determined by the Ministry of Finance.

11. Registration by the subject of the financial transactions which are subject to financial monitoring, other information which can be connected with legalization (washing) of income gained in the criminal way, either financing of terrorism or financing of distribution of weapons of mass destruction is made by entering of the relevant information into the register which is kept by the subject.

The register is consecutive set of records about the financial transactions which are subject to financial monitoring, other information which can be connected with legalization (washing) of income gained in the criminal way, either financing of terrorism or financing of distribution of weapons of mass destruction and about their participants which is created by the subject on the details determined in Item 13 of this Procedure.

12. Information on carrying out or attempt of carrying out financial transactions is entered in the register:

subject to obligatory financial monitoring according to article 15 of the Law;

which are subject to internal financial monitoring according to article 16 of the Law;

in which carrying out the subject refused the cases determined by article 10 of the Law;

concerning which there are good causes to suspect that they are connected, concern or are intended for financing of terrorist activities, acts of terrorism or the terrorist organizations and the organizations or persons to whom the international sanctions are applied;

concerning which there are good causes to suspect that they are connected, concern or are intended for financing of distribution of weapons of mass destruction;

which carrying out the subject stopped because they are subject to financial monitoring;

which carrying out the subject stopped because transfer or write-off of means is performed as a result of actions which contain essential elements of offense, determined by the Criminal code of Ukraine;

which carrying out the subject stopped because their participants or beneficiaries are persons who are included in the list of faces tied with implementation of terrorist activities or concerning whom the international sanctions are applied;

which carrying out is stopped according to the decision of Gosfinmonitoring made for the purpose of stop of account transactions;

which carrying out is stopped at the request of Gosfinmonitoring, accepted for the purpose of satisfaction of request of authorized body of foreign state;

concerning which the subject received from Gosfinmonitoring request about submission of information on tracking (carrying out monitoring) of financial transactions.

13. Are entered in the register:

sequence number and registration date of financial transaction;

the data received as a result of identification and/or verifications, studying of customer information (the client's representative) who carries out the transaction, person, from name either according to the order or for the benefit of whom financial operation, or benefit is performed;

information about other persons - participants of financial transaction;

data on type of financial transaction;

the amount on which financial operation is performed or is performed attempt of its carrying out;

data on currency in which financial operation is performed;

bases for carrying out financial transaction;

data on financial transactions, other transactions connected with the registered financial transaction (in the presence);

signs on which financial transaction is subject to financial monitoring; information on suspension of financial transaction;

date and time of carrying out, attempt of carrying out or refusal of carrying out financial transaction;

additional information necessary for carrying out analysis of financial transactions by Gosfinmonitoring (in the presence);

surname, name, middle name and position of person who entered information in the register.

14. The subject provides identification of the financial transactions specified in Item 12 of this Procedure at the beginning, in process, but no later than the next working day after their carrying out, or in day of emergence of suspicion, or in attempt of their carrying out, or after refusal of the client of their carrying out.

In case of identification of financial transactions, participants or beneficiaries of which are persons included in the list of faces tied with implementation of terrorist activities or concerning which the international sanctions are applied, the subject enters information on such transaction in the register on the same day.

In case of stop of financial transactions according to the decision (order) of Gosfinmonitoring the subject in day of receipt of such decision (order) enters information on such transaction in the register.

In case of identification of other financial transactions, than those which are specified in paragraphs second and third this Item the subject no later than the next working day from the date of their detection enters information on them in the register.

15. Registration of financial transactions is carried out by the subject.

According to the solution of subject its separate divisions can independently carry out registration of financial transactions and provide information on them to Gosfinmonitoring.

16. The register is kept in paper or electronic type.

Pages of the register which is kept in paper form shall be stitched, certified by the signature of the head of the subject or ranking officer and be stored at the subject.

17. The sequence number is assigned to each information on financial transaction which is entered in the register.

Correction of information entered in the register is not allowed. In case of mistake assumption in information entered in the register, such information is cancelled, and corrected information is entered in the register at new number and new registration date.

18. The subject reports to Gosfinmonitoring about financial transactions in the cases determined by the Law.

19. In the message on financial transactions information on the subject (separate division) who directs it, and financial transactions which are entered in the register is specified.

In the message on financial transactions information on one or several financial transactions which are entered in the register can be specified.

20. In the message on financial transaction which goes the subject - by the legal entity based on information which arrived from separate division details of such division shall be specified.

21. The subject sends the message on financial transaction to Gosfinmonitoring in electronic form, and in case of not systematic transfer of the message (within one calendar year no more about four registered financial transactions) - in paper form.

If it is necessary to submit within one calendar year the message about heel and the subsequent financial transactions, the subject provides its direction in electronic form. Further messages on financial transactions go in electronic form.

In case of impossibility to send to the terms established by the Law to Gosfinmonitoring of the message on financial transaction in electronic form such notification goes in paper form in the form established by the Ministry of Finance.

Specially certain subjects and subjects performing activities solely have the right to send to Gosfinmonitoring of the message on financial transactions in paper form, irrespective of their quantity.

22. In case of obtaining from Gosfinmonitoring of the notification on refusal in adoption of information on financial transaction on accounting the subject shall within three working days from the date of its receipt submit to Gosfinmonitoring properly the drawn-up message on financial transaction.

23. If for any reasons the subject (separate division) did not receive from Gosfinmonitoring within 10 working days from receipt date of the assurance of receipt of the mailing or within 20 working days from the date of sending information on financial transactions (in case of not receipt of the assurance of receipt of the mailing), or within two working days from the date of sending the message on financial transaction in electronic form the notification on statement (refusal in statement) on accounting of information sent to Gosfinmonitoring, such subject (separate division) addresses to Gosfinmonitoring for clarification of the reason of non receipt of the notification.

In case of need receipts of the copy of the notification on statement (refusal in statement) on accounting of information on financial transaction sent to Gosfinmonitoring the subject sends the written request to Gosfinmonitoring.

24. If the subject according to parts one and the second article 10 of the Law made the decision on refusal of establishment of business relations with the client, the subject shall within one working day from the date of refusal, but no later than the next working day to report to Gosfinmonitoring about person who intended to perform financial operation.

If the subject made the decision on refusal of establishment of business relations (carrying out currency and exchange financial transactions, financial transactions with bank metals, cash (cash) with legal entities or physical persons which are included in the list of faces tied with implementation of terrorist activities or concerning which the international sanctions are applied, the subject shall report to Gosfinmonitoring about such person in day of adoption of the specified decision.

In case of identification by the subject by results modification of the list of faces tied with implementation of terrorist activities or concerning which the international sanctions, faces of the client with whom business relations which is included in the specified list are established are applied the subject shall report in day of detection to Gosfinmonitoring about such client in any form with indication of the reasons for which the client, and all available information on him and financial operations which are performed by it by means of the subject addressed (the amounts and dates of transactions, the bases for their carrying out and participants of such transactions).

The notification on refusal of establishment of business relations (carrying out currency and exchange financial transactions, financial transactions with bank metals, cash (cash) with the client is constituted by the subject in any form with indication of the reasons for which the client, and all available information on him addressed.

25. The subject submits information on Gosfinmonitoring request in paper and or electronic type together with the cover letter in which the list of documents (their copies) which are filed is specified. Copies of documents shall be certified by the signature of the head of the subject.

26. If there are bases to believe that they are connected with the crime determined by the Criminal code of Ukraine, the subject submits information on suspicion against activities of faces or their assets to Gosfinmonitoring in any form signed by the head of the subject or the ranking officer. Such information shall contain, in particular, the name of the subject, the information about persons, suspects, asset type, the bases for emergence of suspicion and other available information.

 

Approved by the Resolution of the Cabinet of Ministers of Ukraine of August 5, 2015 , No. 552

Procedure for maintaining by Public service of financial monitoring of accounting of information on the financial transactions which are subject to financial monitoring

1. This Procedure determines the maintaining mechanism Gosfinmonitoringy accounting of information on financial transactions which became object of financial monitoring, served the subject of primary financial monitoring (its separate division) according to 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" (further - information on financial transaction).

2. In this Procedure terms are used in the value given in 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".

3. Information on financial transaction is registered by its entering into the Single state information system 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.

4. Information on financial transaction is registered after confirmation of the fact that the message on such transaction is properly drawn up and submitted no later than the next working day after receipt of such information in electronic form, and in case of receipt of information in paper form - not later than within three working days after its receipt.

5. Accounting number is assigned to each information on the financial transaction registered by Gosfinmonitoring. If the subject of primary financial monitoring (further - the subject) submits information on modification of information, the registered by Gosfinmonitoring, such information new accounting number is not assigned.

6. In case of receipt of incorrectly drawn up or provided message on financial transaction Gosfinmonitoring refuses registration of such information.

7. After capture (refusal in statement) on accounting Gosfinmonitoring within three working days gives information on financial transaction about it to subject which submitted such information.

8. Form of the notification on capture (refusal in statement) on accounting of information on financial transaction in paper form, format and the structure of files of information exchange in electronic form, and also procedure for their bringing to the subject are determined by the Ministry of Finance.

9. Information on financial transaction and on its accounting remains Gosfinmonitoring at least five years.

After the specified term Gosfinmonitoring prolongs storage duration of information on financial transaction in case such transaction became object of financial monitoring and:

financial investigation concerning such transaction continues or is complete less than five years ago;

information on her is provided in law enforcement agencies as a part of the generalized materials (the additional generalized materials) on which such bodies do not make the decision or decision is made less than five years ago;

information on her is provided in law enforcement agencies as a part of the generalized materials (the additional generalized materials) which are used by court in case of decision making less than five years ago.

10. Information on financial transaction which storage duration expired is destroyed.

In that case record on accounting of the specified information in the Single state information system 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 is removed.

 

Approved by the Resolution of the Cabinet of Ministers of Ukraine of August 5, 2015 , No. 552

Procedure for conducting financial monitoring of accounting of subjects of primary financial monitoring by Public service

1. This Procedure determines the mechanism of conducting accounting of subjects of primary financial monitoring by Gosfinmonitoring (their separate divisions) (further - subjects) which according to Item of 1 part two of article 6 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" (further - the Law) submitted information for statement them on accounting.

2. In this Procedure terms are used in the value given in the Law.

3. Capture of the subject on accounting by Gosfinmonitoring is performed based on the information provided to them in accordance with the established procedure and entered into the Single state information system 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 (further - the Single system).

If information necessary for capture of the subject on accounting, is properly drawn up and submitted, Gosfinmonitoring within five working days from the date of its receipt accepts such subject on accounting and appropriates the accounting identifier.

The accounting identifier - combination of letters of the Latin alphabet and figures which is appropriated by Gosfinmonitoring of information on the subject entered into the Single system in case of its capture on accounting.

The accounting identifier is used by the subject in case of fulfillment of duties according to the Law, including registration of information on financial transaction and its representation to Gosfinmonitoring, representation of requests in state bodies on identification of clients and in other cases determined by the legislation.

The procedure for forming of the accounting identifier and form of the certificate of its assignment are determined by the Ministry of Finance.

4. In case of giving by the subject properly of the drawn-up and/or provided information on change of information which got registered the basis for capture of the subject Gosfinmonitoring within five working days from the date of its receipt enters information into the Single system and reports about it to the subject.

5. State financial monitoring strikes the subject off the register on the basis:

addresses of the subject in case of the termination of activities by it;

addresses of the subject of the state financial monitoring about the termination of the related activity of the subject on which it performs functions on state regulation and supervision (in particular in case of cancellation of licenses (permissions);

information of relevant organs of state registration on cancellation of state registration (for legal entities and physical persons - entrepreneurs) or about state registration of death (for physical persons).

After removal of the subject from accounting its accounting identifier is considered cancelled and cannot be used by the subject. Such accounting identifier can be used by Gosfinmonitoring for ensuring accounting of information on financial transactions and forming of statistical data in the Single system.

6. In case of giving by the subject properly of the drawn-up information on the activities termination Gosfinmonitoring within five working days from the date of its receipt enters information into the Single system and strikes the subject off the register what reports to the subject about.

7. In case of receipt refuses to incorrectly drawn up and/or provided information necessary for capture of the subject on accounting (removal from accounting, modification of information which got registered the basis for capture of the subject), Gosfinmonitoring entering of such information into the Single system and within three working days reports about it to subject which submitted such information.

8. The subject of the state financial monitoring provides to Gosfinmonitoring information on the termination of activities of the subject on which it performs functions on state regulation and supervision, according to the procedure, determined by appropriate subject of the state financial monitoring together with the Ministry of Finance.

Based on information on the termination of activities of the subject obtained from the subject of the state financial monitoring Gosfinmonitoring strikes off the register the subject in case of lack of information on its belonging to other category of the subjects determined by part two of article 5 of the Law.

State financial monitoring reports to the subject of the state financial monitoring about removal from accounting of the subject on which it performs functions on state regulation and supervision, according to the procedure, determined by appropriate subject of the state financial monitoring together with the Ministry of Finance.

9. In case of obtaining by Gosfinmonitoring from relevant organs of state registration of information on cancellation of state registration (for legal entities and physical persons - entrepreneurs) or about state registration of death (for physical persons) Gosfinmonitoring strikes such subject off the register.

10. The information necessary for its statement provided by the subject on accounting (removal from accounting, modification of information which got registered the basis for capture of the subject), remains Gosfinmonitoring at least five years. After the specified term Gosfinmonitoring prolongs storage duration of information on accounting of the subject concerning which changes were not made.

11. Information necessary for capture of the subject on accounting (removal from accounting, modification of information which got registered the basis for capture of the subject) which storage duration expired is destroyed.

Record about accounting of the subject in the Single system, including its accounting identifier, is removed in five years after removal of the subject from accounting and destruction of information on financial transaction provided to them which storage duration expired, and record about its accounting in the Single system is removed.

 

Approved by the Resolution of the Cabinet of Ministers of Ukraine of August 5, 2015 , No. 552

List of Resolutions of the Cabinet of Ministers of Ukraine, invalid

1. The resolution of the Cabinet of Ministers of Ukraine of August 25, 2010 No. 747 "Some questions of the organization of financial monitoring" (The Official Bulletin of Ukraine, 2010, No. 65, the Art. 2261).

2. Item of 3 changes which are made to resolutions of the Cabinet of Ministers of Ukraine concerning activities of Public service of financial monitoring, approved by the resolution of the Cabinet of Ministers of Ukraine of February 7, 2011 No. 75 (The Official Bulletin of Ukraine, 2011, No. 9, the Art. 419).

3. The resolution of the Cabinet of Ministers of Ukraine of October 9, 2013 No. 747 "About introduction of amendments to the resolution of the Cabinet of Ministers of Ukraine of August 25, 2010 No. 747" (The Official Bulletin of Ukraine, 2013, No. 82, the Art. 3040).

 

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info