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President
of Ukraine
Verkhovna
rada of Ukraine
Government
portal
 : : Legal Framework
2009-06-04 00:00:00  Print Version



 
 
                                                                           Approved by the Order of
                                                                          the State Committee for Financial Monitoring of Ukraine,
                                                                          the State Tax Administration of Ukraine,
                                                                          the Ministry of Internal Affairs of Ukraine,
                                                                          the Security Service of Ukraine
                                                                          dated November 28, 2006 #240/718/1158/755
 
                                                                          Registered in the Ministry of Justice of Ukraine
                                                                          of December 15, 2006 #1312/13186
 
 
The Procedure of submission and consideration of case referrals
1.    General provisions
 
The procedure of submission and consideration of case referrals (hereinafter referred to as the Procedure) shall stipulate unified system and methods:
 
of submission by State Committee for Financial Monitoring of Ukraine (hereinafter referred to as SCFM) of case referrals on the financial transactions suspected in legalization (laundering) of the proceeds from crime and terrorist financing to State Tax Administration of Ukraine, Ministry for Internal Affairs of Ukraine and Security Service of Ukraine (hereinafter referred to as law-enforcement agencies);
 
of acceptation, registration and consideration of case referrals by the law-enforcement  agencies and their territorial divisions;
 
of receipt by SCFM of Ukraine and its Regional divisions of the information on the stage of their processing.
 
2. Definition of terms
 
In this Procedure the terms shall mean:
 
Case referrals shall be the documents prepared by SCFM of Ukraine on the base of the information on the financial transactions subject to financial monitoring and other information received pursuant to the Law of Ukraine on Prevention and Counteraction of Legalization (Laundering) of the Proceeds from Crime to be submitted in writing and/or in electronic form to the law-enforcement agencies authorized for decision taking under the Criminal-Procedural Code of Ukraine;
 
Additional materials shall be additional documents on the financial transactions  suspected in money laundering and terrorist financing, in writing and/or in electronic form, to the case referrals earlier submitted to the law-enforcement agencies;
 
Additional materials shall be an inseparable part of case referrals.
 
Additions to the case referrals (additional materials) – copies of the documents concerning the financial transactions and other information connected with the case referrals in writing and/or in electronic form;
 
Expert commission shall be expert commission of SCFM for consideration of case referrals (additional materials) to be submitted to the law-enforcement agencies, the composition and authorities of which shall be approved by Order of SCFM of Ukraine;
 
Maintaining shall mean preparation and forwarding requests to the law-enforcement agencies concerning the stage of case referrals processing, and receipt of the information from the law-enforcement agencies on taken decisions under the results of their analyze; generalization of the information on the stage and the results of consideration of case referrals by the law-enforcement agencies; determination of additional information necessary for the law-enforcement agencies to consider case referrals; consulting of the law-enforcement agencies; organization and holding of the working meetings;
 
Submission of case referrals (additional materials) shall mean the actions of officers of SCFM of Ukraine aimed at transmission of case referrals, in writing or/and in electronic form, to the law-enforcement agencies pursuant to the procedure;
 
Registration of case referrals (additional materials) shall mean giving registration number to every case referral (additional material) and/or their fixation in registration documents;
 
Consideration of case referrals (additional materials) shall mean verification by the law-enforcement agencies of the information in case referrals (additional materials) and decision taking pursuant to the legislation;
 
Territorial divisions of the law-enforcement agencies shall mean territorial and transport agencies of the Ministry for Internal Affairs of Ukraine, regional agencies of the State Security Service of Ukraine, state tax administrations in Autonomous Republic of the Crimea, regions, cities Kyiv and Sevastopol, interdistrict, united and special state tax inspections;
 
Regional divisions of State Committee for Financial Monitoring of Ukraine shall mean structural divisions of SCFM in regions, Autonomous Republic of the Crimea, regions, cities Kyiv and Sevastopol that do not have legal entity status and act on behalf and in the interests of SCFM of Ukraine.
 
Other terms and definitions used in this Procedure shall be applied in the meaning designated by the law of Ukraine on Prevention and Counteraction of Legalization (laundering) of the Proceeds from Crime.
 
3.     Preparation and submission  of case referrals by SCFM  to the law-enforcement agencies
 
3.1 The information on the financial transaction subject to financial monitoring, received by SCFM pursuant to the procedure stipulated by the legislation, shall be processed and analyzed whether this transaction is conducted for the purpose of money laundering or terrorist financing.
 
3.2 If there are sufficient grounds to suspect that the financial transaction relates to money laundering or terrorist financing, SCFM shall prepare case referrals to be submitted for consideration by expert commission to take the decision concerning their forwarding to appropriate law-enforcement agencies.
 
3.3 Case referrals shall contain the following data (if they are available):
 
comprehensive description of the nature of the transaction, that may be related to money laundering or terrorist financing, and reflection of the relationship and connections between persons, circumstances of its conducting and the amount of the financial transaction;
 
if there are two and more financial transactions suspected in money laundering and terrorist financing their description shall be generalized (the number of the transactions, the amount, the most essential nature of the transactions and its main counteragents).The most detail information shall be presented in the electronic form of table which shall be an inseparable part of case referrals (addition materials);
 
the code of the bank, the name of the bank and numbers of the accounts through which the financial transaction suspected in money laundering and terrorist financing has been conducted;
 
detailed identification information of the main economic entities involved into conducting of the financial transaction suspected in money laundering and terrorist financing; full name and code under Unified state registry of enterprises and organizations of Ukraine, place of location – for legal entities; name, surname and patronymic name, date of birth, series and number of the identification document of the person that conducted the transaction, the date of issuance of the document and the agency that issued it, tax payer identification number pursuant to State registry of natural persons- tax payers, place of residence (place of temporary residence) – for natural persons; the information on participation of other legal entities in the activity etc;
 
the information received form the law-enforcement agencies and other state bodies;
 
the information received from FIUs of other states (provided it is permitted to submit such information to the law-enforcement agencies);
 
the information received from Regional divisions of SCFM of Ukraine;
 
the information received from open sources (Mass Media etc);
 
reasonable conclusions that the financial transactions may be conducted with the purpose of  money laundering and terrorist financing. These conclusions shall contain total amount of the transactions suspected in money laundering and terrorist financing;
the information on earlier submitted materials related to these case referrals, and the stage of their processing.
 
3.4 The decision whether there are grounds to submit case referrals (additional materials) to the law-enforcement agencies shall be taken by expert commission.
 
3.4.1 The sittings of expert commission shall be visited by the experts of the divisions of the law-enforcement agencies the objective of which is to prevent and counteract legalization (laundering) of the proceeds from crime and the composition and authorities of which shall be approved by the order of appropriate law-enforcement agency.
 
3.4.2 After taking decision by expert commission the term to submit case referrals shall not be more than five business days.
 
3.4.3 If there are sufficient grounds that the financial transaction is suspected in terrorist financing, case referrals shall be immediately submitted to State Security Service of Ukraine.
 
3.4.4 If there is the information that the territorial division of the law-enforcement agency investigates the criminal case initiated under the crime that may proceed legalization (laundering) of the proceeds from crime, expert commission may take the decision to submit case referrals relating to this case directly to this division and send the information letter to the central board of the law-enforcement agency one of the objectives of which is to prevent and counteract legalization (laundering) of the proceeds from crime and terrorist financing.
 
3.4.5 If there is the information that some law-enforcement agencies are interested in case referrals, the decision to submit them shall be taken by expert commission. Expert commission may take the decision to submit a sample of case referrals and a copy of previous case referrals to every law-enforcement agency, and inform interested law-enforcement agency on submission of such case referrals etc.
 
3.5 While taking the decision by expert commission to submit case referrals (additional materials) to the law-enforcement agencies:
 
3.5.1 Case referrals (additional materials) and annexes to them (if available) shall be given to the law-enforcement agencies on paper and/or magnetic media together with the cover latter under the signature of Head of SCFM or his/her deputy pursuant to the distribution of the obligations.
 
3.5.2 In the instance if case referrals have annexes that contain bank and/or commercial secret, case referrals and cover letter shall contain the words: “The annexes contain bank and/or commercial secret”.
 
3.5.3 The cover letter shall contain short name of case referrals, the information on earlier submitted case referrals, their registration number and availability of annexes.
 
3.5.4 A copy of the cover letter on submission of case referrals (additional materials) to the territorial division of the law-enforcement agency shall be forwarded to the division of the central board of the law-enforcement agency responsible for prevention and counteraction of legalization (laundering) of the proceeds from crime and terrorist financing.
 
3.6 In the instance of recurring failure to submit the information by the entity of initial financial monitoring or recurring submission of inauthentic information on the financial transactions subject to internal or obligatory financial monitoring to SCFM, if it learns about this fact from other entities of initial financial monitoring and/or other information sources, SCFM of Ukraine shall submit case referrals to the law-enforcement agencies for verification and decision taking or to take other measures according to its tasks.
 
3.7 SCFM of Ukraine, if there are sufficient grounds, shall form case referrals under the financial transactions related to converting of cashless money into cash, the transactions the subjects of which are fictitious, or the transactions without the requests for receipt of additional information from the financial institutions.     
 
The requests for receipt of additional information under such materials shall be submitted to the financial and other institutions, organizations, agencies under the initiative of the law-enforcement agency that verifies mentioned case referrals.
 
3.8. While preparing the case referrals (additional materials) one of the risk criteria in the process of analysis is information provided by the law-enforcement agencies in the form of information letters.
 
The information letters shall contain reasons for forming the case referrals (additional materials) listed in the Amendment 1 to this Order.
 
If there are sufficient grounds that financial transaction is suspected in money laundering or terrorist financing, SCFM shall prepare case referrals (additional materials). 
 
If there are no submitted financial transaction reports and\or reasons, compulsory essential elements of participants of the financial transactions defined in the Annex 1, or if there is a necessity to take measures beyond SCFM competence, such information is not considered. The initiator of the letter is being informed according procedure set by Law.
 
4. Registration of case referrals (additional materials) by the law-enforcement agencies
 
4.1 Registration of case referrals (additional materials) received from SCFM of Ukraine shall be carried out by the law-enforcement agencies, their territorial divisions pursuant to the instruction on the procedure of registration, keeping and using documents, cases, and other material media of the information containing confidential information that is a state property approved by the Resolution of the Cabinet of Ministers of Ukraine of 27.11.98 № 1893.
 
4.2 The information concerning submitted (received) case referrals and the stage of their processing shall be registered in automatized information systems of SCFM of Ukraine and law-enforcement agencies.
 
4.3 The law-enforcement agency, its territorial division that received case referrals (additional materials) within five days from the moment of registration shall give to SCFM or its regional subdivision the information on the date and number of registration of case referrals (additional materials).
 
4.4 When the division of the central board of the law-enforcement agency of case referrals (additional materials) submits case referrals (additional materials) to the territorial division, a written notification shall be sent to SCFM (in the terms referred to in part 4.3) that shall contain the name of the territorial division of the law-enforcement agency, date and number of the cover letter that has been sent in conjunction with case referrals (additional materials), or its sample.
 
4.5 If under the legislation case referrals (additional materials) are transmitted from one law-enforcement agency to another or its regional subdivision, the law-enforcement agency (its regional subdivision) that transmits case referrals shall inform SCFM, its regional subdivision (within terms and according to procedure defined in paragraph 4.3 and 4.4 of this chapter), and correspondingly:
 
Anti-money laundering Department, the State Tax Administration of Ukraine;
 
Department on combating organized crime, Ministry of Interior of Ukraine;
 
Department on combating corruption and organized crime, Security Service of Ukraine.
 
 5. The procedure of consideration of case referrals by the law-enforcement agencies
 
5.1 Verification of case referrals (additional materials) shall be carried out by the law-enforcement agencies within the competence and complying with the laws of Ukraine on Operative and Investigative Activity, on Organizational and Legal Bases of the Fight against Organized Crime, on State Tax Service of Ukraine, on Militia, Criminal-Procedural Code of Ukraine and other legislative acts.
 
5.2 Organization and/or conducting verification of case referrals shall be carried out by the divisions of the law-enforcement agencies  responsible  for prevention and counteraction to money laundering and terrorist financing, particularly:
Anti-money laundering Department, State Tax Administration;
Department on combating organized crime and Main Investigation Department (in case of a corresponding document receipt from the investigator), the Ministry of  Interior of Ukraine;
Main Directorate for combating corruption and organized crime, Department for counterintelligence protection of state economy and Department for national integrity protection, State Security Service of Ukraine.
 
5.3 The law-enforcement agencies (its regional subdivisions) shall verify received case referrals (additional materials) under Ukrainian legislation and in case of establishment of data having indicia of crime shall take decision pursuant to the supervision materials and according to the laws of Ukraine on ‘Operative and Investigative Activity’, ‘On the Act of Ukraine on Counter-Intelligence Activity’ and the Criminal Procedure Code of Ukraine.
 
5.4 If the data, that received case referrals (additional materials) contain, need to be clarified, the law-enforcement agencies (its territorial divisions) may request SCFM of Ukraine, its regional divisions to submit additional information. This request shall be signed by Head (Deputy Head) of the agency filing the request and shall contain reference to the number and date of the cover letter of SCFM of Ukraine that has submitted such case referrals, and its registration number.
 
5.5 SCFM of Ukraine, its regional divisions, if necessary, shall clarify what information/documents the law-enforcement agencies need, shall give consulting (interpretation of the provisions of normative acts of SCFM of Ukraine in AML area, comments regarding the content of case referrals (additional materials) etc) and shall apply necessary measures to prepare additional materials.
 
5.6 SCFM of Ukraine, provided there is additional information on the financial transactions the case referrals with regard to which have been earlier submitted or connected with them, shall on its own prepare additional materials and pursuant to the legislation forward them to the law-enforcement agency.  Additional materials shall contain outcoming essential elements of the cover letter of earlier submitted case referrals.
 
5.7 Control over the stage of consideration and validity of taken decisions by territorial divisions of the law-enforcement agencies under the results of verification of case referrals shall be carried out by central boards of the law-enforcement agencies responsible for prevention and counteraction to money laundering and terrorist financing.
 
5.8 Information that the materials contain shall be used while applying AML/CTF measures.
 
6. Receipt by SCFM of Ukraine of the information/documents on the stage of processing of case referrals (additional materials)
 
6.1 The law-enforcement agencies, its territorial divisions shall inform SCFM of Ukraine on the results of consideration of case referrals at least one time for six months from the moment of registration of case referrals pursuant to the List of documents on the results of consideration of case referrals by the law-enforcement agencies (hereinafter referred to as List)  (Annex 2).
 
6.2. While taking decision under the results of consideration of case referrals (initiation of criminal case, conducting verification in the framework of criminal case, refusal to initiate criminal case etc) the law-enforcement agencies (its territorial divisions) shall submit to SCFM of Ukraine or its regional subdivisions the information pursuant to the List within five business days from the moment of decision taking.
 
6.3  Should SCFM of Ukraine need  the information (additional information) on the stage of processing of submitted case referrals (additional materials), copies of resolutions on refusal to initiate criminal case under the results of verification, SCFM and its regional divisions  within their competence shall file the request to the law-enforcement agencies or its territorial divisions.
 
 6.4 Regional subdivisions of SCFM of Ukraine shall provide maintenance of case referrals, shall cooperate with territorial supdivisions of the law-enforcement agencies that consider case referrals.
 
6.4.1. Officials of the regional subdivisions of SCFM of Ukraine pursuant to the procedure stipulated by the legislation shall participate as consultants or specialists while applying AML/CTF measures by regional subdivisions of the law-enforcement agencies.
 
6.4.2. Using IT facilities regional subdivisions of SCFM of Ukraine shall process information concerning non-residents trough official data bases of foreign countries and inform the initiator about its results according to defined procedure under the initiative of the territorial subdivisions of the law-enforcement agencies.
 
6.5 The law-enforcement agencies (its territorial divisions) shall provide information (additional information) on the stage of processing case referrals and/or appropriate copies of procedural documents (complying with the requirements of Article 121 of Criminal and Procedural Code of Ukraine) to the requests of SCFM of Ukraine, its regional divisions.
 
6.6 Once in three months SCFM of Ukraine and law-enforcement agencies shall conduct mutual verification of the results concerning the stage of processing of submitted case referrals with regard to which additional information is not available.
 
Regional subdivisions of SCFM of Ukraine and territorial subdivisions of the law-enforcement agencies shall conduct at least once in three months mutual verification of the results concerning the stage of processing of submitted case referrals.
 
Mutual verification results shall be registered by the Act in the form, referred to as in Annex 3 of this Procedure.
 
SCFM of Ukraine (its regional division) shall compile the Act in 2 samples to be submitted to the law-enforcement agency (its territorial division) by 20 of the month following reporting quarter.
 
The law-enforcement agency (its territorial division) within 20 business days from the moment of receipt of the Act shall carry out verification and submit signed sample of the Act to SCFM of Ukraine.
 
The acts of mutual verification shall contain the data on case referrals (additional materials) submitted to other law-enforcement agencies (its territorial divisions) or received from them during reporting period.
 
The Act on mutual verification shall be signed by Head of appropriate structural division of the law-enforcement agency and responsible person of regional division of SCFM of Ukraine, shall be approved by Head of SCFM and Head of the law-enforcement agency or its deputies pursuant to the distribution of obligations.
 
The act on mutual verification at the regional level shall be signed by Head of territorial structural division of the law-enforcement agency and responsible person of regional division, shall be approved by Head of territorial structural division of the law-enforcement agency and Head of regional division or by acting Heads.
 
7. The measures to provide security of the information that case referrals contain
 
7.1 The law-enforcement agencies and SCFM of Ukraine shall ensure keeping of completeness and integrity of received information, shall create and support decent conditions for its using and prevention of unauthorized access.
 
7.2 To prevent illicit tipping off the information, that case referrals (additional materials) contain, while submitting or verifying it, its disclosure and protection shall be carried out by officials of the law-enforcement agencies and SCFM of Ukraine, pursuant to the law of Ukraine on Prevention and Counteraction to Legalization (Laundering) of the Proceeds from Crime, Instruction on the procedure of registration, keeping and using documents, cases and other materials that contain confidential information that is a state of property, approved by the Resolution of the Cabinet of Ministers of Ukraine of 27.11.98  № 1893, and other normative acts.
 
Director of Analytical Department                                                       Oleksii Feschenko
of SCFM of Ukraine
 
Acting Director of Department
for combating money laundering,
State Tax Administration                                                                        I. Stelmakhovych
 
Chief of Main Directorate
for combating organized crime,
Ministry for Internal Affairs                                                                             I.Bilozub
 
Deputy Head of Main Directorate
for combating corruption and organized crime,
State Security Service of Ukraine                                                                    O. Pokhylko
                                             
  Annex 1
 to Procedure for submission and consideration of case referrals
 
The List of grounds to form case referrals and essential elements of persons committed legal act considering information received from foreign FIUs
 
1. Presence of  proceeding of a law-enforcement agency, initiated under signs of socially-dangerous illicit act foregone legalization (money-laundering) of proceeds  (hereinafter –  predicate offence) or terrorism financing.
 
The data on the criminal offence:
 
the number of criminal offence, date of criminal proceedings initiation, article of the Criminal Code of Ukraine under which the case has been initiated (qualification signs);
 
the agency that initiated the case and the agency by which the case is being investigated;
 
short description of the subject matter and the offender;
 
the amount of criminal material proceeds from crime and\or losses;
 
description of the legal acts, particularly, the period, the amount, the reasons for their perpetration, essential elements of the financial, accounting and other documents.
 
2. Fulfillment of the tasks, provided by the Law of Ukraine ‘On Operative and Investigative Activity’ and ‘On the Act of Ukraine on Counter-Intelligence Activity’ when it is necessary to investigate the fact of commitment of the predicate offence and terrorism financing.
 
3. Obligatory identification data of natural and legal persons who accomplished the legal acts and directly or indirectly can be involved in money laundering from crime or terrorism financing.
 
3.1. For natural persons – residents:
 
Surname, name, paternal name (if exists);
Date of birth;
Identification number according to State Registry of Natural Persons (except persons who due to their religious or other beliefs refuse to take an identification number and officially inform corresponding state bodies about it);
Passport data.
 
3.2. For natural persons – non-residents:
 
Surname, name (in Ukrainian and\or English);*
Date of birth;
Citizenship and place of actual living – the country;
Passport data;
Identification number (social security number, Cedula etc).
 
3.3. For legal persons:
 
Full title;*
Identification number according EDRPOU (National State Registry of Ukrainian Enterprises and Organizations) (for residents);*
Location;*
Essential elements of the accounts.
 
4. The amount (the List) of information which should be presented in the information letter of the law-enforcement agency concerning the necessity of appeal to the foreign FIU.
 
4.1. The data identifying the subject:
 
The name of the subject (natural or legal person);*
Location – for legal persons, place of living – for natural persons;
Respect of the subject to investigation;
Identification number (social security number, Cedula etc. for natural persons – non-residents);
Passport data;
Telephone number;
Nationality, gender, date of birth.
 
4.2. Financial and other information:
The name of the bank (SWIFT – bank code (BIC code));*
The number of the bank account*;
Location of the bank.
 
4.3. Description of information which is required from the foreign FIU (questions).*
 
4.4. Goal and aim of using information which is requested.*
 
4.5. Applying of confiscation or lien in this case.*
 
4.6. The amount (kind of currency) and\or the origin of the proceeds committed in this case.*
 
4.7. The countries which take part in the investigation.
 
Submission of information according to the paragraphs 1, 3 and 4 of this List is provided pursuant to the requirements of the Article 121 of the Criminal and Procedural Code of Ukraine.
 
Submission of information according to the paragraphs 2 and 3 of this List is provided pursuant to the requirements of Law On State Secret Protection particularly concerning data which are considered to be state secret pursuant to the Article 4.4.9 of the State Secret Data Code, approved by the Order № 440 of Security Service of Ukraine dated August 12, 2005, registered in the Ministry of Justice of Ukraine of August 17, 2005 №902\11182.
 
While submission of information according to the paragraph 4of this List it is obligatory to submit a permission of the law-enforcement agency to SCFM for transfer of information presented in the information letter of the law-enforcement agency or its territorial division to foreign FIU.
 
 
_________________
* Obligatory essential elements
 
Annex 2 to the Procedure for
 submission and consideration
of case referrals
 
The List of data on the stage of processing  of case referrals by the law-enforcement agencies
 

The stage of processing of case referrals
The data on the stage of processing
The form
1
Receipt of case referrals (additional materials)
1. Name of the law-enforcement agency that has received case referrals (additional materials)
2. Incoming date and registration number of case referrals (additional materials).
By mail with the mark “the document of restricted access”*
2
Verification
1.    Incoming date and registration number of case referrals (additional materials).
2.    Number of case referrals.
3.    Grounds to conduct verification (the law of Ukraine on Operative and Investigative activity, Article 97 of Criminal and Procedural Code of Ukraine and other normative acts).
4.    Name of the agency that conducts verification
 
By mail with the mark “the document of restricted access”*
3
Forwarding case referrals according to the competence of the law-enforcement agency
1. Outcoming date and number of the cover latter of case referrals (additional materials).
2. Number of case referrals (additional materials).
3. Grounds to forward case referrals (additional materials) according to the competence of the agency.
4. Name of the agency case referrals (additional materials) have been forwarded to, its legal address
 
By mail with the mark “the document of restricted access”*
4.
When initiating the criminal case under the results of consideration (verification)
1. Number of case referrals (additional materials).
2. Date of criminal proceedings initiation, Article of the Criminal Code of Ukraine under which the case has been initiated (qualification signs).
3. The agency that initiated the case (name of the agency)
4. the agency that investigates the case (name of the agency)
5. The stage of processing of the case (the case is being investigated, the case is forwarded according to investigative jurisdiction, investigation is suspended, the term of investigation is prolongated).
6. The form of finishing pretrial investigation (Article 212 of the Criminal and Procedural Code of Ukraine)
7. Stipulated sum of legalized proceeds – under conviction (mln UAH).
8. Amount of criminal proceeds that have been arrested or seized – under indictment (mln UAH).
9. Keeping place of case referrals (additional materials) – name of registration book, registration number and date, number of the case.
 
 
 
By mail with the mark “the document of restricted access”*
4.1.
When verifying case referrals (additional materials) in the framework of the criminal case initiated before case referrals (additional materials) have been received from SCFM of Ukraine.
5.
When refusing to initiate criminal case
1. Number of case referrals (additional materials).
2. Date, registration number of the document on refusal to initiate criminal case.
3. Name of the agency that has taken decision
4. Circumstances to be the grounds to refuse case initiation.
5. The information concerning verification of the legitimacy of taken decision (if available)
6. The information on bringing the person to administrative responsibility (if available).
7. The copy of the resolution on refusal to initiate criminal case (if the requirements of Article 121 of Criminal Procedural Code of Ukraine are complied with).
8. Keeping place of case referrals (additional materials) – name of registration book, registration number and date.
 
 
 
 
By mail with the mark “the document of restricted access”*
6.
When fulfilling the requirements of Articles 225, 232 of Criminal and Procedural Code of Ukraine  (if the case has been initiated under the documents on verification of case referrals, if case referrals have been used to provide the evidence for the case; when presenting indictment etc - specify).
1. Number of case referrals (additional materials).
2. Date of submission and number of the criminal case.
3. Name of the agency that forwarded the case.
4. Name of the court the criminal case has been forwarded to.
5. Articles and their parts under which the indictment has been presented (it is necessary to mention predicate offence to Article 209 of Criminal Code of Ukraine).
6. Stipulated sum of legalized proceeds – under conviction (mln UAH).
7. The amount of criminal proceeds that have been arrested or seized – under indictment (mln UAH).
8. Keeping place of case referrals (additional materials) – name of registration book, registration number and date. 
By mail with the mark “the document of restricted access”*

* If the documents contain only essential elements of case referrals (additional materials) – number and date, including elements of their cover letter, and if any references to the name of objects of financial monitoring, its essential elements, including counteragents, are not available, the information may be given trough open channels.
 
                                                                                                                                                           Annex 3
                                                                                                                                                                  to part 6.6 of the Procedure
 
                                                                                                                                                                  For official use only
                                                                                                                                                                  Note № ______
                                                                                                                              
                                                                                                                                                                  
 
                            APPROVED                                                                                                                  APPROVED
 
_________________________________                                                                        __________________________________
 
Head of   State Committee for Financial Monitoring of                                                            (Head of the law-enforcement agency or its deputy
Ukraine or its deputy ( Head of regional division or acting Head)                                                (Head of  its territorial division or acting Head)
 
________________            _________________                              ________________                 ____________________                                                        (signature)                                  (initials and surname)                                                      (signature)                                        (initials and surname)
 
 
 -------       -------------------------------      20 ---                                                                  -------    ---------------------------------------        20  ----
 
 
 
The Act of mutual verification of statistic data on the stage of processing of submitted case referrals for ___ quarter of 200_
 

Outcoming date and number of the cover letter of SCFM of Ukraine on submission of case referrals (additional materials)
Number and date of case referrals (additional materials)
Type and conditional  name of case referrals (additional materials)
Incoming date and registration number of the document
 (according to data of the law-enforcement agency’s service for document-keeping provision)
The results of consideration of case referrals
(last decision taken pursuant to the legislation on the day of reporting)
1
2
3
4
5
6
 
 
 
 
 
 
 
 
 
 
 
 

                                                                                                                     
(Head of   State Committee for Financial Monitoring of                                                            
Ukraine or its deputy ( Head of regional division or acting Head)                                    (signature)                                (initials and surname)
__   _____________  20__
____________________________________      
Head of the law-enforcement agency or its deputy (Head of structural              _________________________         ________________________
territorial division or  acting Head)                                                                                  (signature)                                      (initials and surname)
 
__   _____________  20__ 


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