CABINET OF MINISTERS OF UKRAINE
from 31 January 2007 N 100
On approval of the Statute of the State Committee for financial monitoring of Ukraine
With changes and amendments made by
the resolutions of the Cabinet of Ministers of Ukraine
from 27 May 2009 N 520,
from 13 September 2010 N 832
the Decree of the President of Ukraine
from 24 December 2004 N 1527/2004
The Cabinet of Ministers of Ukraine resolves:
1. Approve the Statute of State Committee for financial monitoring of Ukraine, which is added.
2. The point 2 has been eliminated.
(following the resolution of Cabinet
of Ministers of Ukraine from 27.05.2009 р. N 520)
Prime-minister of Ukraine
the Resolution of the Cabinet of Ministers
of Ukraine dated 31.01. 2007 № 100
(in the version of the Cabinet of Ministers
of Ukraine dated 2010 р. №)
of the State Committee for Financial Monitoring of Ukraine
1. The State Committee for Financial Monitoring of Ukraine (SCFM) is a central agency of executive power with special status on the issues of financial monitoring, which activity is regulated and coordinated by the Cabinet of Ministers of Ukraine.
2. The SCFM in its activity is guided by the Constitution, acts of the President of Ukraine and laws of Ukraine, resolutions of the Parliament of Ukraine adopted according to the Constitution and laws of Ukraine, acts of the Cabinet of Ministers of Ukraine and this Statute.
The SCFM organizes in framework of its powers execution of legislative acts, performs control of their implementation, generalizes the practice of application of the legislation on the issues belonging to its competence, develops proposals on implementation of the legislation and in the established manner submits them to the Cabinet of Ministers of Ukraine.
The SCFM in its activity can apply recommendations of international organizations on counteraction to the legalization (laundering) of the proceeds from crime or financing of terrorism.
3. The main tasks of the SCFM are:
1) participation in implementation of the state policy in AML/CFT area;
2) collection, processing and analyzing of information on financial transactions subject to financial monitoring, other financial transactions or information, which can be related to the suspicion of the legalization (laundering) of the proceeds from crime or terrorist financing;
3) creation and support of operation of the unified state information system in AML/CFT area;
4) organization of cooperation, coordination and information exchange with the state authorities, competent authorities of foreign countries and international organizations in the mentioned area;
5) ensuring of the representation of Ukraine in the established manner in international organizations on AML/CFT issues.
4. The SCFM according to its tasks performs the following activities:
1) proposes drafting of legislative acts, participates in the established manner in preparation of other normative-legal acts on AML/CFT issues;
2) makes requests to authorities of executive power, self-governmental authorities, economic authorities on receiving of information (including copies of documents confirming them), necessary for execution of its tasks;
3) cooperates with authorities of executive power, other state authorities engaged in prevention and counteraction to the legalization (laundering) of the proceeds from crime or terrorist financing;
4) in case of available sufficient grounds to suppose that financial transaction or an number of related financial transactions can be linked to the legalization (laundering) of the proceeds of crime or financing of terrorism submits the certain case referrals and additional referrals to law enforcement agencies authorized to take decisions according to the criminal-procedural legislation, as well as intelligence authorities for conducting of operative and search activities and obtain from them information on the progress of their investigation;
5) in case of available sufficient grounds to suspect that financial transaction or a client are related to commitment of an act determined by the Criminal Code of Ukraine that doesn’t concern to the legalization (laundering) of the proceeds from crime or financing of terrorism submits information to the certain law enforcement or intelligence authority in the form of case referrals;
6) participates in international cooperation on AML/CFT issues;
7) analyzes the methods and financial schemes of the legalization (laundering) of the proceeds from crime;
8) generalizes information on the state of performing by state authorities of measures regarding prevention to the legalization (laundering) of the proceeds from crime or terrorist financing;
9) approves drafts of normative-legal acts of the entities of state financial monitoring on AML/CFT issues, as well as submits drafts of its normative-legal acts on execution by the certain reporting entities of the legislation in AML/CFT area to the entities of state financial monitoring approval;
10) analyze the efficiency of measures on functioning of the system of financial monitoring in the state on the base of information obtained from the state authorities;
11) assist to detection of indications of using the proceeds from crime in financial transactions;
12) requires from the reporting entity compliance with requirements of the legislation that regulates relationships in AML/CFT area and in case of detection of violation of the legislation adopts measures provided for by laws, as well as informs about this the authority supervising such reporting entity;
13) ensures coordination of activity of state authorities in AML/CFT area;
14) determines qualifying requirements for the persons appointed responsible for performing of financial monitoring;
15) ensures organization and coordination of the work on retraining and professional development of specialists of the authorities of state power on the issues of financial monitoring and employees of the reporting entities responsible for performing of financial monitoring on counteraction to the legalization (laundering) of the proceeds from crime and financing of terrorism on the base of the certain training institution belonging to the sphere of management of the SCFM;
16) according to the legislation provides the authorities of state financial monitoring with information for enhancing an effectiveness of supervision of compliance by the reporting entities of requirements of the legislation on AML/CFT issues;
17) informs the reporting entity after receiving of the certain information from law enforcement agencies authorized to take decisions according to the criminal-procedural legislation on the fact of criminal case initiating (or on the fact of criminal case closing in course of pre-trial investigation) under the notification of such entity sent to the SCFM, as well as provides it with information on taken by the court decisions under such criminal case with simultaneous informing of the certain entity of state financial monitoring;
18) provides explanations on applying of adopted by it normative-legal acts on AML/CFT issues;
19) under the order of the Cabinet of Ministers of Ukraine participates in preparing of international treaties of Ukraine on the issues belonging to its competence;
20) determines and approves risks criteria under the agreement with the entities of state financial monitoring;
21) ensures registration of:
information on financial transactions, which became an object of financial monitoring;
case referrals and additional referrals submitted to the law enforcement agencies, as well as procedural decisions taken under the results of their consideration by the law enforcement agencies;
information on the results of pre-trial investigation and established court decisions in cases in investigating of which the submitted case referrals were applied (are applied);
information on confiscated assets and arrested assets in cases in investigating of which the submitted case referrals were applied (are applied);
sent and executed international requests on cooperation in AML/CFT area;
22) as regulator, which according to the Article 14 the part 1 (8) of the Law of Ukraine On Prevention and Counteraction to the Legalization (Laundering) of the Proceeds from Crime and Terrorist Financing (hereinafter – the Law) regulates and supervises of the reporting entities activity:
performs supervision in AML/CFT area of the activity of the certain reporting entities, in particular, by executing of scheduled and non-scheduled inspections, including on-site inspections;
provides the reporting entities with methodological, methodical and other assistance in AML/CFT area;
taking into account the policy, procedures and control systems regulates and supervises risks assessment in AML/CFT area in order to determine the correspondence of measures adopted by the reporting entities, as well as reducing of risks by performing activity of such entities in the mentioned area;
requires from the reporting entities to follow requirements of the legislation regulating relationships in AML/CFT area, and in case of revealing of infringing such requirements to adopt measures provided for by the Law;
inspects organization of professional training of employees and managers of divisions responsible for performing of financial monitoring;
keeps information obtained from the reporting entity and the entity of state financial monitoring, law enforcement and intelligence agencies;
according to the legislation adopts measures for inspection of an irreproachable business reputation of persons managing and controlling the reporting entity activity;
according to the legislation adopts measures for non-admission to management by the reporting entities of direct or indirect essential part in such entities of persons, who does not distinguished or not removed in the established manner conviction for mercenary crime or terrorism;
according to the legislation adopts in the established manner measures for non-admission of forming statutory (compounded) capitals of the certain reporting entities at the expense of money, the source of which it’s impossibly to confirm;
determines and develops the procedure of applying the certain preventive measures to countries, which comply or insufficiently comply recommendations of international, intergovernmental organizations the activity of which is related to AML/CFT;
23) submit every March the report on situation in AML/CFT sphere to the committee of Verhovna Rada of Ukraine on the issues of finance and banking activity and on the issues of counteraction to the organized crime and corruption;
24) according to the legislation provide functions on managing relevant objects of state property;
25) provide fulfillment of tasks on preparedness activity and mobilization readiness of state within the frameworks established by legislation;
26) within its competence provide realization of state policy concerning state secrecy, providing supervision over its security in SCFM, enterprises, institutions and organizations, in the sphere of its managing;
27) provide other functions according to its tasks.
5. SCFM shall have the right:
1) to involve to the issues within its competence the specialists of central and local bodies of executive power, enterprises, institutions and organizations (with agreements of their management);
2) to receive free of charge in prescribed by the legislation procedure from bodies of executive power, law enforcement authorities, National Bank, local self-governing bodies, business entities, enterprises, institutions and organizations the information (references, copies of documents) necessary for performing its tasks, including information containing banking and commerce secrecy;
3) in prescribed by the legislation procedure perform access, including automated, to the data bases of state regulators and other bodies of state power;
4) to receive from reporting entities (except specially designed), if necessary, information on monitoring:
circulation of assets that could be related to ML/FT as well as monitoring of financial transactions of customers, transactions of whom subject to financial monitoring;
financial transactions of customers, transactions of whom subject to financial monitoring;
5) to receive from reporting entities:
information (references, approving document copies), including that contain banking or commercial secrecy, concerning financial transactions subject to financial monitoring and related transactions. If participant of such financial transaction is non-resident, SCFM shall have the right to request all available information about such person from reporting entity. Concerning participant of such transaction – resident, SCFM shall have the right to request from reporting entity copies of residents passport, cards with signatures and power of attorney under which this participant took part in financial transaction subject to financial monitoring, as well as other available information (document copies) necessary for performing its tasks;
information necessary to perform its functions on regulation and supervision of activity of such entities according to the Law;
6) in prescribed procedure receive from law enforcement and intelligence authorities to which case referrals were submitted, as well as judicial bodies, the information about proceeding and taking relevant measures, information on results of pre-trial investigation and stated court decisions in cases, in investigating of which case referrals and additional materials are used, and information on confiscated and arrested assets in cases in which case referrals and additional materials are used;
7) to arrange and coordinate training and professional training of specialists of state power bodies on financial monitoring issues and with agreement of relevant regulators – compliance officers of reporting entities in the AML/CFT sphere;
8) to take decision on suspending expenditure transactions on accounts of persons for the period established by the Law;
9) to take decision on further suspending financial transactions and prolong the period of suspension of financial transactions in the cases established by the Law;
10) to participate under agreement of relevant regulators in preparing and/or performing examinations of reporting entities (except banks) in the sphere of compliance with AML/CFT legislation;
11) to inform regulators about violations of the requirements of the Law by reporting entities;
12) to provide statistics to regulators according to the legislation in frameworks designed by the Article 18 Part 4 of the Law;
13) to establish permanent or temporary working groups, commissions for fulfilling its tasks;
14) to provide in established procedure seminars, conferences on issues related to its tasks;
15) in frameworks of international cooperation:
To conclude in established by the law procedure international interagency agreements with relevant authorities of other countries in cooperation issues in the AML/CFT sphere;
To provide international cooperation with relevant authorities of foreign countries in the part of exchange of experience and information related to AML/CFT;
To provide cooperation with FATF and other international organizations activity of which aimed at international cooperation in the AML/CFT sphere;
To submit to relevant authority of foreign country restricted information in condition that this authority provide relevant security level equal to the national security level in Ukraine exclusively for tasks of criminal justice in AML/CFT cases;
To demand from state power bodies, enterprises, institutions, organizations and reporting entities information (including information containing banking and commercial secrecy), necessary for fulfilling the request from relevant authority of foreign country;
To deny or delay fulfilling the request on international cooperation in the AML/CFT sphere on the ground of international agreements of Ukraine;
To entrust reporting entity to suspend or renew, or provide monitoring of financial transaction of relevant person for fulfilling the request from relevant authority of foreign country on suspending relevant financial transaction as it could be related to ML/FT;
To participate in international conferences, seminars, meetings and other means on issues within its competence.
6. For providing its authorities, SCFM shall have the right to create, reorganize and liquidate structural subdivisions in Autonomous Republic Crimea and in oblasts which have no status of legal persons, and educational institutions.
7. While fulfilling its tasks SCFM cooperates with central and local executive power bodies, Council of Ministers of Autonomous Republic of Crimea, other state bodies, local self-governing bodies, citizen’s associations, competent authorities of other countries and international organizations.
8. Within its competence SCFM shall compose orders, arrange and control over their performance.
Normative legal acts of SCFM shall be subject to state registration in established by the legislation procedure.
If necessary SCFM shall publish jointly with central executive power bodies and other state power bodies joint acts.
9. SCFM shall be leaded by the Head who shall be appointed and discharged by the Cabinet of Ministers of Ukraine under the proposal of the Prime Minister of Ukraine.
The Head of SCFM has Deputy Heads including First Deputy Head, who shall be appointed and discharged by the Cabinet of Ministers of Ukraine in prescribed procedure.
10. The Head of SCFM:
1) provides general management of SCFM, takes personal responsibility before the Cabinet of Ministers of Ukraine for performance tasks of SCFM;
2) determines the priorities and strategic directions of SCFM work, approves action plans and performance reports;
3) sings normative legal and other acts of SCFM;
4) submits in established procedure to the consideration of the Cabinet of Ministers of Ukraine drafts of laws, acts of President and the Cabinet of Ministers of Ukraine developer of which is SCFM;
5) conforms drafts of normative legal acts within the competence of SCFM;
6) takes decisions on dividing budget funds the main manager of which is SCFM;
7) divides the responsibilities between Deputy Heads, determines the level of responsibility of Deputy Heads and heads of subdivisions, appoints and discharges employees of SCFM;
8) initiates in established procedure issue on bringing to disciplinary responsibility Deputy Heads;
9) according to the legislation concludes and terminates contracts with leaders of enterprises, institutions and organizations in the sphere of SCFM managing;
10) provides other authorities according to the legislation.
11. The Board shall consist of the Head (Head of Board), First Deputy Head and Deputy Heads, heads of structural subdivisions, members of boards of all-Ukrainian associations of local self-governing authorities for agreed decision of issues and considering the most important activity directions of SCFM.
If necessary, Board could consist of other persons according to established procedure.
Members of Board shall be appointed and discharged by the Head of SCFM.
Board decision shall be approved by orders of SCFM.
12. In order to considering scientific recommendations and other proposals on main directions of AML/CFT consultative, advisory and other subsidiary bodies can be created in SCFM.
13. The boundary quantity of employees of SCFM shall be approved by the Cabinet of Ministers of Ukraine.
The Head of SCFM shall approve the structure of SCFM.
The Head of SCFM under approving of Ministry of Finance shall approve the personnel arrangements and the budget.
14. SCFM shall be legal person, have independent balance, accounts in the authorities of State Board of Treasury, seal with image of State Arm of Ukraine and its title.
(Statute with amendments made by the
Resolution of the Cabinet of Ministers of Ukraine from 27.05.2009 N 520)