CABINET OF MINISTERS OF UKRAINE
as of August, 25 2010 No 746
On approval of Procedure of Submitting Information Concerning Client Identification by State Authorities on Request of Reporting Entity
Under the Article 9 of the Law of Ukraine “On Prevention and Counteraction to Legalization (Laundering) of the Proceeds from Crime or Terrorist Financing” the Cabinet of Ministers of Ukraine resolve:
Approve Procedureof submitting information concerning client identification by state authorities on request of reporting entity (attached).
Prime-Minister of Ukraine Mykola AZAROV
by the Resolution of
the Cabinet of Ministers of Ukraine
as of August 25, 2010 No 746
of Submitting Information Concerning Client Identification by State Authorities on Request of Reporting Entity
1. This Procedure defines the procedure of providing by the state authorities on request of reporting entity the information concerning client identification.
2. In this Procedure terms shall be used in the meaning stated in the Law of Ukraine “On Prevention and Counteraction to Legalization (Laundering) of the Proceeds from Crime or Terrorist Financing”.
3. In case of any doubts concerning reliability or completeness of provided information on client identification reporting entity shall take measures on data verification and clarification of such information. At that, it has the right to apply state authorities with request for receiving essential information.
4. State authorities providing the information on client identification on request of reporting entity as follows:
the State Committee of Ukraine for Regulatory Policy and Entrepreneurship,
the State tax Administration and law enforcement agencies (hereinafter – state authorities).
5. Request shall be send by reporting entity according to location of appropriate state authorities in written form signed by the Head of reporting entity or his Deputy and sealed by reporting entity. As well request, could be send in electronic form. Format of electronic submission and the form of submitting information shall be set by the State Committee of Ukraine for Regulatory Policy and Entrepreneurship, the State Tax Administration and the Ministry of Interior under protection of restricted information legislation.
6. Request shall contain grounds for providing by state authorities the information on client identification, its list and purpose of using such information. Request shall be attached with the copy of notification on assigning of record identifier of reporting entity (combination of Latin letters and numbers assigned by SFMS of Ukraine if reporting entity was placed in the register).
In request concerning identification of natural person – resident obligatory shall state identification number, surname, first name and patronymic name, date of birth and point of residence.
7. Under the legislation within ten business days state authorities shall provide reporting entity with information on identification of the client, provided by the Article 9 part 11 and 12 of the Law of Ukraine “On Prevention and Counteraction to Legalization (Laundering) of the Proceeds from Crime or Terrorist Financing” legislation. The mentioned information shall be submitted free of charge.
8. Letter of the state authority providing the information which is submitted on request of reporting entity shall contain the following information:
number and date of reporting entity’s request to which the answer is provided;
information requested by reporting entity if the information is under the competence of the state authority.
9. Information provided to reporting entity from the state authorities concerning client identification is a restricted information and shall be used to fulfill AML/CFT legislation requirements.
10. Reporting entity shall carry out the register of requests to state authorities, which shall contain outcoming elements of the request, surname, first name and patronymic name of the natural person or full name of the legal entity, on which the information is requested, grounds for sending request and essential elements of the letter of the state authority with information received on request of reporting entity.
State authorities shall carry out the register of requests of reporting entities concerning client identification in the separate register which contains record identifier of reporting entity, incoming elements of request, information on client, outcoming elements of the answer-letter.
11. Request of reporting entity concerning client identification and information which is forwarded by the state authorities under provisions of this Procedure is a restricted information and shall not be forwarded to third persons, except SFMS, appropriate state reporting entities and other state authorities in cases provided by the Law.
12. Reporting entities shall provide keeping and usage of stated information according to provisions of legislation, as well as prevent unauthorized access and circulation of information.
13. For violation of requirements concerning keeping of information on client identification provided by the state authorities and revealing of information reporting entity shall bear responsibility according to the Law.