Rs 955.23 Ordinance Of 25 August 2004 On The Reporting Office For Money Laundering (Mlo)

Original Language Title: RS 955.23 Ordonnance du 25 août 2004 sur le Bureau de communication en matière de blanchiment d’argent (OBCBA)

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955.23

Ordinance Reporting Office for Money Laundering

(MLO)

25 August 2004 (Status 1 January 2016)

The Swiss Federal Council,
seen the art. 8a al. 5, and 41, al. 1 of the Law of 10 October 1997 on money laundering (AML), based on Articles. 4 para. 1, 13 para. 1, and 15 of the Federal Law of 7 October 1994 on the Central Offices of Criminal Police of the Confederation and the common centers for police and customs cooperation with other states (LOC), stop
:
Chapter 1 Tasks


Art. 1

The Reporting Office for Money Laundering (office) is responsible for the following:
a. assisting law enforcement authorities in the suppression of money laundering predicate offenses to money laundering, organized crime and terrorist financing; b. act as the national FIU in the fight against money laundering, predicate offenses for money laundering, organized crime and terrorist financing; c. sensitize the financial intermediaries to the problems of money laundering predicate offenses to money laundering, organized crime and terrorist financing; d. inform the public on developments in the fight against money laundering, predicate offenses for money laundering, organized crime and terrorist financing in Switzerland with an annual report anonymous statistical elements.

To fulfill its tasks:
a. it receives and analyzes the communications of financial intermediaries, self-regulatory bodies, the Federal Financial Market Supervisory Authority (FINMA), the Federal Commission of gambling houses, traders within the meaning of art. 8a LBA and their auditors b. He conducts research on the facts which have been communicated to him c. he decides that the transmission of communications, announcements and other information to local and federal law enforcement agencies; d. exchange it at the national and international information related to money laundering, predicate offenses for money laundering, organized crime and terrorist financing; e. It operates its own information system for the fight against money laundering, predicate offenses for money laundering, organized crime and terrorist financing (GEWA) f. it uses information related to money laundering, predicate offenses for money laundering, organized crime and the financing of terrorism and establish anonymous statistics that allow it to make operational and strategic analyzes.

Version according to ch. I of the Ordinance of 16 October 2013, in force since 1 November 2013 (RO 2013 3497).
Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).
Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

Chapter 2 Handling of communications and information


Section 1 Registration
Art. 2Provenance processed data

The office handles communications and information:
a. according to art. 9 para. 1 and 11a LBA as art. 305, para. 2 of the Penal Code (PC), when made financial intermediaries b. according to art. 27 paragraph. 4, LBA, when made self-regulatory bodies; c. according to art. 16 para. 1, LBA, when made by FINMA d. according to art. 16 para. 1, LBA, when made by the Federal Commission for gambling houses e. according to art. 9 para. 1 and 15 para. 5, MLA, for requests from merchants and their auditors.

Version according to ch. 10 of the annex to the Ordinance of 15 October 2008 on audits of financial markets, in force since Jan 1. 2009 (RO 2008 5323).
Version according to ch. I of the Ordinance of 16 October 2013, in force since 1 November 2013 (RO 2013 3497).
Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

SR 311.0 Amended in accordance with No. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

Art. 3Analyse communications

Communications within the meaning of art. 2 letter. a-d, shall indicate at least:

A. communicating the financial intermediary or the authority of the case, and for each of them a contact person with direct telephone and fax b. the authorities under Art. 12 LBA exercising oversight on the financial intermediary; c. data identifying the client of the financial intermediary pursuant to Art. LBA 3 d. the data to identify the beneficial owner of the funds pursuant to art. 4 LBA e. data to identify other persons authorized to sign or represent the client f. the assets involved in the case at the time of communication, including the current status of the account; g. as precise a description as possible of the business relationship, including numbers and dates of opening of the accounts h. as precise a description as possible of the suspicion on which the communication is based, including bank statements and detailed supporting documents showing suspicious transactions and possible links with other business relationships.

Communications within the meaning of art. 2 let. e must contain at least by analogy the information specified in s. 1 letter. a, c, e and h.
Communications should be established on the form provided for that purpose by the office. The coordinates of the contact person referred to in s. 1 letter. a, may also be provided on a separate document.
Documents relating to financial transactions and the required clarifications made, as well as other supporting documents must be attached to the communication.
The financial intermediary must promptly return to office, at the request of the latter, the documents to trace the transactions that occurred during the office analysis.

Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

Art. 4Recording

Communications and information from financial intermediaries are recorded in GEWA to the date of shipment. The registration date is used to monitor possible.
If communication indicates more than one client, the office can deal separately with each of the aforementioned business relationships.
The office shall immediately acknowledge receipt of communications and indicates the statutory period in which it decided, pursuant to art. 23 para. 5, LBA, transmit the information to a law enforcement agency.
If transmitting to a criminal authority or communication made pursuant to art. 9 para. 1 letter. c AMLA office indicates the maturity date of the freezing of assets pursuant to Art. 10 para. 2 AMLA.

Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

Section 2 Analysis and Research

Art. 5

Repealed by. I 20 of the Ordinance of 15 October 2008 on the adjustments arising from the federal law on police information systems of the Confederation with effect from 5 December 2008 (RO 2008 4943).

Art. 6 Finding information under the LOC

To fulfill its statutory duties, the office can obtain information pursuant to Art. 3 letter. ae, LOC.

Version according to ch. I of the Ordinance of 16 October 2013, in force since 1 November 2013 (RO 2013 3497).

Art. 7 Collaboration with authorities and offices

The office can require authorities and offices listed in art. 4 para. 1, LOC and art. 29 para. 1 and 2, LBA information related to money laundering, predicate offenses for money laundering, organized crime or terrorist financing it needs to perform its statutory duties. The office can verify whether:
a. the person or company concerned is or has been the subject of legal or administrative proceedings; b. the person or company is known to police authorities; c. the person to whom the communication is domiciled in Switzerland and if it is allowed to stay there and to exercise a gainful activity; d. the financial intermediary who makes a communication is actually subject to the supervision of FINMA or the Federal Commission for gambling houses.

The exchange of information takes place orally, electronically or in writing.

Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).
Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).
Version according to ch. I of the Ordinance of 16 October 2013, in force since 1 November 2013 (RO 2013 3497).
Section 3 Transmission


Art. 8 Termination of the criminal prosecution authorities

Based on the use of information collected, the office takes action under Art. 23 para. 4, LBA.
The communications were not immediately forwarded to the prosecuting authorities in accordance with Art. 23 para. 4, LBA can be at any time if, on the basis of new evidence, the office of reasonable suspicion.

Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

Art. 9 Information of the financial intermediary

The office informs the financial intermediary of the outcome of the case.
If the matter is referred to a law enforcement agency, any subsequent information of the financial intermediary is subject to the prior authorization of the latter.

Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

Art. 10Information

The office can inform:
a. financial intermediaries: the steps taken on the basis of communications under Art. 2 letter. a, b. self-regulatory organizations: the steps taken on the basis of communications under Art. 2 letter. b c. FINMA: the steps taken on the basis of communications under Art. 2 letter. CD. Federal Gaming Board houses: the steps taken on the basis of communications under Art. 2 letter. d.

If the office finds that a financial intermediary has not observed its due diligence obligations or obligations in case of suspicion of money laundering, it may, in accordance with art. 29 para. 1, LBA, spontaneously forward to the competent supervisory authority the following information:
a. the name of the broker who made the communication b. the date of the communication; c. the amounts involved d. the nature and type of non-compliance; e. the prosecuting authority entry.

It may inform the competent prosecuting authority entry.

Version according to ch. 10 of the annex to the Ordinance of 15 October 2008 on audits of financial markets, in force since Jan 1. 2009 (RO 2008 5323).
Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

Art. 11

Repealed by. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, effective Jan 1. 2016 (RO 2015 4819).


Chapter 3 Cooperation
Art. 12 National authorities

... If it appears that a prosecution authority already conducting an investigation against the persons mentioned in the application, the Office directs the applicant authority to the Swiss authority for obtaining new information.

Repealed by. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, effective Jan 1. 2016 (RO 2015 4819).

Art. Foreign 13Autorités

When the conditions listed in s. 2 are met, the office can exchange personal data and information relating to money laundering suspicions, of predicate offenses for money laundering, organized crime or terrorist financing with foreign authorities or below transmit them to such data and information on its own, to help them fulfill their legal duties:
a. authorities that perform criminal prosecution and police duties, provided that the conditions of art. 13, para. 2 LOC are met; b. Authorities who perform duties similar to those of the office, provided that the conditions mentioned in art. LBA 30 are met.

The personal data and information specified in s. 1 may be exchanged or transmitted only in the following circumstances:
a. if necessary to obtain information that the office needs; b. if there is not data to international legal assistance; c. when the request for administrative assistance is justified.

The art. 6, 7 and 12 apply by analogy to processing requests from foreign authorities.

Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).
Chapter 4 GEWA


Art. 14 Goal

The office uses GEWA for:

A. complete information and verification tasks provided by law; b. carry out checks in cases of money laundering, predicate offenses for money laundering, organized crime and terrorist financing; c. collaborate with the prosecution authorities of the Confederation and the cantons d. collaborating with similar foreign authorities and foreign criminal prosecution authorities; e. collaborate with FINMA and the Federal Gaming Board houses f. develop strategic analyzes on the basis of anonymous statistics.

Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).
Version according to ch. 10 of the annex to the Ordinance of 15 October 2008 on audits of financial markets, in force since Jan 1. 2009 (RO 2008 5323).
Inserted by Sec. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

Art. 15 Source of data

GEWA data come:
a. Communications and information pursuant to Art. 2 b. requests for administrative and legal assistance pursuant to Art. 12 and 13 c. police authorities advertised surveys conducted before the start of an instruction d. announcements of prosecution authorities of the Confederation and the cantons in accordance with Art. 29a AMLA e. ads according to art. 4 and 8, al. 1, LOC, provided they serve to fulfill the legal duties of the office; f. lists of people and companies annexed to the resolutions of the UN Security Council in connection with money laundering suspicions of predicate offenses for money laundering, organized crime or terrorist financing; g . lists of people and companies suspected by the Swiss authorities for money laundering, of committing predicate offense for money laundering, of belonging to a criminal organization or terrorist financing; h. the results of own research office.

Version according to ch. I of the Ordinance of 16 October 2013, in force since 1 November 2013 (RO 2013 3497).
Version according to ch. I of the Ordinance of 16 October 2013, in force since 1 November 2013 (RO 2013 3497).
Version according to ch. I of the Ordinance of 16 October 2013, in force since 1 November 2013 (RO 2013 3497).
Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).
Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

Art. 16Données treated

In the fight against money laundering, predicate offenses for money laundering, organized crime and terrorist financing, the data processed in GEWA concern:
a. suspicious financial transactions; b. individuals and companies suspected of laundering or attempt to launder money, to belong to a criminal organization within the meaning of art. CP 260 or facilitate terrorist financing within the meaning of art. CP 260 c. individuals and companies suspected of preparing to commit or facilitate offenses which can be assumed that they are preliminary to money laundering or they are the work of an organization as defined in the letter. b. Third parties who do not meet the requirements of s. 1 can be stored in GEWA to the extent necessary to achieve the aims mentioned in art. 14.

Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

Art. 17 Encryption

During transmission, the GEWA data should be encrypted from end to end.

Art. 18 Structure

The structure of GEWA information system is modular. It consists of the following:
a. communications management (case management) b. management of other business; c. people management; d. management of financial intermediaries e. operations management; f. parameter management g. evaluation; h. Logging i. User Management.

Catalog data that can be processed in GEWA is set out in Schedule 1.

Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

Art. 19 Data security and logging


Data security is governed by the order of 14 June 1993 on the federal law on data protection and the order of 9 December 2011 on information technology in the federal administration.
The Federal Office of Police (fedpol) fixed in a regulation on data processing, organizational and technical measures to prevent the unauthorized processing of data and to provide automatic logging of data processing.


RS RS 235.11 172.010.58
Version according to ch. I of the Ordinance of 16 October 2013, in force since 1 November 2013 (RO 2013 3497).
Version according to ch. I 20 of the Ordinance of 15 October 2008 on the adjustments arising from the federal law on police information systems of the Confederation, in force since December 5 2008 (RO 2008 4943).

Art. 20Accès to GEWA

Have access to GEWA by appeal process online:
a. people working in the office b. system managers for the changes and developments of the system.

Version according to ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).

Art. 21 and 22

Repealed by Sec. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, effective Jan 1. 2016 (RO 2015 4819).

Chapter 5Données statistics, annual report and analysis

Art. 23

To exploit the information related to money laundering, predicate offenses for money laundering, organized crime and terrorist financing, the office establishes anonymised statistics:
a. Communications under Art. 2 b. of inquiries from similar foreign authorities; c. the consequences of these communications.

The statistics contain the following information:
a. for the communications referred to in s. 1 letter. a: the number, content, type and origin, suspected cases, frequency, type of offense and the manner in which the office processes this information; b. for requests for information pursuant to s. 1 letter. b: the number and date of receipt of requests, the country of origin and the number of people subject to an application; c. for the follow up to communications within the meaning of s. 1 letter. c: the number and the judicial outcome of denunciations forwarded to the prosecuting authorities.

The office publishes an annual report and analysis reports on the fight against money laundering, predicate offenses for money laundering, organized crime and terrorist financing.

Chapter 6 Protection and Archiving

Art. 24 Control

Personal data is transmitted on request to the Confederation of surveillance authorities and the cantons, and the Federal Commissioner for Data Protection and transparency to the exercise of their supervisory functions.

The designation of the administrative unit was modified in application of Art. 16 para. 3 of the Ordinance of November 17, 2004 on official publications (RS 170.512.1).

Art. 25 Data communication

At any GEWA data communication, recipients should be informed of the reliability and timeliness of data. They can use them in the purpose for which it was communicated to them. They must be warned of the data use restrictions and the fact that the office reserves the right to demand information on the use that is made.
In case of exchange of information with domestic or foreign authorities, the office said in a statement to always identical wording, the information exchanged may only be used for information and use and transmission other authorities are subordinate to his written agreement.

Art. 26 Restrictions on data communication

When GEWA data communication, bans on the use must be respected. If the office is considering providing to the state of origin or provenance of data on an asylum seeker, a recognized refugee or protected person resident in Switzerland, the conditions mentioned in art. 2 of Ordinance 3 of 11 August 1999 on asylum apply. The office can communicate to the state of origin or provenance of data about people provisionally admitted under the conditions set out in s. 6 of the Federal Law of 19 June 1992 on the protection of data and after consulting the Federal Migration Office.

It refuses to GEWA data if overriding interests, public or private, are opposed.
RS 142 314


SR 235.1 Amended in accordance with No. I of the Ordinance of 16 October 2013, in force since 1 November 2013 (RO 2013 3497).

Art. 27

Repealed by. I of the Ordinance of 16 October 2013, with effect from 1 November 2013 (RO 2013 3497).

Art. 28 Retention period and deletion of data

GEWA data is stored for more than ten years after their registration by the office. The records are deleted separately.
If a person is mentioned in many records, the office only deletes those entrusted. The person-related data are erased at the same time as the last its registration.

Art. 29 Presentation of data and documents in the Federal Archives

The delivery of data and office documents to the Federal Archives is governed by the Federal Law of 26 June 1998 on archiving and its ordinances.


RS RS 152.1 152.11 / .21


Chapter 7 Final Provisions
Art. 30 Repeal of current law

The order of 16 March 1998 on the Reporting Office for Money Laundering is repealed.

[RO 1998 905, 2000 1369 art. 30 c. 2, 2002 96 s. 30,111 art. 19 c. 2 4362 2003 3687 Annex c. II 6]

Art. 31Entrée effective

This order comes into effect on 1 October 2004.

Version according to ch. I 20 of the Ordinance of 15 October 2008 on the adjustments arising from the federal law on police information systems of the Confederation, in force since December 5 2008 (RO 2008 4943).

Annex 1

(Art. 18, para. 2)


Data Catalogue
A. Communications management (case management)

Subcategory "financial intermediary"
1. Reference number
Subcategory "database"
1. Communication number (sequential system number) 2. Date of communication3. Date of saisie4. communication5 gender. Token envoi6. Canton7. State8. Category.9. soupçon10 pattern. Date of état11. Date Decision12. State fait13. Justification14. Mesures15. MROS16 decision. Main / secondaire17 folder. prior offense (in Switzerland or abroad) 18. prior offense - Country Commission19. Request a CRF (Yes / No) 20. Clés21 words. PPE (yes / no)

Subcategory "Management of totals"
1. Amount2. Devise3. account4 number. Type bien5. Remarques6. total amounts suisses7 francs. Confiscated amounts in Swiss francs

Subcategory "persons report in case"
1. Role2. Tasks (indication of the sources of information) 3. Date4.
remarks
Subcategory "competent law enforcement authority"
1. Abbreviation (Zcode) 2. Canton3. Désignation4. Adresse5. postcode and lieu6. Correspondence language

Subcategory "decision of the prosecuting authorities'
1. Date2. Type decision3. Remarques4. Reason for non-lieu5. référence6 number. Article of law

B. Management of other business

1. Case number (sequential system number) 2. Date réception3. Date saisie4. Catégorie4.1 Négociants4.2 Bodies révision4.3 Other information5. Countries6. Canton7. Référence8. Remarques9. bank accounts

C. People management

Main Subcategory "people management" on individuals
1. person number (sequential system number) 2. Name3. Prénom4. Date birth.5. Sexe6. Instead of origine7. Nationality8. Profession9. Adresse10. postcode and place in Switzerland11. postcode and place in abroad.12. Etat13. Téléphone14. Télécopie15. Électronique16 mail.
remarks
Secondary Subcategory "people management" on the false identities of individuals
1. Name2. Prénom3. Birthday

Subcategory "people management" on corporations
1. person number (sequential system number) 2. Name3. Branche4. Adresse5. postcode and place in Switzerland6. postcode and place in abroad.7. State8. Téléphone9. Télécopie10. Électronique11 mail.
remarks
Subcategory "people management" on the links between people
1. Role2.
remarks
D. Interim management

1. intermediate number (sequential system number) 2. Business3. Category4. correspondance5 language. licence6 number. Rue7. postcode and lieu8. Canton9. Interlocuteur10. Téléphone11. Télécopie12. Électronique13 mail.
remarks
E. Operations Management

1. Name2.
remarks
F.
accounts
1. Type2. compte3 number. Date4.
details

Appendix 2

Update in accordance with No. II of the Ordinance of 16 October 2013 (RO 2013 3497) and Ch. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, in force since Jan 1. 2016 (RO 2015 4819).
Repealed by Sec. II 3 of Schedule 2 to the Ordinance of 11 November 2015 on money laundering, effective Jan 1. 2016 (RO 2015 4819).

State 1 January 2016

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