C A C U A TO R S
{Law has lost validity on the basis of the Law
N 1702-VII 1702-18 ) From 14.10.2014, VR
2014, N 50-51, pp. 2057}
About Prevention
and counteract to legalization (remitting)
Income received by criminal record
or financing of terrorism
(Information of the Verkhovna Rada of Ukraine (VR), 2003, N 1, st. 2)
{With changes under the Laws
N 345-IV ( 345-15 ) 24.12.2002, VCE, 2003, N 5, pp. 48
N 485-IV ( 485-15 ) from 06.02.2003, VCE, 2003, N 14, pp. 104
N 1726-IV ( 1726-15 ) from 18.05.2004, VCE, 2004, N 36, pp. 433
N 3163-IV ( 3163-15 ) from 01.12.2005, VR, 2006, N 12, pp. 100}
{In the edition of the Law
N 2258-VI ( 2258-17 ) 18.05.2010, OVR, 2010, N 29, pp. 392}
{With changes under the Laws
N 3205-VI ( 3205-17 ) from 07.04.2011, VR, 2011, N 41, pp. 413
N 3610-VI ( 3610-17 ) from 07.07.2011, VR, 2012, N 7, pp. 53
N 4025-VI ( 4025-17 ) 15.11.2011, OVR, 2012, N 25, pp. 263
N 4652-VI ( 4652-17 ) by 13.04.2012, VR, 2013, N 21, pp. 208
N 5083-VI ( 5083-17 ) of 05.07.2012, VR, 2013, N 33, pp. 435
N 5463-VI ( 5463-17 ) 16.10.2012, VCE, 2014, N 4, pp. 61
N 5492-VI ( 5492-17 ) from 20.11.2012, VR, 2013, N 51, pp. 716
N 245-VII ( 245-18 ) from 16.05.2013, VR, 2014, N 12, pp. 178
N 406-VII ( 406-18 ) from 04.07.2013, VR, 2014, N 20-21, pp. 712
N 1701-VII ( 1701-18 ) from 14.10.2014, VCE, 2014, N 46, pp. 2048}

{In the text of the Law, the word "passport" is replaced by the words " passports
of the citizen of Ukraine ", and the words" series and number "and" series and
Number "is the word" number " according to Law N 5492-VI.
( 5492-17 ) 20.11.2012}

This Act is aimed at protecting rights and legitimate interests
citizens, societies and states by definition of legal
Mechanism for the opposition to the legalization (failure) of the income generated by the
crime, or financing of terrorism and enforcing
Formation of a nationwide multi-point think tank
Information provided by the law enforcement agencies of Ukraine and
foreign states to identify, test and investigate crimes,
related to money management and other illegal financial services
Operations.
Section I
GENERAL PROVISIONS
Article 1. Term Definition
1. In this Act, the terms below are used in this regard
value:
(1) The proceeds taken by the criminal are any economic
To the end of the public,
that predates the legalization of income that may consist of
material property or property expressed in the rights as well as
include moving or fixed property and documents that confirm
The right to such property or a stake in it;
(2) a public dangerous act preceding the legalization
(...) (...) (...)
Penal Code of Ukraine 2341-14 ) provided for basic
Punishment of imprisonment or penalties for more than three thousand
The non-tax income minimum income of citizens (except for the children,
Articles 212 and 212-1 of the Criminal Code of Ukraine)
( 2341-14 ), or act committed outside Ukraine, if it is
recognized by the public dangerous opposition
preceded by the legalization of income, by criminal
the law of the state where it was committed, and is a crime
Penal Code of Ukraine 2341-14 ), as a result of the study
Which is unlawfully received; {Paragraph 2 of the first Article 1 in the edition of Law N 4025-VI
( 4025-17 ) of 15.11.2011}
(3) Financing of terrorism-granting or gathering assets
any kind with the realization that they will be used
fully or partly for the organization, preparation and study
a separate terrorist or terrorist organization of a defined
Penal Code of Ukraine 2341-14 ) terrorist act,
dragging in the act of a terrorist act, public calls to
committing a terrorist act, creating a terrorist group or
terrorist organization, facilitating the study of a terrorist act,
any other terrorist activity, as well as attempts
Implementation of such actions;
4) a financial transaction-any assets about assets committed
by subject of primary financial monitoring;
5) financial monitoring-a collection of measures that
undertaken by the financial monitoring entities in the
Preventing and countering legalization of income,
of the criminal offence, or the financing of terrorism,
include public financial monitoring and
Primary financial monitoring;
(6) Financial monitoring-action with assets related to
with the relevant participants of the financial transactions that are being held,
for the provision of risk of using these assets with the purpose of
legality (laundering) of income generated by criminal record, or
financing of terrorism, as well as any information about such actions
whether events, assets and their participants;
7) state financial monitoring-a collection of measures that
are carried out by the subjects of public financial monitoring,
on the implementation of the requirements of the prevention of
And countermeasures to legalize the income generated by the criminal
By way, or financing terrorism:
State financial monitoring of Specially Authorized
organ-a collection of measures to collect, process and analyze
the specified body of information on the financial transactions filed
entities of primary and public financial monitoring and
other public bodies relevant to foreign authorities
States as well as measures to verify such information according to
Legislation of Ukraine;
public financial monitoring of other subjects of state
Financial monitoring-the collection of
entities defined by the paragraph of the other part of the third article 5
in this Act, which are aimed at fulfilling the requirements of legislation in the field
Preventing and countering legalization of income,
Criminal, or financing of terrorism;
8) primary financial monitoring is a collection of measures that
are subject to primary financial monitoring,
directed to comply with the requirements of this Act, which include
Enforcement of compulsory and domestic financial monitoring;
9) mandatory financial monitoring-a collection of measures,
which are carried out by the subjects of primary financial monitoring, with
detecting financial transactions subject to mandatory
financial monitoring according to Article 15 of this Act,
identification of participants of such operations and the study of their activities,
Taking account of these transactions and information on their participants,
Obligatory reporting of them by the Special Commissioner,
as well as presenting additional information on financial transactions and their
participants who have become the subject of financial monitoring by
Specially authorized body;
(10) Internal financial monitoring-a collection of measures,
which are carried out by the subjects of primary financial monitoring, with
detecting financial transactions subject to internal
financial monitoring according to Article 16 of this Act, with
applying the approach based on the risk assessment conducted
legality (laundering) of income generated by criminal record, or
financing of terrorism; taking account of such operations and
information about their attendees; presentation of the Special
the authorized body of operations to high degree
Risk of legalization (laundering) of criminal income
through, or financing terrorism, as well as additional information
about the financial transactions and their participants becoming an object
Financial monitoring by the Special Commissioner;
11) properly decorated with financial services
an operation subject to financial monitoring, is formalized and
by the Special Commissioner of the Authority according to the requirements of the
article 12 of this Act of the Financial Transaction, which
Is subject to financial monitoring;
12) non-submission by the subject of primary financial monitoring
information on the financial transaction subject to the financial
The monitoring, the Specially authorized body is the following:
unfiling information on financial transactions subject to the
Financial monitoring (no account in Special)
the empowered authority properly arranged and given
the subject of initial financial monitoring
Communications (information) on such financial transactions);
reversing an inappropriate message
(information) on the financial transaction subject to the financial
monitoring that is not taken to the Commissioner of the Commissioners
the organ (under the re-presentation of an inappropriate manner)
messages (information) on the financial transaction subject to
financial monitoring, to understand the consistent representation
the subject of primary financial monitoring of three unreliable
Reports of the same financial
Financial monitoring operation);
13) intentional representation of the subject of primary financial
monitoring of unclear information about the financial
operations subject to financial monitoring, Specially
the authorized authority-the intentional representation is known to the untrusted
information on financial transactions subject to the financial
Monitoring which does not comply with reality;
14) risks-danger (threat, vulnerable) to
subjects of primary financial monitoring to be used
clients when providing services according to the nature of their
for the purpose of legalization (laundering) of income
Criminal offence, or financing terrorism;
(15) Risk management-measures carried out by entities
primary financial monitoring, from definition, evaluation,
monitoring, risk control aimed at their reduction to
Acceptable level;
(16) Specially authorized body-central body
the executive branch, which implements state policy in the
Preventing and countering legalization of income,
Criminal, or financing of terrorism; {Paragraph 16 of Article 1, as amended by the Act,
N 5463-VI ( 5463-17 ) 16.10.2012}
(17) Assets, funds, property, property and non-master rights;
18) members of the financial transaction-client, counteragent, a
Persons who act on their behalf or in their interest;
19) a client-any person who appeals to the
services or using the subject of the primary financial
Monitoring

{Paragraph 20 of first Article 1
Law N 1701-VII 1701-18 ) From 14.10.2014}

{Paragraph 21 of the first Article 1 is excluded
Law N 1701-VII 1701-18 ) From 14.10.2014}

(22) the ultimate legal entity is a physical person,
which regardless of formal ownership has the ability to exercise
decisive impact on governance or economic activity
legal person directly or through other persons
is accomplished, in particular, by implementing the rights of possession or
using all assets or their significant share, right to
Decisive impact on composition formation, voting results,
as well as the act of jurisprudence as well as the ability to define
Conditions of economic activity, due to the implementation of
the instructions or perform the function of the governing body, or which
ability to exercise influence by direct or mediated
(via another physical or legal entity) possession of a single person
self-self or shared with related physical and/or legal
by persons a person of a legal entity of 25 or more per cent
Statutory capital or voting rights in the legal entity.
With this physical personality, the end-to-be-recipient
a legal entity cannot be a person who is an agent, a nominal
holding (nominal owner) or is only a mediator for
Such a law {Paragraph 22 of the first Article 1 in the edition of Law N 1701-VII
( 1701-18 ) From 14.10.2014}
23) substantial participation-direct or mediated possession
share of 10 and more per cent of the statutory capital
(fund), 10 and more percent of shares or voting rights in legal
a person, direct or mediated influence on her;
(24) A per-recipient person, in favour or in the interest of which
Financial transaction is being undertaken;
25) business relations-the relationship between client and subject
initial financial monitoring arising from
The provision of financial or other services;
26) a foreign bank branch-separated by structural
a unit of foreign bank that does not have legal status and
Failure of banking on the territory of Ukraine;
27) Generalized materials-information about financial transactions,
which were the object of financial monitoring and the results
The analysis of which the suspected body was suspicious
concerning the laundering of income received by the criminal record, or
financing of terrorism, or public dangerous act, which
Preceding the legalization of income received by criminal
by way. Generic material is a message of crime and containing
Grounds for adoption by law enforcement decisions, respectively
to the Criminal Procedure Code of Ukraine 4651-17 ), a
For law enforcement and intelligence agencies
Ukraine's operational and operational activities. Shape and structure
The generalized materials are set by the central body
the executive branch, which provides the formation of public policy in
to prevent and counteract the legalization of income,
of the criminal offence, or by the financing of terrorism, for
Agreement with law enforcement; {Paragraph 27 of the first article 1 with changes made in accordance with
Laws N 4652-VI ( 4652-17 ) from 13.04.2012, N 5463-VI
( 5463-17 ) 16.10.2012}
28) additional generalized materials-information collected on the
the basis of the analysis of additional information obtained, to the complement of
Previously, the underwritten generalized materials;
29) public figures-national public figures, foreign
public figures who perform significant functions in the international
organizations, as well as their associated individuals.
National public figures are physical individuals who are
perform public functions in Ukraine, namely: President of Ukraine,
Prime Minister of Ukraine, members of the Cabinet of Ministers of Ukraine, first
Deputy Minister, Deputy Minister, other leaders of the central
Executive Bodies and Their Deputies; Chairman and Members
Central Election Commission; People's Deputies of Ukraine; Head and
Members of the National Bank of Ukraine, members of the Council
National Bank of Ukraine; Head and Judge of the Constitutional Court
Ukraine, Head and Judge of the Supreme Court of Ukraine, Chairman and Judge
Higher specialised courts, members of the Higher Qualification Commission
Judges of Ukraine, members of the Supreme Justice Council; Attorney General
Ukraine and its deputies; Head and members of the Accounts Chamber;
Emergency and Plenipotentiary Ambassadors; Chief of General Staff-
Commander of the Armed Forces of Ukraine, Chiefs of the Land
Forces, Air Force, Naval Forces;
Security of Ukraine and its deputies; Chairman of the Antimonopoly
Committee of Ukraine and its deputies; members of the National Council
Ukraine on television and radio broadcasting; civil servants,
First and second categories of posts;
The leaders of the regional territorial bodies of the central bodies
of the executive branch and attached to them, the prosecutors of the areas and
attached to them, the leaders of regional territorial bodies
Security services of Ukraine, heads of appeal courts; leaders
the administrative, administrative or supervisory bodies of the state and
Enterprises, Household Societies, Public Share in
Statutory capital of which is greater than 50 per cent; executives
Statutory bodies of political parties; members of the central statutes
bodies of political parties.
Foreign public figures are physical individuals who perform.
public functions in foreign states, namely: the head of state,
The head of government, the ministers and their deputies; the deputies of the Parliament;
heads and members of the rulers of central banks; members of the supreme
court, constitutional court or other judicial bodies, decisions of which
Not subject to appeal, except under exceptional circumstances;
emergency and authorized ambassadors, believe in cases; leaders
Central military administration bodies; leaders
Administrative, administrative or supervisory bodies of the State
enterprises; officials of political parties.
Activities that perform significant functions in the international
organizations, there are officials of international organizations that
hold or have held over the last three years in them
posts, namely: directors, heads of rulers or their deputies, or
perform any other leadership functions at the highest level in
international organizations, including in international interstate
organizations, members of the International Parliamentary Assembly, Judges and
Senior officials of international courts.
Related people of national public figures, foreign
public figures, performing significant functions in the
international organization, is their family members, as well as legal entities,
End-of-year-by-year-by-day, or of whose significant participation is
Such figures or their family members. Family members understand people,
which are in marriage, their children (including full) and their children.
spouses, parents, persons who are under care and care,
other persons who share their associated common household,
have mutual rights and duties, including persons who jointly have
Living but not in marriage; {Paragraph 29 of Part 1 of Article 1 in the Drafting of Law N 1701-VII
( 1701-18 ) From 14.10.2014}
30) international sanctions are sanctions recognized by Ukraine
accordance with international treaties, or the decision of international
on the freezing of assets identified by the
International treaties;
31) a flawless business reputation is a set of confirmed
information about the person giving the opportunity to conclude the
meet its activities to the requirements of the legislation, as well as for
individuals-about proper professional, managerial abilities and
the absence of a criminal record for corrective crimes and for crimes in the
not taken or paid off in the
The law of order;
32) Separated subdivision of primary financial
monitoring-branch, other subunit of primary
financial monitoring, located outside of its location
that make financial transactions or provide them with a
including providing services on behalf of the primary financial
Monitoring
33) high risk-the outcome of the subject ' s risk assessment
initial financial monitoring based on analysis
the set of defined criteria, as evidenced by high
The probability of using a subject to leviate revenues,
Criminal, or financing of terrorism;
(34) Non-profit organizations-legal entities created for
Implementation of scientific, educational, cultural, health,
environmental, religious, charitable, social and other
activities to meet the needs and interests of citizens in the
boundaries defined by the legislation of Ukraine, with no purpose of receiving
profit.
Article 2. Scope of the Act
1. The action of this Act extends to the citizens of Ukraine,
foreigners and persons without citizenship, as well as on legal persons, their
branches, representation and other separated units that
Provide financial transactions for the territory of Ukraine
and beyond, according to the international treaties of Ukraine, the
" On the duty of which was provided by the Verkhovna Rada of Ukraine.
Article 3. Prevention and Counter-Action
Legalization of income
Criminal offence, or financing of terrorism
1. Relations arising in the field of prevention and counteraction
Legalization of the income generated by the criminal record, or
the financing of terrorism, regulated by the Act, other laws
Ukraine to regulate the activities of financial
Monitoring, as well as normative and legal instruments of the central
the executive branch, which provides the formation of a state
Prevention and Anti-legalization Policies (remitting)
Income received by criminal record, or financing of terrorism,
and other government bodies authorized to exercise regulation
activities of primary financial monitoring entities adopted by the
for the execution of this Act. {Article 3 with changes under Law N 5463-VI
( 5463-17 ) 16.10.2012}
Article 4. Activities that belong to the legalization (laundering)
Income received by criminal record
1. Prior to legalization (laundering) of criminal income
by way of any action related to the costas (property),
of the offence (acquired) due to the offence committed to
hiding sources of the origin of the funds (property) or
facilitating the person who is a complicit in the commit of a crime
the source of origin of the funds (property).
Chapter II
FINANCIAL MONITORING SYSTEM
Article 5. Financial monitoring system and entities
1. The financial monitoring system consists of two
levels-primary and public.
2. The subjects of primary financial monitoring are:
(1) banks, insurers (reinsurance), credit unions,
The Lombard and other financial institutions;
(2) Payment organizations, members of payment systems, equalins
And clinic institutions;
(3) trademarks, stock and other exchanges;
(4) The professional participants in the securities market;
(5) Company with asset management;
(6) postal communication operators, other agencies conducting the
Financial transactions with funds;
7) branches or representation of foreign entities of the host nation
Activities that provide financial services to the territory of Ukraine;
8) specially defined subjects of primary financial
monitoring:
(a) The subjects of entrepreneurship
Mediation services during operations with
Purchases of real estate;
b) the entities of the household who are trading abroad
cash of precious metals and precious stones and grown-ups
of them, if the sum of the financial transaction is equal to or exceeds the amount of
A defined part of the first Article 15 of this Act;
(b) The actors who conduct lottery and gambling
games, including casinos, electronic (virtual) casino;
(g) Notaries, lawyers, auditors, audit firms, physical
-entrepreneurs who provide services in accounting,
household entities providing legal services (except for
of persons who provide services in the framework of labour law) in the
The cases stipulated by articles 6 and 8 of this Act;
(g) Physical persons-entrepreneurs and legal persons who
conduct financial transactions with goods (perform work provided)
services) for cash, provided that the sum of such a financial transaction
equal or exceeds the amount specified by the first Article 15
of this Act, in cases stipulated by articles 6 and 8 of this
Law;
9) other legal entities that under their legal status are not
financial institutions, but provide separate financial services.
3. The subjects of public financial monitoring are:
National Bank of Ukraine, Central Executive
power, which provides the formation and implements state policy in
to prevent and counteract the legalization of income,
of the criminal offence, or by the financing of terrorism,
Ministry of Justice of Ukraine, Central Executive
that ensure the formation of public policy in the areas of
Communications and Economic Development Services, National
securities and stock market commission, national commission,
(b) Providing public regulation in the sphere of financial services markets;
{Paragraph 2 of the second part of Article 5 of the changes made by the
under the Laws N 3610-VI ( 3610-17 ) from 07.07.2011, N 5463-VI
( 5463-17 ) 16.10.2012}
A specially authorized body.
Article 6. Tasks, responsibilities and rights of the primary
Financial monitoring
1. Subject of primary financial monitoring with regard to
of legislation, regulations and regulations
the executive branch, which provides the formation of public policy in
to prevent and counteract the legalization of income,
of the criminal offence, or the financing of terrorism, and others
The subjects of public financial monitoring establishes the rules,
Develop financial monitoring programs and assigns
a worker responsible for his conduct other than specially
defined subjects of primary financial monitoring, which
Failing its activities alone, without the formation of a legal
persons referred to in paragraph 8 of Part Two
Article 5 of this Act. {Part of the first article 6 with changes made under the Act
N 5463-VI ( 5463-17 ) 16.10.2012}
2. The subject of primary financial monitoring is required:
1) be on account in the Special Commissioner as
the subject of primary financial monitoring and in case of termination
their activities to report this to the Special Commissioner of the Authority
in the designated National Bank of Ukraine for banks and the Cabinet
Ministers of Ukraine for other subjects of primary financial
Monitoring of order
2) carry out the identification and study of the client in cases,
By law;
3) provide the detection of financial transactions subject to
financial monitoring, before the beginning, during the day of occurrence
suspicion, after their conduct or when trying to conduct them or after
A client's refusal to conduct them;
4) to provide at its risk management activities
legality (laundering) of income generated by criminal record, or
Funding of terrorism and to develop risk criteria;
5) provide financial transaction registration, which
are subject to financial monitoring, not later the next working
the day from the date of its detection;
(6) Report by the Special Commissioner for:
(a) Financial transactions subject to mandatory
financial monitoring,-for three working days from the day of their
Registration or attempting to conduct them;
b) financial transactions subject to the domestic financial
monitoring if there is sufficient reason to suspect that they
related to legalization (rejection) of income recipients
crime, the day of suspicion, but not later than
through ten working days from the registration day of such operations or
Attempts to conduct them;
(c) discovered financial transactions which are sufficient
reason to suspect that they are related, relating or intended
to fund terrorism,-on the day of their detection or trying to
and to inform the law by the law
Law enforcement;
7) in case of receipt from the Special Commissioner
message is invalid (invalid) field fill in
reporting on the financial transaction subject to the financial
monitoring, apply for three working days to Specially
the empowered authority properly decorated with the information
Financial transaction;
(8) to promote within the current legislation of staff
Specially authorized body in the analysis of financial
operations;
9) to request a Specially Authorized Body
additional information regarding financial transactions that have become
the object of financial monitoring, copies of primary documents, on
of which such operations were carried out and associated with them
financial transactions, information about their participants, and another
information, including what is a banking or commercial
secret, secret insurance, copies of documents required for
Executed on the Special Commissioners of the Task Body,
for five working days from the date of receipt of the request;
(10) to request a Special Commissioner for
information (including copies of documents) required for
by enforcing it that came from the authorized body
foreign state, in particular the one that is a banking or
commercial mystery, for five working days from date
Return request
11) to request a Special Commissioner for
information about tracking (monitoring) of financial transactions
the client whose operations have become the target of financial monitoring.
Order of such information z0601-12 ) set by
the central body of the executive power, which provides the formation
in the field of preventing and countering legalization
(refunds) income generated by criminal record, or financing
terrorism, according to the agreement with the relevant subjects of the State
Financial monitoring; {Item 11 of the second article 6 with the changes in
Act N 5463-VI 5463-17 ) 16.10.2012}
12) in the event of an impossibility to enforce the lines,
established paragraphs 9, 10 of the second of this article, with
Objective reasons, subject to the amount of information
is requested (the form of her submission is an electronic or written,
copying or scanning, receiving information from archives, etc.)
to agree with the Special Commissioner for the working day
on the day of receiving the request, but not later the next working day
The term of submission of requested information. Weather Order
( z0916-10 ) is established by the central body of the executive,
what provides the formation of public policy in the sphere of prevention and
The opposition to the legalization of the criminal case
by way, or financing terrorism, by agreeing with the relevant
Public financial monitoring entities; {Paragraph 12 of the second article 6 with changes made in accordance
Act N 5463-VI 5463-17 ) 16.10.2012}
13) to request the relevant subject of the State
financial monitoring required to test the facts
violation of the requirements of the prevention and counteract legislation
Legalization of the income generated by the criminal record, or
Financing of terrorism;
(14) to take measures to prevent the dissolving (in particular)
(a)-(b) (c) (c)
information served by the Special Commissioner, and
other information on financial monitoring matters (including
on the fact of submission of such information or receiving a request from
Specially authorized body);
15) keep documents regarding the identification of persons held
financial transaction that under this Act is subject to a financial
monitoring, as well as all documents relating to business relations
with the client, at least five years after the end of the business
relationships, and all the necessary information about the operation-at least five years
after completion of the transaction (with the document storage string)
may be extended by the relevant subject of state
Financial monitoring in the order established by the legislation);
16) provide a documentary requesting an unhindered
Access to public financial monitoring entities and
law enforcement to documents or information contained in
They are in accordance with the requirements of the law;
17) on behalf of the Specially Authorized Body provided with
the purpose of enforcing the authorized body of a foreign state about
stopping the appropriate financial transaction as such that can be
associated with the legalization of income (s)
criminal path, or financing of terrorism, stop holding
or provide a monitoring of the relevant person ' s financial transaction in
Order z1694-12 ), established by the central executive
power, which ensures the formation of public policy in the sphere of
Preventing and countering the legalization of income
criminal path, or financing of terrorism, by the consent of
Relevant subjects of public financial monitoring; {Paragraph 17 of the second article 6 with changes made in accordance
Act N 5463-VI 5463-17 ) 16.10.2012}
18) provide development and continual updating of rules,
financial monitoring programmes with regard to the requirements
Legislation
19) annually conduct internal checks of its activities on
to enforce legislation in the area of prevention and counteraction
Legalization of the income generated by the criminal record, or
Financing of terrorism;
(20) To increase the qualification of workers,
responsible for holding financial monitoring, by
The passage of study is not less than once every three years;
21) take on a permanent basis of training
staff to identify financial transactions subject to the
financial monitoring according to this Act, by
Conduct educational and practical work;
22) detect financial transactions subject to compulsory public
Financial monitoring in accordance with Article 15 of this Act;
23) conduct financial operations analysis aimed at
the detection of those subject to internal financial monitoring
Under Article 16 of this Act;
24) discover the purpose and nature of future business relations with
Clients;
25) permanently update according to the legislation and
internal procedures for the content of the customer's activity and
His financial status;
26) to conduct analysis of conformity of financial transactions that
A customer is held, available information about the contents of its activity
And financial status;
27) take appropriate measures to limit the risk of abuse,
related services provided with the use of the latest
technologies, including providing operations without
Direct contact with the client.
3. Primary financial monitoring sub-item is required
self-classifying their clients with regard to
risk criteria ( z0909-10 ) designated by the central authority
the executive branch, which provides the formation of public policy in
to prevent and counteract the legalization of income,
of the criminal offence, or by the financing of terrorism, and
organs that carry out the regulation and the care of their activities,
during the course of financial transactions that may be
related to legalization (rejection) of income recipients
a criminal path, or financing of terrorism, and to use
Reservations about clients whose activity is evidenced
Increased risk of carrying out such operations. {Part of the third article 6 with the changes in the Act
N 5463-VI ( 5463-17 ) 16.10.2012}
4. The primary financial monitoring mission is required
Take the following measures:
(1) concerning foreign financial institutions with which
correspondent relationships in the order defined by the appropriate
the subject of state financial monitoring, indicated in paragraph
the second part of the third article 5 of this Act: {Paragraph 1 of the fourth article 6 has been amended
with Law N 5463-VI ( 5463-17 ) 16.10.2012}
(a) To provide information about the contents of the activity
financial institution and its financial condition, reputation as well as
whether this institution is the object of effect of exposure to
the body to exercise and supervise its activities in the
to prevent and counteract the legalization of income,
Criminal, or financing of terrorism;
b) establish which measures are used by the institution for
Preventing and countering legalization of income,
Criminal, or financing of terrorism;
(c) to find out on the basis of the receiving information
and the effectiveness of measures that exercise a foreign institution on
combating the legalization of (failure) of the income generated by the criminal
By way, or financing terrorism;
(g) Open correspondence accounts to foreign financial
Institutions and foreign financial institutions with the permission of the supervisor;
2) regarding public figures, the fact of belonging to which the client
or the person acting on his name, the subject discovers according to
internal procedures during the establishment of business relations with
client and in the process of serving it: {Abzac first item 2
part of the fourth Article 6 in the edition of Act N 1701-VII
( 1701-18 ) From 14.10.2014}
(a) To establish with the permission of the principal of the primary
Financial monitoring of relations with public figures; Paragraph 2 of Article 6, paragraph 2, with changes
In accordance with the Act N 1701-VII ( 1701-18 ) From
14.10.2014}
(b) Take measures to find out sources of origin of funds
Such persons;
(c) To carry out the recommendations of the subject
State financial monitoring of operations, participants
or the annual recipients of which are public figures, in order,
A specific high risk customer; {Option "in" paragraph 2 of the fourth article 6, as amended,
In accordance with the Act N 1701-VII ( 1701-18 ) From
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3) concerning charitable and non-profit organizations
measures to limit the risk of their use for legalization
(laundering) income received by criminal record, or financing
terrorism on the basis of the recommendation of the relevant subject
State financial monitoring.
5. Take measures to be foreseen by legislation
preventing the legalization of income generated by criminal
by way, or financing terrorism, is provided directly
subject of primary financial monitoring, its affiliates, others
separated by divisions and subsidiaries, including
held in states that have the recommendation of the Group of
developing financial measures to combat money laundering (FATF)
do not apply or apply insufficient, within,
defined by the legislation of such a state. In case of application
the specified measures are not allowed by the legislation of such a state,
Primary financial monitoring entities are required to report
Specially authorized body and relevant subject
financial monitoring of the inability to survive
Action.
At the same time, the subject of primary financial monitoring is used
Relevant precautions aimed at: strengthening
identification of clients prior to establishing business relationships with individuals
or companies of these countries; systematic reporting on financial
transactions with clients of the respective countries; the warning of representatives
The non-financial sector is that operations with physical or physical
Legal entities in relevant countries may contain risks
Money laundering, taken by criminal, or financing
terrorism.
6. Regulations 4, 11, 12 of the second of this article not
are distributed on specially defined subjects of primary
Financial monitoring.
Paragraph 6 and paragraph 22 of the second paragraph
this article does not apply to specially defined entities.
initial financial monitoring other than the entities listed in
sub-item "in" paragraph 8 of the second article 5 of this Act.
Positions 18, 19, 20, 21, 24, 25, 26, 27
the second and parts of the third-fifth of this article are not distributed to
Specially designated entities of the primary financial
monitoring indicated in paragraph 8 of Part Two
Article 5 of this Act.
7. Subject of primary financial monitoring for the purpose of
the execution of this Act is entitled
Ask the Executive Committee,
bodies, National Bank of Ukraine, legal entities that are in
The order shall be informed by the law
to review such a request.
8. Guidelines and staff members of the primary financial
monitoring, responsible for holding financial monitoring,
in case of violation of the requirements of this Act,
with the law.
Requirements for verifying financial institutions of flawless
a business reputation and compliance with professional criteria
the candidates on this part of the article are set up
The relevant subjects of public financial monitoring.
9. Responsibility for the organization of compliance
Prevention and Anti-legalization Legislation
(refunds) income generated by criminal record, or financing
terrorism is carrying the subject of the subject of the primary financial
monitoring.
In case of implementation of the liquidation procedure of the primary
financial monitoring, including recognition of its bankrupt, or
assigning a temporary administration responsibility
points 9, 10 of the second Article 6 of this Act
Members of the liquidation commission, liquidator or temporary
The administrator.
Article 7. Legal status of the employee of the primary entity
financial monitoring responsible for the
Financial monitoring
1. The party responsible for holding the financial
monitoring (further-responsible worker) is appointed for
The office of the subject ' s leadership level for the primary financial
monitoring.
Appointment and release of a responsible bank employee
(affiliates of foreign bank) are carried out in pursuit of
National Bank of Ukraine.
2. To the authority of the responsible employee of the subject
The primary financial monitoring is:
1) decision of the decision on the Special
the authorized body on financial transactions related to the
motivated suspicions that they are associated with legalization (failure)
income obtained by criminal record, or if they are connected,
deal with or are intended to fund terrorism;
2) taking a decision on the informing of law enforcement,
defined by legislation, about the financial transactions regarding which
Suspicions that they are related, relevant to or intended for
Financing of terrorism
3) implement inspections of any unit
subject of primary financial monitoring and its workers
to comply with the rules of internal financial monitoring
And the execution of financial monitoring programmes;
4) the right to access all premises, documents, tools
Telecommunications subject to primary financial monitoring;
(5) Engagement of any member of the primary
Financial Monitoring for the Prevention of
Legalization of the income generated by the criminal record, or
Financing of terrorism and inspections on these issues;
(6) Organization of development and approval; and
Introduction and implementation of the rules of the internal financial
Monitoring and monitoring of financial monitoring;
7) to obtain explanations from the subject ' s staff of the primary
financial monitoring regardless of loan posts
Financial monitoring;
(8) Assistance by authorized representatives
Relevant public financial monitoring bodies
the subject of primary financial monitoring of the
Compliance with the legislation in preventing legalization
(refunds) income generated by criminal record, or financing
terrorism;
9) decision to provide information on the issues
Financial monitoring of Specially Authorized Body
and relevant law enforcement;
(10) fulfilling other tasks in accordance with the law.