of September 30, 2020 No. 938
About approval of Rules of representation by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring and signs of determination of suspicious transaction
According to Item 2 of article 10 of the Law of the Republic of Kazakhstan of August 28, 2009 "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" PRIKAZYVAYU:
1. Approve enclosed:
1) Rules of representation by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring according to appendix 1 to this order;
2) Signs of determination of suspicious transaction according to appendix 2 to this order.
2. To provide to committee on financial monitoring of the Ministry of Finance of the Republic of Kazakhstan in the procedure established by the legislation of the Republic of Kazakhstan
1) state registration of this order in the Ministry of Justice of the Republic of Kazakhstan;
2) placement of this order on Internet resource of the Ministry of Finance of the Republic of Kazakhstan;
3) within ten working days after state registration of this order submission to Department of legal service of the Ministry of Finance of the Republic of Kazakhstan of data on execution of the actions provided by subitems 1) and 2) of this Item.
3. This order becomes effective since November 15, 2020 and is subject to official publication.
Minister of Finance of the Republic of Kazakhstan
E.Zhamaubayev
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"Is approved" Agency of the Republic of Kazakhstan on regulation and development of the financial market |
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"Is approved" Ministry for Culture and Sports of the Republic of Kazakhstan |
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"Is approved" National Bank of the Republic of Kazakhstan |
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"Is approved" Ministry of national economy of the Republic of Kazakhstan |
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"Is approved" Ministry of Trade and integration of the Republic of Kazakhstan |
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"Is approved" Ministry of digital development, innovations and aerospace industry of the Republic of Kazakhstan |
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Appendix 1
to the Order of the Minister of Finance of the Republic of Kazakhstan of September 30, 2020 No. 938
1. These rules of representation by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring (further - Rules) are developed according to Item 2 of article 10 of the Law of the Republic of Kazakhstan of August 28, 2009 "About counteraction of legalization (washing) of the income received in the criminal way and to terrorism financing" (further - the Law) and establish single procedure for submission by subjects of financial monitoring to authorized body on financial monitoring (further - authorized body) the data and information on the transactions which are subject to financial monitoring.
2. On the transactions which are subject to financial monitoring, subjects of financial monitoring documentary fix and provide in authorized body of the data and information on the transaction which is subject to financial monitoring in form of data and information on the transaction which is subject to financial monitoring according to appendix 1 to these rules (further - information).
3. Information provided by subjects of financial monitoring goes to authorized body by electronic method in the XML format in form of the XML Format of information provided by electronic method subjects of financial monitoring according to appendix 2 to these rules by means of networks of telecommunications of the republican state company on the right of economic maintaining "The Kazakhstan center of interbank calculations of National Bank of the Republic of Kazakhstan" or the web portal of authorized body.
4. In case of representation by the subject of financial monitoring of information by method, not stipulated in Item 3 these rules, the authorized body returns this information without consideration.
5. In case of violation of the terms specified in Item 2 of Article 10 and Item 2 of article 13 of the Law on origin of technical mistakes in the software or communication channels confirmed with authorized body, these data and information on the transactions which are subject to financial monitoring are considered directed at the scheduled time if such information is directed no later than one working day after elimination of technical mistakes.
6. The authorized body does not accept in processing information in case of representation by subjects of financial monitoring of information other than the established form of data and information on the transaction which is subject to financial monitoring and which is not certified by the digital signature of the subject of financial monitoring.
7. The authorized body within 4 (four) hours from the moment of receipt of information from subjects of financial monitoring directs by electronic method the notice on acceptance/rejection of information (further - the notice) in form of the notice on acceptance or rejection of form of data and information on the transaction which is subject to financial monitoring of FM-1, established by appendix 3 to these rules.
8. The subject of financial monitoring, in case of receipt of the notice on rejection of information, within 24 (twenty four) hours (except for days off and holidays) takes measures for elimination of the causes of failure in adoption of information specified in the notice and sends corrected information to authorized body.
9. The subject of financial monitoring, in case of need modification and (or) amendments of information which is earlier provided and accepted by authorized body, no later than 1 (one) working day from the date of detection of information which is subject to replacement sends information of in exchange earlier provided to authorized body.
10. When filling information help data according to appendices 4, of 5, 6 and 7 to these rules are used.
11. When carrying out information analysis the authorized body sends to the subject of financial monitoring by electronic method inquiry for provision of necessary information, data and documents by request form for provision of necessary information, data and documents according to appendix 8 to these rules.
12. In case of receipt of request for provision of necessary information, data and documents from authorized body subjects of financial monitoring send the notice to authorized body in form of the notice on acceptance of request for provision of necessary information, data and documents according to appendix 9 to these rules.
13. Required information, data and documents go subjects of financial monitoring to authorized body by electronic method in terms, stipulated in Item 3-1 article 10 of the Law, in form of reply to the request to provision of necessary information, data and documents according to appendix 10 to these rules according to procedure, certain Item 3 of these rules.
14. In cases when processing of request requires extra time the subject of financial monitoring sends to authorized body the appeal about prolongation of the term specified in part three of Item 3-1 of article 10 of the Law, no more than for 10 (ten) working days in address form of prolongation of term on demand provision of necessary information, data and documents according to appendix of 11 these rules by means of networks of telecommunications of the republican state company on the right of economic maintaining "The Kazakhstan center of interbank calculations of National Bank of the Republic of Kazakhstan" or the web portal of authorized body.
15. In cases when processing of the request connected with the analysis of suspicious transaction requires receipt of data and information from the operator of money transfer system according to Item 3-2 of article 10 of the Law, the subject of financial monitoring sends in authorized the appeal about prolongation of term of the request specified in part four of Item 3-1 of article 10 of the Law, no more than for 2 (two) working days on request form provision of necessary information, data and documents according to appendix 8 to these rules.
to Rules of representation by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring
Form
Form of data and information on the transaction which is subject to financial monitoring
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Detail No. |
Name |
Content |
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1 |
2 |
3 |
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1 |
Data on form of data and information on the transaction which is subject to financial monitoring (further - the FM-1) form | |
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1.1 |
Number of the FM-1 form * |
1. Number: 2. Communication with other FM-1 form (in the presence): 2.1. Number of the connected FM-1 form: 2.2. Date of the connected FM-1 form: |
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1.2 |
Date of the FM-1 form * |
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1.3 |
Document type (necessary to choose) * |
1. New message 2. Adjustment of the unaccepted message (with indication of number of the adjusted message) 3. Request of replacement of the message (with indication of number of the message) |
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1.4 |
Transaction condition (necessary to choose) |
1. It is made (transaction completion time) 2. It is not made – refusal in carrying out 3. It is not made – for decision making |
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1.5 |
The basis for submission of the message (necessary to choose) * |
1. It is equal or exceeds the threshold amount 2. Suspicious transaction 3. The field is not active 4. Coincidence to the list of the organizations and faces tied with financing of terrorism and extremism: 4.1 Suspension of account transactions according to bank accounts 4.2 Suspension of execution of instructions for payments and the translations without use of the bank account 4.3 Blocking of securities 4.4 Refusal in carrying out other transactions 4.5 Refusal in carrying out transaction on implementation of insurance payment, on return of insurance premium or its part in case of early termination of the insurance contract and remuneration in case of early termination the insurer of the service provision agreement of broker activities 5. The field is not active 6. The field is not active 7. The field is not active 8. The transactions for obligatory studying recognized as suspicious subjects of financial monitoring with fixation of results of such studying 9. The transactions having the characteristics corresponding to tipologiya, schemes and methods of financing of terrorism 10. The transactions having the characteristics corresponding to tipologiya, schemes and methods of legalization (washing) of the criminal income 11. Coincidence to the list of the organizations and faces tied with financing of distribution of weapons of mass destruction: 11.1 Suspension of account transactions according to bank accounts 11.2 Suspension of execution of instructions for payments and the translations without use of the bank account 11.3 Blocking of securities 11.4 Refusal in carrying out other transactions 11.5 Refusal in carrying out transaction on implementation of insurance payment, on return of insurance premium or its part in case of early termination of the insurance contract and remuneration in case of early termination the insurer of the service provision agreement of broker activities 11.6 The direction on suspension of the transactions specified in Item 6 of article 12-1 of the Law of the Republic of Kazakhstan of August 28, 2009 "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (further - the Law) 12. Refusal in establishment of business relations: 12.1 In case of impossibility of taking measures, provided by subitems 1), 2), 2-1) and 4) of Item 3 of article 5 of the Law 12.2 In case of availability of suspicions that business relations are used by the client for the purpose of legalization (washing) of income gained in the criminal way 12.3 In case of availability of suspicions that business relations are used by the client for the purpose of terrorism financing 13. Refusal in carrying out transaction: 13.1 In case of impossibility of taking measures, provided by subitems 1), 2), 2-1), 4) and 6) Item 3 of article 5 of the Law 13.2 In case of availability of suspicions that business relations are used by the client for the purpose of legalization (washing) of income gained in the criminal way 13.3 In case of availability of suspicions that business relations are used by the client for the purpose of terrorism financing 14. Termination of business relations: 14.1 In case of availability of suspicions that business relations are used by the client for the purpose of legalization (washing) of income gained in the criminal way 14.2 In case of availability of suspicions that business relations are used by the client for the purpose of terrorism financing |
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2. The information about the subject of financial monitoring who directed the FM-1 form | ||
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2.1 |
Code of the subject of financial monitoring * |
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2.2 |
Subject of financial monitoring * |
1.1. Organizational form: 1.2. Name: 1.2.1. Surname: 1.2.2. Name: 1.2.3. Middle name (in the presence): |
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2.3 |
The detail is not active |
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2.4 |
Individual identification number / business and identification number (further - IIN/BIN) * |
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2.5 |
Location address |
1. Area (including cities of republican value and capital): 2. Area: 3. Settlement (city/settlement/village), except for cities of republican value and capital: 4. Name of the street/prospectus/residential district: 5. House number: 6. Number of apartment/office (in the presence): 7. Postal index: |
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2.6 |
The identity document (for physical persons) * |
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2.6.1 |
Number and series of the identity document (for physical persons) * |
1. Number: 2. Series (in the presence): |
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2.6.2 |
Who issues the identity document (for physical persons) * |
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2.6.3 |
When the identity document (for physical persons) * is issued |
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2.7 |
Ranking officer |
1. Surname: 2. Name: 3. Middle name (in the presence): |
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2.7.1 |
Position of the ranking officer |
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2.8 |
Contact telephone numbers * |
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2.9 |
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3 |
Information on the transaction which is subject to financial monitoring | |
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3.1 |
Transaction number * |
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3.2 |
Transaction type code * |
1. Code: 2. Information on the property which is subject to state registration: 2.1. Property type: 2.2. Registration number of property: |
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3.3 |
Code of purpose of payment * |
1. Code of purpose of payment: 2. It is impossible to establish |
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3.4 |
Number of participants of transaction * |
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3.5 |
Transaction currency code * |
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3.6 |
Transaction amount in currency of its carrying out * |
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3.7 |
Transaction amount in tenge * |
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3.8 |
Transaction making basis * |
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3.9 |
Date and document number based on which transaction is performed |
1. Date: 2. Document number: |
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3.10 |
Code of sign of suspiciousness of transaction |
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3.11 |
1st additional code of sign of suspiciousness of transaction (in the presence) |
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3.12 |
2nd additional code of sign of suspiciousness of transaction (in the presence) |
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3.13 |
The description of the arisen difficulties of qualification of transaction as suspicious |
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3.14 |
The additional information on transaction |
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4 |
Information about participants of the transaction which is subject to financial monitoring | |
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4.1 |
The participant (necessary to choose) * |
1. The payer on transaction 2. The receiver on transaction 3. Payer's representative 4. Receiver's representative 5. Person for and on behalf of 6. Beneficiary |
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4.2 |
The client of the subject of financial monitoring (necessary to choose) * |
1. Is not 2. Is |
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4.3 |
Type of the participant * |
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4.4 |
Residence * |
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4.5 |
Type of the participant of transaction (necessary to choose) * |
1. Legal entity 2. Physical person 3. Individual entrepreneur |
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4.6 |
Foreign public official (necessary to choose) |
1. Is not 2. Is 3. Affiliirovanny with foreign public official |
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The document ceased to be valid since March 12, 2022 according to the Order of the Chairman of the Agency of the Republic of Kazakhstan on financial monitoring of February 22, 2022 No. 13