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It is registered

Ministry of Justice of Ukraine

August 6, 2021

No. 1035/36657

ORDER OF THE MINISTRY OF FINANCE OF UKRAINE

of June 4, 2021 No. 322

About approval of procedure for exchange of information concerning financial monitoring

(as amended on 07-06-2022)

According to parts one and the fourteenth article 16 of the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction", to the Regulations on the Ministry of Finance of Ukraine approved by the resolution of the Cabinet of Ministers of Ukraine of August 20, 2014 No. 375, to Regulations on Public service of financial monitoring of Ukraine, approved by the resolution of the Cabinet of Ministers of Ukraine of July 29, 2015 No. 537, and to the Procedure for submission of information for registration (removal from accounting / recovery on accounting) subjects of primary financial monitoring, registration and representation by subjects of primary financial monitoring to Public service of financial monitoring of information on the financial transactions which are subject to financial monitoring, other information which can be connected with legalization (washing) of the income received in the criminal way, financing of terrorism and financing of distribution of weapons of mass destruction, to No. approved by the resolution of the Cabinet of Ministers of Ukraine of September 09, 2020 850, for the purpose of determination of formats, structures, details of notifications, requirements, reference books for their filling and visual form of notifications, procedure for information interaction of subjects of primary financial monitoring and Public service of financial monitoring of Ukraine, and also procedure for creation of private office and access to e-office of system of financial monitoring of PRIKAZYVAYU:

1. Approve enclosed:

Procedure for creation of private office of the subject of primary financial monitoring and access to e-office of system of financial monitoring;

Procedure for information interaction of subjects of primary financial monitoring and Public service of financial monitoring of Ukraine.

2. Recognize invalid orders of the Ministry of Finance of Ukraine:

of June 8, 2015 No. 542 "About approval of the Procedure for forming of the accounting identifier and provision of the certificate of the accounting identifier and forms of such reference", registered in the Ministry of Justice of Ukraine on June 24, 2015 for No. 749/27194 (with changes);

of November 24, 2015 No. 1085 "About approval of the Procedure for electronic interaction of subjects of primary financial monitoring and Public service of financial monitoring of Ukraine", registered in the Ministry of Justice of Ukraine on December 18, 2015 for No. 1593/28038;

of January 29, 2016 No. 24 "About approval of forms of accounting and submission of information connected with implementation of financial monitoring, and the instruction for their filling", registered in the Ministry of Justice of Ukraine on February 16, 2016 for No. 241/28371 (with changes).

3. In accordance with the established procedure to provide to department of ensuring coordination and monitoring work of the Ministry of Finance of Ukraine:

submission of this order on state registration in the Ministry of Justice of Ukraine;

promulgation of this order.

4. This order becomes effective on the first Monday of the fourth month after the termination or cancellation of warlike situation.

5. To impose control of execution of this order on the First Deputy Minister of Finance of Ukraine Ulyutin D. V. and the vice-chairman of Public service of financial monitoring of Ukraine Zubriya V.P.

Minister

S. Marchenko

 

It is approved:

Chairman of the Public regulatory service of Ukraine

 

A. Kucher

Chairman of the National Bank of Ukraine

K. Shevchenko

First vice-Prime Minister Ukrainyministr of economy of Ukraine

A. Lyubchenko

Chairman of Public service of financial monitoring of Ukraine

I.Cherkassky

First Deputy Minister of digital transformation of Ukraine

V. Vyskub

 

Approved by the Order of the Ministry of Finance of Ukraine of June 4, 2021, No. 322

Procedure for creation of private office of the subject of primary financial monitoring and access to e-office of system of financial monitoring

I. General provisions

1. This Procedure is developed for ensuring giving/receipt of primary financial monitoring by subjects (further - subjects) according to the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction" (further - the Law) information necessary for their accounting as economic, information on the financial transactions which are subject to financial monitoring, other information which can be connected with legalization (washing) of income gained in the criminal way, financing of terrorism and financing of distribution of weapons of mass destruction (further - information connected with implementation of financial monitoring) and also bringing by Gosfinmonitoring to the subject of information according to the law.

2. This Procedure determines the general principles of functioning of the information and telecommunication system "e-office of system of financial monitoring" (further - e-office) as the constituting unified information system in the sphere of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction (further - unified information system), procedures of creation of private office of the subject, identification of users for access to it, electronic interaction of subjects and Gosfinmonitoring by provision/receipt of documents, information provided by the Law.

3. In this Procedure terms are used in such values:

the administrator of safety of e-office - the responsible person determined by the order of Gosfinmonitoring who according to the functional powers assigned to it exercises general control of security status in system and also controls compliance of settings of program and technical means of e-office to the accepted security policy;

the subject's address - information on the subject entered into unified information system, including the e-mail address which consists of the identifier, marks "@", and domain name which is used by the user of e-office for correspondence on questions of financial monitoring or the postal address brought in e-office which is used in case of impossibility of implementation of electronic information exchange;

the qualified digital signature (further - KEP) the subject:

for the legal entity - KEP of the official - the head of the legal entity, or the worker responsible for financial monitoring (further - the ranking officer) or persons who will temporarily fulfill its duties in which certificate registration data of the subject and such person are specified;

for physical person - KEP of person in which certificate registration data of this person are specified;

right of access - actions which users have the right to carry out in e-office;

registration data - identification code according to the Unified state register of the companies and organizations of Ukraine (further - identification code on EGRPOU), for physical persons - registration number of accounting card of the taxpayer or series (in the presence) and passport number (for physical persons which because of the religious beliefs refuse adoption of registration number of accounting card of the taxpayer and notified on it the relevant monitoring body and have mark in the passport);

the technical administrator of e-office - independent structural division of Gosfinmonitoring which according to functional powers performs measures for ensuring creation, implementations and supports of the software of e-office, is responsible for accomplishment of all stages of lifecycle of such software, for its technical and technological support, implementation, functioning, updating, change, elimination of mistakes, ensuring integrity and authenticity of source program code; performs technical and technological actions for provision, blocking and cancellation of access to e-office, is responsible for preserving and data protection of system;

the file receipt - the notification on results of processing of the provided information.

Other terms are used in the values determined in the Law, the Laws of Ukraine "About electronic documents and electronic document management", "About electronic confidential services", the Procedure for submission of information for registration (removal from accounting/recovery on accounting) subjects of primary financial monitoring, registration and representation by subjects of primary financial monitoring to Public service of financial monitoring of information on the financial transactions which are subject to financial monitoring, other information which can be connected with legalization (washing) of income gained in the criminal way, financing of terrorism and financing of distribution of weapons of mass destruction, the Procedure for conducting financial monitoring of accounting of subjects of primary financial monitoring by Public service, the Procedure for conducting financial monitoring by Public service accounting of information on financial transactions subject to financial monitoring, approved by the resolution of the Cabinet of Ministers of Ukraine of September 9, 2020 No. 850.

4. The information and telecommunication system "e-office of system of financial monitoring" is available on the Internet to the address cabinet.fiu.gov.ua. On the official web portal of Gosfinmonitoring the hyperlink to the address at which the e-office web interface locates is placed.

The E-office includes open (public) part and private part (private office).

The E-office is conducted in Ukrainian.

The E-office works constantly (24 hours in date of each calendar day), except time necessary for its maintenance. Duration of carrying out maintenance is established by Gosfinmonitoring and will be promulgated on its official web portal.

The E-office in the course of functioning interacts with other information and telecommunication systems of Gosfinmonitoring and the state electronic information resources.

The E-office using complex system of information security with the compliance confirmed in the procedure established by the legislation provides data protection (including personal data, and such which are secret of financial monitoring) from unauthorized access, leakage, interception, loss, destruction, modification and blocking.

II. Creation of private office and access to e-office

1. The private office of the subject is created based on information on the subject given them in accordance with the established procedure.

Creation of the Private office by the new subject which gets registered, performed on foundation of KEP of the subject (physical person, physical person - the entrepreneur) or the subject's head - the legal entity which has the right to make transactions on behalf of the subject, by results of successful electronic identification and authentication of such person and primary information on the subject entered into unified information system according to requirements of the Law.

Creation of the Private office of the subject which is registered is performed on foundation of KEP of the subject (physical person, the physical person - the entrepreneur) or the subject's head - the legal entity which has the right to make transactions on behalf of the subject, by results of successful electronic identification and authentication of such person and the adjusting information on the subject entered into unified information system according to requirements of the Law.

The user is responsible for reliability of the data specified in case of electronic identification.

After electronic identification of the personality the subject has right of access to private part (private office) of e-office which is the individual personified web page of the user.

2. Physical persons and legal entities which have open entry to the Internet have access to open (public) part of e-office. Such access is provided without use of electronic confidential services.

Access to private office is provided to users after passing of electronic identification by means of the integrated system of electronic identification and according to requirements of the Law of Ukraine "About electronic confidential services", the Procedure for use of electronic confidential services in public authorities, local government bodies, the companies, organizations and the organizations of the state pattern of ownership approved by the resolution of the Cabinet of Ministers of Ukraine of September 19, 2018 No. 749.

3. Open (public) part of e-office provides possibility of receipt of information by the user which according to the legislation is open and is subject to promulgation.

The private office provides information interaction on provision by the subject of Gosfinmonitoring of information connected with implementation of financial monitoring and obtaining by subjects from Gosfinmonitoring of requests, decisions, orders and other information according to the Law. The notifications provided by the subject, letters are displayed in private office and loaded into information resources of unified information system.

4. By results of successful electronic identification and authentication the subject gets access to:

to templates of notifications (electronic documents) and their filling;

to forming and submission of notifications (electronic documents in XML format) through private office with fixing of date and time of submission of such notifications;

to the remained and provided notifications in the automated system of the subject (in XML and/or in PDF format);

to results of the automated processing of the notifications (electronic documents) provided by the subject with automatic fixing of departure time and time of obtaining, integrity and authenticity of electronic documents;

to information on the notifications submitted to them and notifications on results of their processing;

to notifications from Gosfinmonitoring through private office with fixing of date and time of receipt of such notifications to the subject;

visualization of the provided/received notifications (electronic documents);

to submission of notifications (electronic documents) via the applied program interface (AR І).

III. Functioning of e-office

1. The subject for representation according to the Law of notifications with use of templates of notifications of the web interface of private office makes information to appropriate sections (structure) and details of notifications. After completion of filling of templates of notifications with means of e-office automatic control of notifications is exercised. In case of successful passing of control the subject is given opportunity to sign the notification means of KEP. During signing of the notification the e-office creates qualified mark of time for this notification and automatically provides accounting of such notice in unified information system in the procedure established by the legislation.

2. The subject for representation according to the Law of notifications with use of the specialized software of the subject establishes connection with AR_ of e-office and gives the created and signed KEP of the notification to e-office. Concerning the transferred notifications in unified information system automatic control of notifications is exercised. By results of control passing the unified information system creates the file receipt with results of their processing. During signing of the notification (file receipt) the e-office creates qualified mark of time for this notification. In case of successful passing of control the unified information system automatically provides accounting of such notification in the procedure established by the legislation.

IV. Processing and elimination of mistakes in work of e-office

1. In case of identification of mistakes in work of e-office the user through private part submits to Gosfinmonitoring the notification on mistake which arose in operating time in the information and telecommunication system "e-office of system of financial monitoring", in form according to appendix 1 to this Procedure.

2. State financial monitoring shall carry out verification of presence of mistake within three working days after receipt of such notification from the user. By results of processing of notifications to the user the notification on results of processing of mistake which arose in operating time in the information and telecommunication system "e-office of system of financial monitoring", in form according to appendix 2 to this Procedure in which availability of the corresponding mistake proves to be true or confuted goes to the same time.

If Gosfinmonitoring recognizes mistake availability, it shall eliminate it in time which is determined by it taking into account criticality of the revealed mistake and technical capability of its elimination. If the mistake leads to violation of the rights of the subject or provides attraction it to responsibility, Gosfinmonitoring sends to e-office and on the e-mail address (addresses) of the subject the document by which notifies on the existence of mistake and time necessary for its elimination and recovery of the violated subject's rights. Gosfinmonitoring notifies the subject by the direction of the relevant document with the notification in e-office on elimination of mistake and on the e-mail address (addresses) of the subject.

3. Subjects are granted the right of viewing of the log, occurring in private office, including, in particular, fixing of date and departure time, receipt of documents through e-office and any change of the data available in e-office.

Director of the department of ensuring coordination and monitoring work

Yu.Konyushenko

Appendix 1

to the Procedure for creation of private office of the subject of primary financial monitoring and access to e-office of system of financial monitoring (Item 1 of the Section IV)

The notification on mistake which arose in operating time in the information and telecommunication system "e-office of system of financial monitoring"

See Appendix 1 (6Kb In original language)

Appendix 2

to the Procedure for creation of private office of the subject of primary financial monitoring and access to e-office of system of financial monitoring (Item 2 of the Section IV)

The notification on results of processing of mistake which arose in operating time in the information and telecommunication system "e-office of system of financial monitoring"

See Appendix 2 (7Kb In original language)

Approved by the Order of the Ministry of Finance of Ukraine of June 4, 2021 , No. 322

Procedure for information interaction of subjects of primary financial monitoring and Public service of financial monitoring of Ukraine

I. General provisions

1. This Procedure determines the mechanism of interaction between subjects of primary financial monitoring (further - subjects) and Gosfinmonitoring by providing according to the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction" (further - the Law) exchange of information on financial monitoring, and also requirements and formats of messages of such exchange.

2. In this Procedure terms are used in such values:

CAP - the qualified digital signature of the subject or qualified electronic seal of Gosfinmonitoring;

Subject's CAP:

for the legal entity - KEP of the official - the head of the legal entity, or the worker responsible for carrying out financial monitoring (further - the ranking officer) or persons who will temporarily fulfill its duties in which certificate registration data of the subject and such person are specified;

for physical person - KEP of person in which certificate registration data of this person are specified;

registration data - identification code according to the Unified state register of the companies and organizations of Ukraine (further - identification code on EGRPOU), for physical persons - registration number of accounting card of the taxpayer or series (in the presence) and passport number (for physical persons which because of the religious beliefs refuse adoption of registration number of accounting card of the taxpayer and notified on it the relevant monitoring body and have mark in the passport) (further - Registration number UKPN);

the transport file - the single signed file message (file receipt) together with KEP, it is provided to which rasshireniye.p7s;

the test file message - the file of information exchange which has data set and structure of the corresponding types of files messages or files receipts and is used for testing of correctness of forming and submission of information and information provided by such file is not official and is not accepted on accounting by Gosfinmonitoring;

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