Unofficial transfer (c) Soyuzpravoinform LLC
of March 23, 2022 No. 60
About features of execution of separate requirements of the legislation in the field of financial monitoring, currency supervision, supervision concerning realization and monitoring of efficiency of personal special economic and other rationing measures (sanctions) during action of warlike situation
According to Articles 7, 15, 44, 55, 56 Laws of Ukraine "About the National Bank of Ukraine", article 18 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", article 11 of the Law of Ukraine "About currency and currency transactions", to the Law of Ukraine "About sanctions", to the Law of Ukraine of February 24, 2022 No. 2102-IX "About approval of the Presidential decree of Ukraine "About introduction of warlike situation in Ukraine"", to the Presidential decree of Ukraine of February 24, 2022 No. 64/2022 "About introduction of warlike situation in Ukraine" for the purpose of determination of features of accomplishment of separate requirements of the legislation in the field of financial monitoring, currency supervision, supervision concerning realization and monitoring of efficiency of personal special economic and other rationing measures (sanctions) during action of the warlike situation Board of the National Bank of Ukraine DECIDES:
1. Banks of Ukraine do not perform measure for check of sources of origin of the means provided by 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 on POD/FT) and regulatory legal acts of the National Bank of Ukraine, in case of carrying out financial transactions on introduction by clients of means cash for the purpose of their transfer on:
1) accounts of the Armed Forces of Ukraine for assistance to the Armed Forces of Ukraine and into the special account opened by the National Bank of Ukraine for fund raising on support of the Armed Forces of Ukraine;
2) the current account of the Ministry of social policy of Ukraine opened in the National Bank of Ukraine for the charitable help and ensuring support of the most vulnerable categories of the population;
3) accounts of banks of Ukraine for acquisition of bonds of internal state loan "War bonds";
4) the current account of the client - physical person in the amount of which corresponds to threshold financial transaction and is specified in article 20 of the Law on POD/FT if such client did not provide upon the demand of bank of the relevant documents or information.
1-1. Banks are forbidden to perform account transactions (to issue means in cash form, to carry out their transfer, other account account transactions of clients - physical persons with the means specified in the subitem 4 of Item 1 of this resolution except cases of transfer of such funds for the accounts specified in subitems 1 - 3 Items 1 of this resolution.
The bank previously before implementation by the client of financial transaction on introduction of funds in cash form for its current account in the amount of, determined in article 20 of the Law on POD/FT, notifies the client on restriction of account transactions with means in case of failure to provide by the client upon the demand of bank of the documents or data necessary for establishment of sources of their origin.
The bank independently in the internal documents determines cases of obligatory establishment of sources of origin of means, the list of necessary documents / data which shall be provided by the client for clarification of sources of their origin.
The bank shall notify the client by the means determined by bank in its internal documents with obligatory ensuring delivery of such notification to the client on conditions of cash deposit of the means specified in the subitem 4 of Item 1 of this resolution, and restriction for implementation of the account transactions specified in paragraph one of Item 1-1 of this resolution.
The bank exercises control of target use of the means specified in the subitem 4 of Item 1 of this resolution, enlisted on the current account of the client by establishment of limit on balance on the account which corresponds to the amount of the means deposited to account. The bank reduces the set limit by balance on the customer account on transfer amount of funds for the accounts specified in subitems 1 - 3 Items 1 of this resolution.
The requirements provided in Item 1-1 of this resolution are not applied to cases of provision by the client by bank inquiry of the documents or data necessary for bank for establishment of sources of origin of the money deposited by the client for carrying out financial transaction.
1-2. The ranking officer of bank in cases, the specified in paragraphs five and pole of Item 9 of the Section X "Final and transitional provisions" of the Law on POD/FT, publishes the internal order about freezing/defrosting of assets which shall contain:
1) date and time of decision making and its type (freezing or defrosting);
2) identification these persons which assets are refrigerated / are defrozen;
3) information of rather business relations with the client (in the presence): numbers and dates of opening of accounts to the client, the amounts of the refrigerated/defrozen assets by accounts (information is specified on the accounts opened for date of freezing/defrosting);
4) the bases of defrosting of assets (in case of defrosting);
5) signature of the ranking officer of bank.
The bank provides storage of orders of the ranking officer of bank concerning freezing/defrosting of assets in the separate case at least five years according to the procedure provided by internal documents of bank for document storage with limited access.
The bank considers the refrigerated means on customer accounts. Accounting of settlement documents on the blocked financial transactions together with orders about freezing/defrosting of the corresponding assets is performed on off-balance account 9809 A "Other documents on settlement transactions of clients" of the Chart of accounts of the financial accounting of banks of Ukraine approved by the resolution of Board of the National Bank of Ukraine of September 11, 2017 No. 89 (with changes).
2. Banks have the right for opening to physical resident persons of Ukraine who constantly live or temporarily there are outside Ukraine, to physical nonresident persons (except residents of the Russian Federation / Republic of Belarus) the accounts only for the purpose of acquisition of bonds of internal state loan "War bonds":
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