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RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of August 26, 2022 No. 193

About approval of the Instruction for forming of files of information exchange between authorized body and banks (branches)

According to Articles 7, of 15, of 55, 56 Laws of Ukraine "About the National Bank of Ukraine", 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" for the purpose of ensuring information exchange between authorized body and banks (branches) the Board of the National Bank of Ukraine DECIDES:

1. Approve the Instruction for forming of files of information exchange between authorized body and banks (branches) (further - the Instruction) which is attached.

2. Declare invalid the resolution of Board of the National Bank of Ukraine of August 18, 2016 No. 373 "About approval of the regulatory legal act of National Bank concerning forming of files of information exchange".

3. To banks till first Monday of the fourth month after the termination or cancellation of warlike situation to bring the software of systems of automation into accord with requirements of the Instruction.

4. To department of financial monitoring (Alexey of Berezhnaya) after official publication to inform banks information on adoption of this resolution.

5. To department of information technologies (Vladimir Nagornyuk) to bring the formalized description of files of information exchange to the attention of banks within 10 working days from the date of entry into force of this resolution.

6. To impose control over the implementation of this resolution on the vice-chairman of the National Bank of Ukraine Yaroslav Matuzka.

7. The resolution becomes effective from the date of, its official publication following behind day, except Items 1, 2 presents of the resolution which become effective from first Monday of the fourth month after the termination or cancellation of warlike situation.

Chairman 

K. Shevchenko

Approved by the Resolution of Board of the National Bank of Ukraine of August 26, 2022 No. 193

The instruction for forming of files of information exchange between authorized body and banks (branches)

1. This Instruction determines structure of details and structure of files of information exchange between authorized body and banks (branches).

Requirements of this Instruction extend to banks and branches of foreign banks (further - banks).

2. Terms and reducings (abbreviation) in this Instruction are used in the following value:

1) the ranking officer - the worker responsible for carrying out financial monitoring in bank;

2) EGR - Unified State Register of Legal Entities, physical persons entrepreneurs and public forming;

3) Law - 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";

4) KBS - the final beneficial owner;

5) the CAP - the qualified digital signature;

6) code on EGRPOU - identification code according to the Unified state register of the companies and organizations of Ukraine;

7) RNUKPN - registration number of accounting card of the taxpayer;

8) SPFM - the subject of primary financial monitoring;

9) SUO - specially authorized body;

10) K_DFM *** - designation which is applied to filling of the corresponding details of files of information exchange where *** - number of the reference book for filling of messages which is used during exchange of information concerning financial monitoring between subjects of primary financial monitoring and Public service of the financial monitoring of Ukraine (further - the reference book) provided according to the procedure information interaction of subjects of primary financial monitoring and Public service of financial monitoring of Ukraine, No. approved by the order of the Ministry of Finance of Ukraine of June 04, 2021 322, registered in the Ministry of Justice of Ukraine on August 06, 2021 for No. 1036/36658 (further - the Procedure for information interaction No. 322);

11) PEP is the physical person which is politically significant person, the member of his family or face tied with politically significant person.

The term "specially authorized body" applied in this Instruction is applied in the value given in the Law.

3. Information exchange in electronic form between banks and SUO is performed by means of the Automated transport system of the National Bank of Ukraine (further - National Bank) by transfer of the corresponding files ciphered by the software which are built in automated workplace-information.

4. The bank creates files messages of information exchange according to the requirements stated in Annex 1 to this Instruction.

5. One file message about financial transactions may contain several information messages about financial transactions, but no more than 100 messages.

6. Rules of forming of names of files, types of files of information exchange and designation of formats of data are determined by SUO and approved by National Bank.

7. The bank creates the messages provided by this Instruction which are signed by KEP of the ranking officer or person who is temporarily fulfilling its duties or the worker authorized by the ranking officer.

8. The bank performs creation/check of KEP according to the procedure, given in appendix 2 to this Instruction.

9. The bank performs forming of the file message about bank/branch of foreign bank (type U) according to the description of structure and details, the requirements for their filling specified in appendix 3 to this Instruction.

10. The bank creates the file message about financial transactions (type A) according to the description of structure and details, the requirements for their filling specified in appendix 4 to this Instruction.

11. The bank creates the file message about suspicious activities (No. type) according to the description of structure and details, the requirements for their filling specified in appendix 5 to this Instruction.

12. The bank performs forming of the file message about discrepancies between the information about final beneficial owners (type G) according to the description of structure and details, the requirements for their filling specified in appendix 6 to this Instruction.

13. The bank creates the file message about refusal of establishment/maintenance of business relations (type J) according to the description of structure and details, the requirements for their filling specified in appendix 7 to this Instruction.

14. The bank performs forming of the file message about freezing (defrosting) of assets (type S) according to the description of structure and details, the requirements to their filling specified in appendix 8 to this Instruction.

15. The bank creates/receives from SUO the corresponding file notification about statement (refusal of acceptance) on accounting of information and the message (file receipt) on result of processing (the V, B, P, Q, R, T, W, F, I, X, Y types, K) according to the description of structure and details, the requirements to their filling specified in appendix 9 to this Instruction.

16. SUO performs request about provision of information in the cases provided by the Law, way of forming and the direction of the file message - request (type C), the description of structure and which details, requirements for their filling are given in appendix 10 to this Instruction.

17. The bank creates the file message - reply to the request of SUO (type D) according to the description of structure and details, the requirements to their filling specified in appendix 11 to this Instruction.

18. The bank creates the file message - appendix to the message/answer (type E) according to the description of structure and details, the requirements for their filling specified in appendix 12 to this Instruktsii. Bank creates the account statement of the client or the account statement of the client on whom transactions are performed with use of payment card, according to appendices 13, 14 to this Instruction respectively if the file notification - appendix to the message of the answer contains such statements.

19. The bank checks qualified electronic seal of SUO on all received files messages from SUO for determination of origin and integrity checking of the connected electronic data.

20. For filling of details of files of information exchange between SUO and banks the codes of reference books determined according to the procedure of information interaction No. 322 are used.

Appendix 1

to the Instruction for forming of files of information exchange between authorized body and banks (branches) (Item 4)

Requirements for forming of files messages of information exchange

1. All files of information exchange shall be created as XML documents.

2. The structure of the XML document shall match the unformalized description containing in the corresponding files schemes of the formalized description (DTD - Document Type Definition).

3. The file message does not may contain the blank (empty) elements (details).

4. The reference to the corresponding external DTD file in the second line of each file of information exchange is obligatory. This reference has XML directive appearance <! DOCTYPE transport-file SYSTEM "file_dtd">,

where transport-file - name of the main structure of the corresponding file;

file_dtd - name of the external DTD file, variable.

5. Names of files schemes of the formalized description for each type of the file of information exchange are given in appendices 3 - 12 to the Instruction for forming of files of information exchange between authorized body and banks (branches).

6. Signed KEP the file message [container with expansion .p7s according to Item 2 of Appendix 2 to the Instruction for forming of files of information exchange between specially authorized body and banks (branches)] is archived by the ZIP archiver. The name of the received file archive is created according to the rules of forming of names of files messages determined according to the procedure of information interaction No. 322.

Appendix 2

to the Instruction for forming of files of information exchange between authorized body and banks (branches) (Item 8)

Procedure for creation/check of KEP

1. The bank creates/checks KEP / qualified electronic seal on the file message in general.

2. The CAP / qualified electronic seal together with signed data form single container (file) with expansion .p7s. The format of container CAP shall contain full range of data of check which allows to check the signature in the long-term period.

3. The procedure for distribution of certificates of keys is determined by regulations of work of the supplier of electronic qualified confidential services.

Appendix 3

to the Instruction for forming of files of information exchange between authorized body and banks (branches) (Item 9)

The description of structure and details of the file message about bank/branch of foreign bank (type U), requirements for their filling (name of the file scheme of the formalized description for the file of U type - fm_u_30.dtd)


payment order

Elements of structure of the file

Type of data

Name of detail

Requirements for filling of detail

number

frequency rate

name

1

2

3

4

5

6

7

1

1

Main structure of transport-file

Message on SPFM

2

1

1

Structure-file of meta-data

General information about messages

3

1.1

1

file-name

C (25)

File message name

According to rules of forming of names of files

4

1.2

1

file-date

D (8)

Date of creation of the file message

5

1.3

1

file-time

T (4)

Time of creation of the file message

6

2

1

Structure of ident

Data on SPFM

Information on bank is specified

7

2.1

1

subj-id

C (10)

Code on EGRPOU/RNUKPN

The EGRPOU code of bank is specified

8

2.2

1

subj-name-shortcut

C (256)

Name

The bank name reduced (in the presence) is specified

9

2.3

1

ust-type

C (1)

The SPFM type, data on which are represented,

The code according to the reference book K_DFM07 is specified

10

2.4

0-1

ozn-reestr-pdn

N (1)

Sign of independent submission of messages by separate division

It is not filled

11

2.5

0-1

subj-id-sd-ddfm

C (8)

Code on EGRPOU of separate division

It is not filled

12

3

1

Structure of fm1

Information of the message

13

3.1

1

structure of info-reestr

Data on registration of the message

14

3.1.1

1

reestr-number

N (6)

Number of the message

15

3.1.2

1

reestr-date

D (8)

Date of the message

16

3.1.3

1

opr-act

N (1)

Message type

The code according to the reference book K_DFM06 is specified

17

3.2

1

structure of ustanova

Data on SPFM

Information on bank is specified

18

3.2.1

1

subj-name

C (256)

Complete name / surname, name, middle name (in the presence) SPFM (separate division)

Full name of bank is specified

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