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Ministry of Justice

Republic of Uzbekistan

On November 6, 2009 No. 2038

THE RESOLUTION OF THE STATE COMMITTEE OF THE REPUBLIC OF UZBEKISTAN ON MANAGEMENT OF THE STATE-OWNED PROPERTY, DEPARTMENT ON FIGHT AGAINST TAX, CURRENCY OFFENCES AND LEGALIZATION OF THE CRIMINAL INCOME UNDER THE PROSECUTOR GENERAL'S OFFICE OF THE REPUBLIC OF UZBEKISTAN

of October 13, 2009 No. 01/19-18/24, 13 of October, 2009 No. 43

About approval of Rules of internal control on counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction for members of the exchanges

(as amended on 12-06-2021)

According to the laws of the Republic of Uzbekistan "About the exchanges and exchange activities" and "About counteraction of legalization of income gained from criminal activities to financing of terrorism and financing of distribution of weapons of mass destruction" the State committee of the Republic of Uzbekistan on privatization, demonopolization and development of the competition and Department on fight against tax, currency offenses and legalization of the criminal income under the Prosecutor General's Office of the Republic of Uzbekistan decide:

1. Approve Rules of internal control on counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction for members of the exchanges according to appendix.

2. This resolution becomes effective after ten days from the date of its state registration in the Ministry of Justice of the Republic of Uzbekistan.

Chairman of the State committee of the Republic of Uzbekistan

on management of state-owned property

D. Musayev

Head of the department of fight against tax, currency offenses

and legalization criminal the income under the Prosecutor General's Office

Republic of Uzbekistan

Z.Dusanov

Appendix

to the Resolution of the State Property Committee and Department on fight against tax, currency offenses and legalization of the criminal income under the Prosecutor General's Office of the Republic of Uzbekistan

Rules of internal control on counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction for members of the exchanges

These rules according to the laws of the Republic of Uzbekistan "About the exchanges and exchange activities" and "About counteraction of legalization of income gained from criminal activities to financing of terrorism and financing of distribution of weapons of mass destruction" determine procedure for the organization and implementation by members of the exchanges (except for members of stock exchanges and share departments of other exchanges) internal control for the purpose of counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction.

I. General provisions

1. In these rules the following basic concepts are applied:

the beneficial owner - physical person which finally owns the property rights or really controls the client, including the legal entity for the benefit of whom transaction with money or other property is made;

the exchange - the legal entity creating conditions for trade in exchange goods by the organization and carrying out the public and public exchange biddings on the basis of statutory rules in in advance determined place and in the certain time having the license for the right of implementation of exchange activities granted by the Antimonopoly Committee of the Republic of Uzbekistan (further - the Antimonopoly Committee), the right of participation in stock exchange transactions granting to legal entities and determining procedure for admission to membership of the exchange, suspension, termination of membership, the right, obligation and property responsibility of members of the exchange;

internal control - activities of members of the exchanges for identification of the transactions which are subject to the message in specially authorized state body;

the states which are not participating in international cooperation in the sphere of counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction - the states and the territories determined in official declarations of Group on development of financial measures for anti-money laundering (FATF) which pose threat to international financial system and which have system of counteraction of legalization of income gained from criminal activities, to financing of terrorism and financing of distribution of weapons of mass destruction have strategic shortcomings;

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