ORDER OF FEDERAL SERVICE FOR FINANCIAL MONITORING OF THE RUSSIAN FEDERATION

of August 3, 2010 No. 203

About approval of the Regulations on requirements to preparation and personnel training of the organizations performing transactions with money or other property for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing

According to the Federal Law of August 7, 2001 N 115-FZ "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (The Russian Federation Code, 2001, N 33 (p. I), Art. 3418; 2002, N 30, Art. 3029; N 44, of Art. 4296; 2004, N 31, Art. 3224; 2005, N 47, Art. 4828; 2006, N 31 (p. I), Art. 3446, Art. 3452; 2007, N 16, Art. 1831; N 31, of the Art. 3993, Art. 4011; N 49, of Art. 6036; 2009, N 23, Art. 2776; N 29, of the Art. 3600,) and Item 3 of the Order of the Government of the Russian Federation of December 5, 2005 N 715 "About qualification requirements to the special officials responsible for observance of rules of internal control and programs of its implementation, and also requirements to preparation and personnel training, identification of clients, beneficiaries for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (The Russian Federation Code, 2005, N 50, Art. 5302; 2008, N 12, 1140) I order to the Art.:

1. Approve in coordination with the Federal Service for Financial Markets (V. D. Milovidov) the enclosed Regulations on requirements to preparation and personnel training of the organizations performing transactions with money or other property for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing.

2. Declare invalid the order of Federal Service for Financial Monitoring of November 1, 2008 N 256 "About approval of the Regulations on requirements to preparation and personnel training of the organizations performing transactions with money or other property for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (it is registered in the Ministry of Justice of the Russian Federation on January 30, 2009, registration N 13222).

Approved by the order of Federal Service for Financial Monitoring of August 3, 2010 No. 203

Regulations on requirements to preparation and personnel training of the organizations performing transactions with money or other property for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing

I. General provisions

1. This Provision establishes requirements to preparation and personnel training of the organizations performing transactions with money or other property for the purpose of counteraction of legalization (washing) of the income gained in the criminal way, and to financing of terrorism specified in article 5 of the Federal Law of August 7, 2001 N 115-FZ "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing".

Preparation and personnel training of professional participants of the security market, being credit institutions, is performed according to the requirements established by the Bank of Russia in coordination with Federal Service for Financial Monitoring and taking into account the features established by Items 5, of 9, of 10, of 11, of 12, of the 13th this provision.

This Provision does not extend to credit institutions, not being professional participants of the security market.

2. The head of the organization approves the list of employees who shall have obligatory training and training for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing (further - training).

3. The list, stipulated in Item 2 this provision, the organization (except for the organization performing professional activity in the security market and (or) activities for management of investment funds and non-state pension funds (further - activities in the financial market)), joins the following employees:

a) head of the organization;

b) head of branch of the organization;

c) the deputy manager of the organization (branch) according to job responsibilities supervising questions of the organization and implementation of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

d) the special official of the organization (branch) responsible for observance of rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism and programs of its implementation (further - the special official);

e) the chief accountant (accountant) of the organization (branch), in the presence of position in staff of the organization or branch, or the employee performing functions on conducting financial accounting;

e) head of legal division of the organization (branch) or lawyer of the organization (in the presence);

g) staff of service of internal control of the organization (branch), in the presence;

h) other staff of the organization (branch) at the discretion of the head of the organization and taking into account features of organization activity (branch) and her clients.

4. In the organization performing activities in the financial market (except for professional participants of the security market, being credit institutions), the list, stipulated in Item 2 this provision, joins the following employees:

a) head of the organization;

b) the head of the branch of the organization performing activities in the financial market (further - branch);

c) the deputy manager of the organization (branch) according to job responsibilities leading structural division of the organization (branch) which performs activities in the financial market;

d) the head and the deputy manager of structural division of the organization (branch) which performs activities in the financial market;

e) controller;

e) the staff of the organization (branch) who according to job responsibilities carries out at least one of the following functions:

transactions with securities: on behalf of the organization and at the expense of the organization; on behalf of clients and for customer account; on behalf of the organization and for customer account;

transactions and (or) transactions with money and (or) securities for the benefit of the founder of management;

signing of the outgoing documents of the organization (branch) concerning implementation of the transactions connected with management of investment reserves of joint-stock investment fund, the property constituting mutual investment fund, means of pension reserves of non-state pension fund, or property in which means of pension accruals or accumulating for housing providing the military personnel are invested;

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