of November 23, 2012 No. 1484
About approval of Rules of representation by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring and signs of determination of suspicious transaction
According to Item 3 of Article 4 and Item 2 of article 10 of the Law of the Republic of Kazakhstan of August 28, 2009 "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" the Government of the Republic of Kazakhstan DECIDES:
1. Approve enclosed:
2. This resolution becomes effective after ten calendar days after the first official publication.
Prime Minister of the Republic of Kazakhstan
S. Akhmetov
Approved by the Order of the Government of the Republic of Kazakhstan of November 23, 2012 No. 1484
1. These rules of representation by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring (further - Rules) are developed according to Item 2 of article 10 of the Law of the Republic of Kazakhstan of August 28, 2009 "About counteraction of legalization (washing) of the income received in the criminal way and to terrorism financing" (further - the Law) and establish single procedure for submission by subjects of financial monitoring to authorized body on financial monitoring (further - authorized body) the data and information on the transactions which are subject to financial monitoring.
2. On the transactions which are subject to financial monitoring, subjects of financial monitoring documentary fix and provide in authorized body of the data and information on the transaction which is subject to financial monitoring in form according to appendix 1 to these rules (further - information).
3. Information provided by the subjects of financial monitoring specified in subitems 1) - 6), 8) - 16) Item 1 of article 3 of the Law, goes to authorized body by electronic method, by means of networks of telecommunications of the republican state company on the right of economic maintaining "The Kazakhstan center of interbank calculations of National Bank of the Republic of Kazakhstan" or the web portal of authorized body in the XML format.
Information provided by the subject of financial monitoring specified in the subitem 7) of Item 1 of article 3 of the Law goes to authorized body by electronic method by means of networks of telecommunications of the republican state company on the right of economic maintaining "The Kazakhstan center of interbank calculations of National Bank of the Republic of Kazakhstan", the web portal of authorized body in the XML format or on paper.
In case of representation by the subject of financial monitoring of information by the method which is not provided by parts one and the second this Item, the authorized body returns this information without consideration. In case of violation of the terms specified in Item 2 of Article 10 and Item 2 of article 13 of the Law on origin of the technical mistakes in the software confirmed with authorized body, these data and information on the transactions which are subject to financial monitoring are considered directed at the scheduled time if such information is directed no later than one working day after elimination of technical mistakes.
The XML format of information provided by electronic method affirms authorized body.
4. Information provided on paper goes subjects of financial monitoring to authorized body the mailing with the assurance of receipt or purposely with observance of the measures excluding uncontrolled access to documents to delivery time. At the same time documents are packed into envelopes by the method excluding possibility of their damage or extraction of information from them without violation of integrity of packaging.
5. Information provided by electronic method is certified by the digital signature of the subject of financial monitoring.
Information provided on paper is signed by the subject of financial monitoring or the responsible official (the person replacing it, appointed the first head of the subject of financial monitoring) and certified by seal of the subject of financial monitoring.
6. The authorized body does not accept in processing information in case of representation by subjects of financial monitoring of information:
other than form of data and information on the transaction which is subject to financial monitoring;
constituted without the requirements stated in Item 5 of these rules.
7. In case of representation by subjects of financial monitoring of information by electronic method the authorized body within 4 hours from the moment of obtaining directs the notice on adoption (rejection) of information (further - the notice) in the form established by appendix 2 to these rules by means of use of electronic communication channels.
In case of representation by subjects of financial monitoring of information on paper the authorized body directs the notice the mailing within 3 working days from the moment of obtaining.
8. In case of receipt of the notice on rejection of information, the subject of financial monitoring within twenty four hours (except for days off and holidays) takes measures for elimination of the causes of failure in adoption of information specified in the notice and sends corrected information to authorized body.
9. The subject of financial monitoring, in case of need modification and (or) amendments of information which is earlier provided and accepted by authorized body, no later than one working day from the date of detection of information which is subject to replacement sends information of in exchange earlier provided to authorized body.
The notice on adoption (rejection) of new information by authorized body goes to subjects of financial monitoring according to procedure, certain Item 7 of these rules.
10. When filling information help data according to appendices 3, of 4, 5 and 6 to these rules are used.
11. For the purpose of receipt of necessary information the authorized body sends to the subject of financial monitoring inquiry for provision of necessary information, data and documents within the carried-out analysis of the materials registered in the republican database in the sphere of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing by form according to appendix 7 to these rules, on paper or electronic method.
In case of receipt of request for provision of necessary information, data and documents from authorized body by electronic method subjects of financial monitoring send the notice to authorized body in form according to appendix 9 to these rules.
Required information, data and documents go subjects of financial monitoring to authorized body in terms, stipulated in Item 3-1 article 10 of the Law, in form according to appendix 8 to these rules according to the procedure determined by Items 3-5 of these rules.
In cases when processing of the inquiry sent the basis of part three of Item 3-1 of article 10 of the Law requires extra time, the subject of financial monitoring sends the appeal on the e-mail address of authorized body placed on official Internet resource of authorized body about prolongation of term of request no more than for ten working days in form according to appendix 10 to these rules.
to Rules of representation by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring
Form
Form of data and information on the transaction which is subject to financial monitoring (further - the FM-1) form
|
detail No. |
Name |
Content |
|
1 |
2 |
3 |
|
1 |
Data on the FM-1 form | |
|
1.1 |
Number of the FM-1 form * |
1. Number: 2. Communication with other FM-1 form (in case of availability): 2.1. Number of the connected FM-1 form: 2.2. Date of the connected FM-1 form: |
|
1.2 |
Date of the FM-1 form * | |
|
1.3 |
Document type (necessary emphasize) * |
1. New message 2. Adjustment of unaccepted messages (with indication of number the adjusted message) 3. Request of replacement of the message (with specifying of number of the message) |
|
1.4 |
Transaction condition (necessary to emphasize) |
1. It is made (transaction completion time) 2. It is not made – refusal in carrying out 3. It is not made – for decision making |
|
1.5 |
The basis for submission of the message (necessary to emphasize) * |
1. It is equal or exceeds the threshold amount 2. Suspicious transaction 3. No. 96 is excluded according to the Order of the Government of the Republic of Kazakhstan of 22.02.2016. 4. Coincidence to the list of the organizations and faces tied with financing of terrorism and extremism: 4.1. Suspension of account transactions according to bank accounts 4.2. Suspension of execution of instructions for payments and the translations without use of the bank account 4.3. Blocking of securities 4.4. Refusal in carrying out other transactions 4.5. It is excluded according to the Order of the Government of the Republic of Kazakhstan of 29.12.2018 No. 929 5. No. 96 is excluded according to the Order of the Government of the Republic of Kazakhstan of 22.02.2016 6. No. 96 is excluded according to the Order of the Government of the Republic of Kazakhstan of 22.02.2016 7. No. 96 is excluded according to the Order of the Government of the Republic of Kazakhstan of 22.02.2016 8. The transactions for obligatory studying recognized as suspicious subjects of financial monitoring with fixation of results of such studying. |
|
2 |
Information about the subject of financial monitoring who directed the FM-1 form | |
Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info
Database include more 50000 documents. You can find needed documents using search system. For effective work you can mix any on documents parameters: country, documents type, date range, teams or tags.
More about search system
If you cannot find the required document, or you do not know where to begin, go to Help section.
In this section, we’ve tried to describe in detail the features and capabilities of the system, as well as the most effective techniques for working with the database.
You also may open the section Frequently asked questions. This section provides answers to questions set by users.
The document ceased to be valid since November 15, 2020 according to Item 1 of the Order of the Government of the Republic of Kazakhstan of October 7, 2020 No. 643