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The document ceased to be valid since  April 14, 2015 according to Item 2 of the Order of the Ministry of Finance of Ukraine of  March 10, 2015 No. 306

It is registered

in the Ministry of Justice of Ukraine

April 8, 2013.

No. 572/23104

ORDER OF THE MINISTRY OF FINANCE OF UKRAINE

of March 18, 2013 No. 397

About approval of the Principles of study of information on the transactions which are subject to financial monitoring obtained from subjects of primary financial monitoring and criteria of the analysis of such transactions

According to paragraph two of Item of 1 part one of article 18 of the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way or to terrorism financing" and for the purpose of establishment of the principles of study of information on the transactions which are subject to financial monitoring obtained from subjects of primary financial monitoring and criteria of the analysis of such transactions of PRIKAZYVAYU:

1. Approve the Principles of study of information on the transactions which are subject to financial monitoring obtained from subjects of primary financial monitoring and criteria of the analysis of such transactions which are applied.

2. (Chmeruk M. O.) together with Department of financial investigations of Public service of financial monitoring of Ukraine (Hilyuk V. P.) in accordance with the established procedure to provide to department of tax, customs policy and methodology of financial accounting of the Ministry of Finance of Ukraine:

provision of this order on state registration in the Ministry of Justice of Ukraine;

promulgation of this order.

3. This order becomes effective from the date of its official publication.

4. To impose control over the implementation of this order on the First Deputy Minister of Finance of Ukraine Myarkovsky A. I. and vice-chairman of Public service of financial monitoring of Ukraine Zubriya V.P.

 

Minister Yu. Kolobov

Approved by the Order of the Ministry of Finance of Ukraine of March 18, 2013 No. 397

The principles of study of information on the transactions which are subject to financial monitoring obtained from subjects of primary financial monitoring and criteria of the analysis of such transactions

1. This the Principles and criteria are held for use during the analysis received from subjects of primary financial monitoring (further - SPFM) messages on financial transactions which can be connected with legalization (washing) of income gained in the criminal way, or terrorism financing.

2. Study of information on the financial transactions which are subject to financial monitoring obtained from SPFM is based on such basic principles:

2.1. Completeness of study of information;

2.2. Sequences of study of information;

2.3. Storage and information security;

2.4. Control of study of information;

2.5. Timeliness and objectivity of study of information;

2.6. Independence and non-interference to activities of SPFM of employees of Public service of financial monitoring of Ukraine in case of study of information by them;

2.7. Categorizations of processing of messages on financial transactions taking into account riskoriyentirovochny approach;

2.8. Comprehensive use of information from other stipulated by the legislation sources during study of information.

3. During study of information on the transactions which are subject to financial monitoring obtained from SPFM, such criteria are subject to the analysis:

3.1. Economic sense and purpose of financial transaction;

3.2. Asset type or form of calculation which is used when carrying out financial transaction, and the amount of financial transaction;

3.3. Compliance of financial transaction to nature and content of activities of the participant of transaction;

3.4. The location, the residence or residence of persons performing operation or beneficiaries, their sphere and the period of activities;

3.5. The subject of the agreement between participants of transaction, and also financial instruments which are used during transaction.

4. During study of information on the transactions which are subject to financial monitoring obtained from SPFM are considered:

4.1. The additional information from SPFM about suspicion of legalization (washing) of income gained in the criminal way, either terrorism financing, or making of the act determined by the Criminal code of Ukraine which is not concerning legalization (washing) of income gained in the criminal way or terrorism financing;

4.2. The sequence and communication of financial transactions which in essence can demonstrate legalization (washing) of income gained in the criminal way, either terrorism financing, or making of the act determined by the Criminal code of Ukraine which is not concerning legalization (washing) of income gained in the criminal way or terrorism financing;

4.3. Availability of the data testimonial of participation of participants of financial transaction in legalization (washing) of income gained in the criminal way, or to terrorism financing, making of socially dangerous acts preceding legalization (washing) of income gained in the criminal way and also concerning application of the international sanctions against participants of financial transaction.

 

Director of the department of tax, customs policy and methodology of financial accounting M. O. Chmeruk

 

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