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Ministry of Justice

Republic of Uzbekistan

On November 21, 2013 No. 2528

THE RESOLUTION OF BOARD OF CENTRAL BANK OF THE REPUBLIC OF UZBEKISTAN, 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 2, 2013 No. No. 328-B, 20

About approval of Rules of internal control on counteraction of legalization of income gained from criminal activities and financing of terrorism in commercial banks

According to the laws of the Republic of Uzbekistan "About the Central bank of the Republic of Uzbekistan" (Sheets of Oliy Majlis of the Republic of Uzbekistan, 1995, No. 12, the Art. 247), "About banks and banking activity" (Sheets of Oliy Majlis of the Republic of Uzbekistan, 1996, Art. No. 5-6, 54) and "About counteraction of legalization of income gained from criminal activities and to terrorism financing" (2004, No. 43, the Art. 451) the Board of the Central bank of the Republic of Uzbekistan 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 collection of the legislation of the Republic of Uzbekistan:

1. Approve Rules of internal control on counteraction of legalization of income gained from criminal activities, and to financing of terrorism in commercial banks it agrees, to appendix.

2. Recognize invalid:

the resolution of Board of the Central bank of the Republic of Uzbekistan 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 from December 29, 2009 No. No. 39/3 and 3 "About modification and amendments in Rules of internal control on counteraction of legalization of income gained from criminal activities and financing of terrorism in commercial banks" (reg. No. 2023-1 of February 2, 2010) (Collection of the legislation of the Republic of Uzbekistan, 2010, No. 5, the Art. 42);

the resolution of Board of the Central bank of the Republic of Uzbekistan 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 from October 23, 2010 No. 34/17 and of November 2, 2010 No. 29 "About modification and amendments in Rules of internal control on counteraction of legalization of income gained from criminal activities and financing of terrorism in commercial banks" (reg. No. 2023-2 of November 19, 2010) (Collection of the legislation of the Republic of Uzbekistan, 2010, No. 47, the Art. 433).

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

Chairman of the Central bank

F.Mullazhanov

The acting head of the department of fight against tax, currency offenses and legalization of the criminal income under the Prosecutor General's Office

B. Zilyaev

 

Appendix

to the Resolution of Board of the Central bank, Department on fight against tax, currency offenses and legalization of the criminal income under the Prosecutor General's Office of the Republic of Uzbekistan from October 2, 2013 No. No. 328-B, 20

Rules of internal control on counteraction of legalization of income gained from criminal activities and financing of terrorism in commercial banks These Rules according to the laws of the Republic of Uzbekistan "About the Central bank of the Republic of Uzbekistan" (Sheets of Oliy Majlis of the Republic of Uzbekistan, 1995, No. 12, the Art. 247), "About banks and banking activity" (Sheets of Oliy Majlis of the Republic of Uzbekistan, 1996, Art. No. 5-6, 54), "About bank secrecy" (Sheets of Oliy Majlis of the Republic of Uzbekistan, 2003, Art. No. 9-10, 144) and "About counteraction of legalization of income gained from criminal activities and to terrorism financing" (Collection of the legislation of the Republic of Uzbekistan, 2004, No. 43, Art. 451) determine procedure for the organization and implementation of internal control in commercial banks for the purpose of counteraction of legalization of income gained from criminal activities and to terrorism financing.

Chapter I. General provisions

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

commercial bank - the bank which is resident of the Republic of Uzbekistan and having the license for implementation of the related activity;

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

Service of internal control - the special division of commercial bank responsible for implementation of internal control;

the responsible - person responsible for implementation of internal control in branch of commercial bank;

staff of Service of internal control is the staff of Service of internal control of head office of commercial bank, the responsible or the head and the staff of Service of internal control of branch of commercial bank responsible for implementation of internal control;

internal control system of commercial bank - set of actions of Service of internal control, including interaction with other divisions of commercial bank, directed to goal achievement and accomplishment of the tasks determined by these rules and internal documents;

internal documents - the documents regulating activities of commercial bank and approved by its management according to the legislation;

internal regulations - the internal document regulating procedure for the organization and implementation of internal control in commercial bank and its branches;

specially authorized state body - Department on fight against tax, currency offenses and legalization of criminal income under the Prosecutor General's Office of the Republic of Uzbekistan on behalf of Management on counteraction of legalization of the income gained from criminal activities and terrorism financing (further - Department);

the client - the physical person or legal entity which addressed to commercial bank with the order (the statement, the petition) for implementation of transaction with money or other property (further - transactions);

the real owner of the client - the owner or person controlling the client - the legal entity, i.e. one or several persons who have the property rights or control concerning the client and (or) other legal entity in whose interests transaction is made;

participants of transaction are clients, their representatives, and also the client's partners participating in transaction;

doubtful transaction - transaction concerning which in case of implementation of these rules the commercial bank had doubt about its implementation for the purpose of legalization of income gained from criminal activities, and (or) terrorism financing before decision making about inclusion its (non-inclusion) in category of suspicious transactions;

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