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The document ceased to be valid since November 15, 2020 according to Item 2 of the Order of the Minister of Finance of the Republic of Kazakhstan of October 13, 2020 No. 1000

ORDER OF THE MINISTER OF FINANCE OF THE REPUBLIC OF KAZAKHSTAN

of November 28, 2014 No. 533

About approval of requirements to subjects of financial monitoring on preparation and training of workers

According to Item 8 of article 11 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" PRIKAZYVAYU:

1. Approve the enclosed Requirements to subjects of financial monitoring on preparation and training of workers.

2. (Tadzhiyakov B. Sh.) in the procedure established by the legislation to provide to committee on financial monitoring of the Ministry of Finance of the Republic of Kazakhstan:

1) state registration of this order in the Ministry of Justice of the Republic of Kazakhstan;

2) within ten calendar days after state registration of this order its direction on official publication in periodic printing editions and in information system of law of Ad_let;

3) placement of this order on Internet resource of the Ministry of Finance of the Republic of Kazakhstan.

3. This order becomes effective since December 15, 2014 and is subject to official publication.

Minister of Finance of the Republic of Kazakhstan

B. Sultanov

Approved by the Order of the Minister of Finance of the Republic of Kazakhstan of November 28, 2014 No. 533

Requirements to subjects of financial monitoring on preparation and training of workers

1. General provisions

1. These Requirements to subjects of financial monitoring on preparation and training of workers (further - Requirements) are developed according to 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 on POD/FT) and establish requirements to preparation and training of workers of subjects of financial monitoring.

2. The purpose of preparation and training is receipt of financial monitoring of knowledge by workers of subjects in the sphere of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing (further - POD/FT), necessary it for compliance with law of the Republic of Kazakhstan about counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing.

3. The head of the subject of financial monitoring approves the list of workers who shall have obligatory training and training for the purpose of POD/FT.

2. Program of preparation and training of workers of subjects of financial monitoring

4. The program of preparation and training in the field of POD/FT shall contain:

1) studying of regulatory legal acts of the Republic of Kazakhstan in the field of POD/FT and international standards in the sphere of POD/FT;

2) studying of Rules of internal control and programs of their implementation in case of execution by workers of subjects of financial monitoring of the service duties, and also the measure of responsibility for non-execution of requirements of the legislation of the Republic of Kazakhstan on POD/FT established by the laws of the Republic of Kazakhstan;

3) studying of tipologiya, schemes and methods of legalization (washing) of income gained in the criminal way and to terrorism financing, and also signs of determination of suspicious transactions.

5. Preparation and training is performed in the form of rates:

1) introduction (receipt of financial monitoring of basic knowledge by workers of the subject about the international and national POD/FT system, the regulatory legal acts of the Republic of Kazakhstan and other internal documents accepted for the purpose of POD/FT);

2) the main (receipt of financial monitoring of knowledge by workers of the subject necessary for observance of the legislation on POD/FT by them, enhancement and maintenance of efficiency of internal control systems of the subject of financial monitoring, programs of their implementation and other internal documents accepted for this purpose at the level sufficient for risk management of laundering of income gained in the criminal way and to terrorism financing);

3) increase in level of knowledge (updating and systematization at workers of subjects of financial monitoring of knowledge in the sphere of POD/FT, studying of International standards of Group of development of financial measures of anti-money laundering (FATF), acquaintance with modern national and international methods of fight against laundering of income gained in the criminal way, and terrorism financing).

6. Workers of subjects of financial monitoring take introduction course in case of employment and when translating (temporary transfer) of the worker in the organization to the positions connected with execution by them of the legislation on POD/FT.

As the auxiliary training materials when passing by workers of subjects of financial monitoring of training in the form of introduction course it is recommended to use possibilities of subsystem "Training and development" of Single information analytical system of Committee on financial monitoring of the Ministry of Finance of the Republic of Kazakhstan.

7. In the form of basic course workers of the subject of financial monitoring are trained once, prior to implementation of the functions connected with observance by them of the legislation on POD/FT.

8. Training in the form of introduction and main rates is performed according to the training program of workers of subjects of financial monitoring in the sphere of POD/FT developed by the organization of education performing preparation and personnel training taking into account features of activities of students and these Requirements in coordination with authorized bodies in the sphere of POD/FT and education.

9. Increase in level of knowledge is performed in the form of participation of workers of subjects of financial monitoring in seminars, trainings and other training events held by the organizations of education for the program according to Item 8 of these Requirements.

3. Accounting and control of passing by workers of subjects of financial monitoring of preparation and training

10. Passing by workers of subjects of financial monitoring of training in form of introduction, main rates and increase in level of knowledge shall be confirmed by the document issued by the organization of education which provides such training.

11. State bodies of the Republic of Kazakhstan, exercise according to the competence control of execution by subjects of financial monitoring of the legislation on POD/FT on the organization and execution of internal control, regarding execution of requirements for preparation and training of employees of subjects of financial monitoring concerning POD/FT.

 

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