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Ministry of Justice of Ukraine

January 16, 2016

No. 80/28210

ORDER OF THE MINISTRY OF FINANCE OF UKRAINE

of December 23, 2015 No. 1168

About approval of the Procedure for provision of information on tracking (monitoring) of financial transactions

For the purpose of ensuring implementation of requirements of Item 11 parts two of Article 6, of Item 10 parts two of Article 18 and part three of article 23 of the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction" and for the purpose of enhancement of the procedure of provision by the subject of primary financial monitoring on request of Public service of financial monitoring of Ukraine of information on tracking (monitoring) of financial transactions of the client which transactions became object of financial monitoring order:

1. Approve the Procedure for provision of information on tracking (monitoring) of financial transactions which is applied.

2. Declare invalid the order of the Ministry of Finance of Ukraine of April 2, 2012 No. 423 "About approval of the Procedure for provision of information on tracking (monitoring) of financial transactions", registered in the Ministry of Justice of Ukraine on April 23, 2012 on No. 601/20914.

3. To department of tax, customs policy and methodology of financial accounting of the Ministry of Finance of Ukraine (Chmeruk N. A.) 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:

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

promulgation of this order.

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

5. To impose control over the implementation of this order on the Deputy Minister of Finance of Ukraine Makeeva A. L. and vice-chairman of Public service of financial monitoring of Ukraine Zubriya V.P.

Minister

N. Yaresko

 

Approved by the Order of the Ministry of Finance of Ukraine of December 23, 2015, No. 1168

Procedure for provision of information on tracking (monitoring) of financial transactions

I. General provisions

1. This Procedure determines the procedure of provision by the subject of primary financial monitoring (further - the subject) at the request of Public service of financial monitoring of Ukraine (further - Gosfinmonitoring) information on tracking (monitoring) of financial transactions of the client which transactions became object of financial monitoring, and also form, content and method of sending request of provision of information on tracking (monitoring) of financial transactions and receipt of information on such request.

2. In this Procedure terms are used in the following values:

request about provision of information on tracking (monitoring) of financial transactions (except the financial transactions connected with salary payment, payment of the nation-wide and local taxes and charges) - the documentary appeal of Gosfinmonitoring which is sent to the subject for the purpose of receipt of information on tracking (monitoring) of financial transactions (further - the Request);

the performed financial transactions (except the financial transactions connected with salary payment, payment of the nation-wide and local taxes and charges) - the financial operations (attempt of carrying out financial transactions) performed for the period, preceding the date of receipt by the subject of request;

information on tracking (monitoring) of financial transactions (except the financial transactions connected with salary payment, payment of the nation-wide and local taxes and charges) - information on financial transactions of the client found by the subject on demand;

the objective reasons - circumstances which do not give the chance to subjects to provide adherence to deadlines, the income established by the Law of Ukraine "About prevention and counteraction of legalization (washing) gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction" (further - the Law) for submission of information on Gosfinmonitoring request, namely: considerable amount of information which is requested, need of copying or scanning of large number of documents, data acquisition from archives, submission of information in paper form and so forth;

signs on which tracking (monitoring) of financial transactions is performed, - signs which determine common features of the financial transactions which are subject to financial monitoring, and connected with means, property, the property and non-property rights which tracking the subject shall perform;

financial transactions which will be performed (except the financial transactions connected with salary payment, payment of the nation-wide and local taxes and charges) - the financial operations (attempt of carrying out financial transactions) performed for the period, specified in request which cannot exceed thirty calendar days from the date of receipt of request by the subject.

Other terms are used in the values given in the Law.

II. Tracking (monitoring) of financial transactions

1. State financial monitoring sends to the subject Zapros if object of financial monitoring is:

financial transaction or set of the financial transactions connected among themselves which can be connected with legalization (washing) of income gained in the criminal way, either financing of terrorism or financing of distribution of weapons of mass destruction;

the financial transaction(s) or client connected with making of socially dangerous act determined by the Criminal code of Ukraine as crime does not concern legalization (washing) of income gained in the criminal way, either financing of terrorism or financing of distribution of weapons of mass destruction;

information on actions with the assets connected with the corresponding participants of financial transactions which carry out them on condition of availability of risks of such assets for the purpose of legalization (washing) of income gained in the criminal way or financing of terrorism or financing of distribution of weapons of mass destruction, and also any information on such actions or events, assets and their participants including specified in request of authorized body of foreign state according to part three of article 23 of the Law.

2. In request the client whose financial transactions are subject to tracking (monitoring), the period for which information shall be provided is specified, and the sign on which the subject needs to provide information on financial transactions can be specified.

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