RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of August 18, 2016 No. 373

About approval of the regulatory legal act of the National Bank of Ukraine concerning forming of files of information exchange

For the purpose of ensuring implementation of requirements 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", Regulations on implementation by banks of the financial monitoring approved by the resolution of Board of the National Bank of Ukraine of June 26, 2015 No. 417 (with changes), according to Articles 7, of 15, of 55, "About the National Bank of Ukraine" the Board of the National Bank of Ukraine decides 56 Laws of Ukraine:

1. Approve the Instruction for forming of files of information exchange between the central executive body realizing state policy in the sphere of 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 banks (branches) (further the Instruction) which is applied.

2. Recognize invalid:

1) the resolution of Board of the National Bank of Ukraine of June 04, 2003 No. 233 "About statement of Structure of details and structures of files of information exchange between specially authorized body of the executive authority concerning financial monitoring and banks (branches)", registered in the Ministry of Justice of Ukraine on June 9, 2003 for No. 457/7778;

2) the resolution of Board of the National Bank of Ukraine of May 25, 2011 No. 164 "About modification of Structure of details and structure of files of information exchange between specially authorized body of the executive authority concerning financial monitoring and banks (branches)", registered in the Ministry of Justice of Ukraine on June 16, 2011 for No. 706/19444.

3. To banks to bring the software of systems of automation into accord with requirements of this resolution within 60 days from the date of entry into force.

4. Banks create files messages about financial transactions / financial transactions which can be connected, concern or intend for financing of terrorist activities or members of whom are persons to whom the international sanctions according to requirements of Item 11 of the Instruction from the date of entry into force of this resolution are applied.

5. To department of financial monitoring (I.V. Birch) bring contents of this resolution to the attention of banks for use in work.

6. To impose control over the implementation of this resolution on the acting as the vice-chairman of the National Bank of Ukraine Rozhkova K. V.

7. The resolution becomes effective in 30 days from the date of, its official publication following behind day.

Approved by the Resolution of Board of the National Bank of Ukraine of August 18, 2016 No. 373

The instruction for forming of files of information exchange between the central executive body realizing state policy in the sphere of 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 banks (branches)

1. This Instruction determines structure of details and structure of files of information exchange between the central executive body realizing state policy in the sphere of 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 (further specially authorized body) and banks (branches).

Requirements of this Instruction extend to banks, branches of foreign banks and separate divisions of banks.

2. Information exchange in electronic form between banks/branches of foreign banks / separate divisions of banks and specially authorized body is performed by exchange of the corresponding files with use of the means of information protection developed by the National Bank of Ukraine (further - National Bank).

3. The bank/branch of foreign bank / separate division of bank creates files of information exchange according to the requirements stated in annex 1 to this Instruction.

4. The bank - the legal entity provides separate division of bank with own software for information security in case of its transfer from separate division of bank to Specially authorized body through bank the legal entity.

If the bank has no own means of information protection, then the bank can address to National Bank for the solution of this question.

5. One file message may contain several messages on financial transactions, but no more than 100 messages.

6. The bank/branch of foreign bank / separate division of bank creates the message on financial transaction which is provided to Specially authorized body taking into account Item 93 of the Section VII of the Regulations on implementation by banks of the financial monitoring approved by the resolution of Board of the National Bank of Ukraine of June 26, 2015 No. 417 (with changes), in place of registration of this transaction in the register of financial transactions and is signed by imposing of the digital signature (further - the EDS) the ranking officer of this bank / branch of foreign bank / separate division of bank or person who is temporarily fulfilling its duties.

If information from separate division of bank in Specially authorized body is transmitted through bank - the legal entity, then the file message who is created in bank - the legal entity and contains the message on financial transactions which arrived from separate divisions of bank for further transfer to Specially authorized body, is signed by the ranking officer of bank - the legal entity or person who is temporarily fulfilling its duties.

7. Rules of forming of names of files, types of files of information exchange and designation of formats of data are determined by Specially authorized body and approved by National Bank.

8. The bank/branch of foreign bank / separate division of bank performs imposing/verification of the EDS according to the procedure, given in appendix 2 to this Instruction.

9. The bank/branch of foreign bank performs forming of the file message about bank/branch of foreign bank according to the list of details and rules of their filling specified in appendix 3 to this Instruction.

10. The list of details of the file message about results of information processing about bank/branch of foreign bank and the rule of their filling are given in appendix 4 to this Instruction.

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