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歐盟理事會《關于協調各成員國金融情報機構在交換情報方面合作的決定》(2000)

2010-06-10來源:

Council Decision of 17 October 2000 Concerning Arrangements for Cooperation between Financial Intelligence Units of the Member States in respect of Exchanging Information背景:歐盟理事會于2000年 10月 17日在盧森堡通過《關于協調各成員國金融情報機構在交換情報方面合作的決定》(2000/642/JHA)。隨著FIUs與成員國和FIUs多學科組織的調查部門之間的情報交換的提高,必須改善金融情報機構之間的情報交換機制來整合金融、法律執行和司法部門的知識。Impairment[im5pZEmEnt]損害[11]disproportionate[7disprE5pC:FEnit]明顯不符[12]A FIU may……national law.如情報的泄漏可導致被要求成員國正進行的刑事調查受到損害,或在特殊情況下,與相關的自然人、法人或成員國的合法權益明顯不符,或與國內法的基本原則不一致。

Council Decision of 17 October 2000 Concerning Arrangements for Cooperation between Financial Intelligence Units of the Member States in respect of Exchanging Information

背景:歐盟理事會于2000年10月17日在盧森堡通過《關于協調各成員國金融情報機構在交換情報方面合作的決定》(2000/642/JHA),并于同日生效。

1997年歐洲議會批準的打擊有組織犯罪的行動計劃,建議應當根據理事會《關于防止利用金融系統洗錢的指令》(91/308/EEC號),加強相關機構在接收可疑交易報告方面的合作。歐盟成員國已建立金融情報機構(FIUs),以建立可疑金融交易與潛在犯罪活動之間的聯系,進而預防和打擊洗錢。隨著FIUs與成員國和FIUs多學科組織的調查部門之間的情報交換的提高,必須改善金融情報機構之間的情報交換機制來整合金融、法律執行和司法部門的知識。成員國各相關部門間必須進行密切合作,并制定這些部門間直接交流的規定,以確保在合理的時間內傳遞情報和資料。目前這方面的協調安排主要根據FIUs的非正式世界網絡——“埃格蒙特集團”[1]提出的諒解備忘錄設立的原則來進行。

下為該決定的全文。

Article 1

1. Member States shall ensure that FIUs, set up or designated to receive disclosures of financial information for the purpose of combating money laundering shall cooperate to assemble, analyse and investigate relevant information within the FIU on any fact which might be an indication of money laundering in accordance with their national powers.

2. For the purposes of paragraph 1, Member States shall ensure that FIUs exchange, spontaneously[2] or on request and either in accordance with this Decision or in accordance with existing or future memoranda of understanding[3], any available information that may be relevant to the processing or analysis of information or to investigation by the FIU regarding financial transactions related to money laundering and the natural or legal persons involved.[4]

3. Where a Member State has designated a police authority as its FIU, it may supply information held by that FIU to be exchanged pursuant to[5] this Decision to an authority of the receiving Member State designated for that purpose and being competent in the areas mentioned in paragraph 1.[6]

Article 2

1. Member States shall ensure that, for the purposes of this Decision, FIUs shall be a single unit for each Member State and shall correspond to the following definition:"A central, national unit which, in order to combat money laundering, is responsible for receiving (and to the extent permitted, requesting), analysing and disseminating to the competent authorities, disclosures of financial information which concern suspected proceeds of crime or are required by national legislation or regulation[7]."

2. In the context of paragraph 1, a Member State may establish a central unit for the purpose of receiving or transmitting information to or from decentralised[8] agencies.

3. Member States shall indicate the unit which is an FIU within the meaning of this Article. They shall notify this information to the General Secretariat of the Council in writing. This notification does not affect the current relations concerning cooperation between the FIUs.

Article 3

Member States shall ensure that the performance of the functions of the FIUs under this Decision shall not be affected by their internal status, regardless of whether they are administrative, law enforcement or judicial authorities.

Article 4

1. Each request made under this Decision shall be accompanied by a brief statement of the relevant facts known to the requesting FIU. The FIU shall specify in the request how the information sought will be used.

2. When a request is made in accordance with this Decision, the requested FIU shall provide all relevant information, including available financial information and requested law enforcement data, sought in the request, without the need for a formal letter of request under applicable conventions or agreements between Member States.

3. An FIU may refuse to divulge[9] information which could lead to impairment[10] of a criminal investigation being conducted in the requested Member State or, in exceptional circumstances, where divulgation of the information would be clearly disproportionate[11] to the legitimate interests of a natural or legal person or the Member State concerned or would otherwise not be in accordance with fundamental principles of national law. [12]Any such refusal shall be appropriately explained to the FIU requesting the information.

Article 5

1. Information or documents obtained under this Decision are intended to be used for the purposes laid down in Article 1(1).

2. When transmitting information or documents pursuant to this Decision, the transmitting FIU may impose restrictions and conditions on the use of information for purposes other than those stipulated[13] in paragraph 1. The receiving FIU shall comply with any such restrictions and conditions.

3. Where a Member State wishes to use transmitted information or documents for criminal investigations or prosecutions for the purposes laid down in Article 1(1), the transmitting Member State may not refuse its consent to such use unless it does so on the basis of restrictions under its national law or conditions referred to in Article 4(3). Any refusal to grant consent shall be appropriately explained.

4. FIUs shall undertake all necessary measures, including security measures, to ensure that information submitted under this Decision is not accessible by any other authorities, agencies or departments.

5. The information submitted will be protected, in conformity with the Council of Europe Convention of 28 January 1981 for the Protection of Individuals with regard to Automatic Processing of Personal Data and taking account of Recommendation No R (87) 15 of 15 September 1987 of the Council of Europe Regulating the Use of Personal Data in the Police Sector, by at least the same rules of confidentiality and protection of personal data as those that apply under the national legislation applicable to the requesting FIU.

Article 6

1. FIUs may, within the limits of the applicable national law and without a request to that effect, exchange relevant information.

2. Article 5 shall apply in relation to information forwarded under this Article.

Article 7

Member States shall provide for, and agree on, appropriate and protected channels of communication between FIUs.

Article 8

This Decision shall be implemented without prejudice to the Member States' obligations towards Europol[14], as they have been laid down in the Europol Convention.

Article 9

1. To the extent that the level of cooperation between FIUs, as expressed in memoranda of understanding concluded or to be concluded between authorities of the Member States, is compatible with this Decision or goes further than the provisions thereof, it shall remain unaffected by this Decision.[15] Where the provisions of this Decision go further than the provisions of any memorandum of understanding concluded between the authorities of Member States, this Decision shall supersede[16] such memoranda of understanding two years after this Decision takes effect.

2. The Member States shall ensure that they are able to cooperate fully in accordance with the provisions of this Decision at the latest three years after this Decision takes effect.

3. The Council will assess Member States' compliance with this Decision within four years of the date on which it takes effect, and may decide to continue such assessments on a regular basis.

Article 10

This Decision shall apply to Gibraltar[17]. To this effect, notwithstanding[18] Article 2, the United Kingdom may notify to the General Secretariat of the Council an FIU in Gibraltar.

Article 11

This Decision shall take effect on 17 October 2000.

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[1] Egmont Group:FIU的非正式組織,成立于1995年,以第一次會議的地點——比利時布魯塞爾的Egmont-Arenberg Palace命名,目前已有94個國家的FIU參加了該組織。主要為FIU提供一個平臺來幫助并改進成員國的反洗錢工作,促進國際合作。

[2] spontaneously[spCn5teinjiEsli] 自動地

[3] memoranda of understanding:諒解備忘錄

[4] For the purpose……or legal person involved. 為第1款的目的,成員國應保證FIU能根據本決定或根據已有的或將來的諒解備忘錄,自發或應請求交換FIU進行的有關洗錢及所涉及的自然人或法人的金融交易方面的信息處理、分析或調查的任何可得信息。

[5] pursuant to 按照

[6] Where a Member State……in paragraph 1. 成員國指定一警察部門作為其FIU,可根據本決定向接受國指定的具有該目的、并在條款1提及的領域具有相應職權的部門提供其FIU持有的情報以交換。

[7] A central, national unit which,…, required by national legislation or regulation:為打擊洗錢,負責接收(在允許程度上可進行請求)、分析和向權力當局傳遞有關犯罪可疑收益或被國家立法或規定要求的金融信息的披露情況的一個中央國家機構

[8] decentralize [9di:`sentrElaIz] 分散

[9] divulge [dai5vQldV] 批露

[10] impairment[im5pZEmEnt] 損害

[11] disproportionate[7disprE5pC:FEnit] 明顯不符

[12] A FIU may……national law. 如情報的泄漏可導致被要求成員國正進行的刑事調查受到損害,或在特殊情況下,與相關的自然人、法人或成員國的合法權益明顯不符,或與國內法的基本原則不一致,一國FIU可拒絕披露該情報。

[13] stipulate[5stipjuleit] 規定

[14] Europol [5juErEpC:] European Police Office,歐洲刑警組織

[15] To the extent……by this decision. 成員國當局已達成或將要達成的諒解備忘錄中所闡明的FIU之間的合作程度若與本決定一致或超過本決定的條款規定,則不應受本決定影響。

[16] supersede [7sju:pE5si:d] 代替,取代

[17] Gibraltar [dVi5brC:ltE] 直不羅陀地區

[18] notwithstanding [7nCtwiW5stAndiN] 盡管

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