|
|
A – AML/CFT POLICIES AND COORDINATION |
| 1 |
- |
Assessing risks & applying a risk-based approach*
Interpretive Note to Recommendation 1
|
| 2 |
R.31 |
National cooperation and coordination |
|
|
B – MONEY LAUNDERING AND CONFISCATION |
| 3 |
R.1 & R.2 |
Money laundering offence*
Interpretive Note to Recommendation 3
|
| 4 |
R.3 |
Confiscation and provisional measures*
Interpretive Note to Recommendation 4
|
|
|
C – TERRORIST FINANCING AND FINANCING OF PROLIFERATION |
| 5 |
SRII |
Terrorist financing offence*
Interpretive Note to Recommendation 5
|
| 6 |
SRIII |
Targeted financial sanctions related to terrorism & terrorist financing*
Interpretive Note to Recommendation 6
|
| 7 |
|
Targeted financial sanctions related to proliferation*
Interpretive Note to Recommendation 7
|
| 8 |
SRVIII |
Non-profit organisations*
Interpretive Note to Recommendation 8
|
|
|
D – PREVENTIVE MEASURES |
| 9 |
R.4 |
Financial institution secrecy laws
|
|
|
Customer due diligence and record keeping |
| 10 |
R.5 |
Customer due diligence*
Interpretive Note to Recommendation 10
|
| 11 |
R.10 |
Record keeping
|
|
|
Additional measures for specific customers and activities |
| 12 |
R.6 |
Politically exposed persons*
Interpretive Note to Recommendation 12
|
| 13 |
R.7 |
Correspondent banking*
Interpretive Note to Recommendation 13
|
| 14 |
SRVI |
Money or value transfer services*
Interpretive Note to Recommendation 14
|
| 15 |
R.8 |
New technologies*
Interpretive Note to Recommendation 15
|
| 16 |
SRVII |
Wire transfers*
Interpretive Note to Recommendation 16
|
|
|
Reliance, Controls and Financial Groups |
| 17 |
R.9 |
Reliance on third parties*
Interpretive Note to Recommendation 17
|
| 18 |
R.15 & R.22 |
Higher-risk countries*
Interpretive Note to Recommendation 18
|
| 19 |
R.21 |
Internal controls and foreign branches and subsidiaries*
Interpretive Note to Recommendation 19
|
|
|
Reporting of suspicious transactions |
| 20 |
R.13 & SRIV |
Reporting of suspicious transactions*
Interpretive Note to Recommendation 20
|
| 21 |
R.14 |
Tipping-off and confidentiality |
|
|
Designated non-financial Businesses and Professions (DNFBPs) |
| 22 |
R.12 |
DNFBPs: Customer due diligence*
Interpretive Note to Recommendation 22
|
| 23 |
R.16 |
DNFBPs: Other measures*
Interpretive Note to Recommendation 23
|
|
|
E – TRANSPARENCY AND BENEFICIAL OWNERSHIP OF LEGAL PERSONS AND ARRANGEMENTS |
| 24 |
R.33 |
Transparency and beneficial ownership of legal persons*
Interpretive Note to Recommendation 24
|
| 25 |
R.34 |
Transparency and beneficial ownership of legal arrangements*
Interpretive Note to Recommendation 25
|
|
|
F – POWERS AND RESPONSIBILITIES OF COMPETENT AUTHORITIES AND OTHER INSTITUTIONAL MEASURES |
|
|
Regulation and Supervision |
| 26 |
R.23 |
Regulation and supervision of financial institutions*
Interpretive Note to Recommendation 26
|
| 27 |
R.29 |
Powers of supervisors |
| 28 |
R.24 |
Regulation and supervision of DNFBPs*
Interpretive Note to Recommendation 28 |
|
|
Operational and Law Enforcement |
| 29 |
R.26 |
Financial intelligence units*
Interpretive Note to Recommendation 29
|
| 30 |
R.27 |
Responsibilities of law enforcement and investigative authorities*
Interpretive Note to Recommendation 30
|
| 31 |
R.28 |
Powers of law enforcement and investigative authorities |
| 32 |
SRIX |
Cash couriers*
Interpretive Note to Recommendation 32
|
| | | General Requirements |
| 33 | R.32 | Statistics |
| 34 |
R.25 |
Guidance and feedback |
|
|
Sanctions |
| 35 |
R.17 |
Sanctions |
|
|
G – INTERNATIONAL COOPERATION |
| 36 |
R.35 & SRI |
International instruments |
| 37 |
R.36 & SRV |
Mutual legal assistance |
| 38 |
R.38 |
Mutual legal assistance: freezing and confiscation*
Interpretive Note to Recommendation 38
|
| 39 |
R.39 |
Extradition |
| 40 |
R.40 |
Other forms of international cooperation*
Interpretive Note to Recommendation 40
|
