Regulation 203
FEDERAL SERVICE FOR FINANCIAL MONITORING
ORDER
ON THE APPROVAL OF THE REGULATION
In accordance with the Federal Law of August 7, 2001 N 115-FZ "On counteracting the legalization (laundering) of proceeds from crime and the financing of terrorism" (Collected Legislation Russian Federation, 2001, N 33 (part I), Art. 3418; 2002, No. 30, Art. 3029; No. 44, Art. 4296; 2004, N 31, Art. 3224; 2005, N 47, art. 4828; 2006, N 31 (part I), Art. 3446, Art. 3452; 2007, N 16, art. 1831; N 31, art. 3993, art. 4011; No. 49, Art. 6036; 2009, N 23, art. 2776; No. 29, art. 3600) and paragraph 3 of the Decree of the Government of the Russian Federation of December 5, 2005 N 715 "On qualification requirements to special officials responsible for compliance with the rules internal control and programs for its implementation, as well as requirements for the training and education of personnel, identification of clients, beneficiaries in order to counteract the legalization (laundering) of proceeds from crime and the financing of terrorism "(Sobraniye Zakonodatelstva Rossiyskoy Federatsii, 2005, N 50, art. 5302; 2008, N 12, item 1140) I order:
1. Approve, in agreement with the Federal Service for Financial Markets (V.D. Milovidov), the attached Regulations on the requirements for the training and education of personnel of organizations engaged in operations with in cash or other property, in order to counteract the legalization (laundering) of proceeds from crime and the financing of terrorism.
2. Recognize as invalid the Order Federal Service By financial monitoring dated November 1, 2008 N 256 "On approval of the Regulations on the requirements for the training and education of personnel of organizations engaged in transactions with money or other property in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism" (registered in Ministry of Justice of the Russian Federation on January 30, 2009, registration N 13222).
Supervisor
Yu.A.CHIKHANCHIN
Approved
Order of the Federal Service
on financial monitoring
dated 03.08.2010 N 203
POSITION
ON TRAINING AND TRAINING REQUIREMENTS
STAFF OF ORGANIZATIONS CARRYING OUT OPERATIONS WITH CASH
FUNDS OR OTHER PROPERTY FOR THE PURPOSES OF RESPONDING
LEGALIZATION (LAUNDERING) OF INCOME OBTAINED BY CRIMINAL
WAY AND FINANCING OF TERRORISM
(as amended by the Order of Rosfinmonitoring dated 01.11.2010 N 293)
I. General provisions
1. This Regulation establishes the requirements for the training and education of personnel of organizations engaged in transactions with money or other property in order to counteract the legalization (laundering) of proceeds from crime and the financing of terrorism specified in Article 5 federal law dated August 7, 2001 N 115-FZ "On counteracting the legalization (laundering) of proceeds from crime and the financing of terrorism".
Training and education of personnel of professional participants in the securities market that are credit institutions is carried out in accordance with the requirements established by the Bank of Russia in agreement with the Federal Financial Monitoring Service, and taking into account the specifics established by paragraphs 5, 9, 10, 11, 12, 13 of this Regulation.
This Regulation does not apply to credit institutions that are not professional participants in the securities market.
2. The head of the organization approves the list of employees who must undergo compulsory training and training in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism (hereinafter referred to as training).
3. In the list provided for in paragraph 2 of these Regulations, an organization (with the exception of an organization carrying out professional activity in the securities market and (or) activities for the management of investment funds and non-state pension funds (hereinafter referred to as activities in the financial market)) include the following employees:
a) the head of the organization;
b) the head of the branch of the organization;
c) deputy head of an organization (branch), in accordance with his official duties, in charge of organizing and exercising internal control in order to counteract the legalization (laundering) of proceeds from crime and the financing of terrorism;
d) a special official of an organization (branch) responsible for compliance with internal control rules in order to combat the legalization (laundering) of proceeds from crime and the financing of terrorism and programs for its implementation (hereinafter referred to as a special official);
e) Chief Accountant(accountant) of an organization (branch), if there is a position in the staff of an organization or branch, or an employee performing accounting functions;
f) leader legal division organization (branch) or a lawyer of the organization (if any);
g) employees of the internal control service of the organization (branch), if any;
h) other employees of the organization (branch) at the discretion of the head of the organization and taking into account the specifics of the activities of the organization (branch) and its clients.
4. In an organization operating in the financial market (with the exception of professional participants in the securities market that are credit institutions), the list provided for in paragraph 2 of this Regulation includes the following employees:
a) the head of the organization;
b) head of a branch of an organization operating in the financial market (hereinafter referred to as a branch);
c) deputy head of an organization (branch), in accordance with his official duties, managing a structural subdivision of an organization (branch) that operates in the financial market;
d) head and deputy head structural unit organization (branch) that operates in the financial market;
e) controller;
f) employees of the organization (branch) who, in accordance with their official duties, perform at least one of the following functions:
signing outgoing documents of an organization (branch) relating to the implementation of operations related to the management of investment reserves of a joint-stock investment fund, property constituting a mutual investment fund, pension reserves of a non-state pension fund, or property in which pension savings or savings for housing provision of military personnel are invested ;
signing outgoing documents of organizations (branch) relating to the implementation of operations related to the management of securities belonging to a joint-stock investment fund, securities as part of the property constituting a mutual investment fund, or securities in which pension reserves of a non-state pension fund are placed or funds are invested pension savings or savings for housing for military personnel;
signing outgoing documents of the organization (branch) relating to the implementation of operations related to the management of mortgage coverage;
carrying out operations related to the transfer of ownership of securities on personal accounts of registered persons;
signing of documents confirming the ownership right of registered persons to securities, and documents on transactions performed;
g) a special official of the organization (branch);
h) other employees of the organization (branch) at the discretion of the head of the organization, taking into account the specifics of the activities of the organization (branch) and its clients.
5. In an organization carrying out professional activities in the securities market, which is credit institution, the list of persons to be trained includes the following employees:
a) the head and deputy head of the structural unit that operates in the financial market;
b) controller;
c) employees of a structural unit who, in accordance with their official duties, perform at least one of the following functions:
transactions with securities: on behalf of the organization and at the expense of the organization; on behalf of clients and at the expense of clients; on behalf of the organization and at the expense of clients;
making transactions and (or) operations with cash and (or) securities in the interests of the founder of the management;
maintaining internal records of transactions with securities;
carrying out transactions related to the transfer of ownership of securities on customer depo accounts;
signing documents confirming the client's ownership of securities, and documents on transactions;
d) a special official;
e) other employees of the structural unit that operates in the financial market, at the discretion of the head of this structural unit.
II. Forms, frequency and terms of training
6. Training is carried out in the following forms:
a) introductory briefing;
b) additional briefing;
c) targeted briefing (obtaining by employees of organizations of the basic knowledge necessary for them to comply with the legislation of the Russian Federation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, as well as the formation and improvement of the internal control system of organizations, programs for its implementation and other organizational - administrative documents adopted for these purposes);
d) raising the level of knowledge in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism (hereinafter referred to as raising the level of knowledge).
7. Introductory briefing in the organization is carried out by a special official when hiring for positions or to perform the functions specified (specified) in paragraphs 3, 4 of this Regulation, and when transferring (temporary transfer) to positions or to perform the functions specified (specified ) in paragraphs 3, 4 of these Regulations.
8. Additional briefing is carried out by a special official at least once a year or in the following cases:
in case of changes in existing and entry into force of new regulatory legal acts of the Russian Federation in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism;
when the organization approves new or changes in existing internal control rules in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism and programs for its implementation;
when transferring an employee of the organization to another permanent job (temporary job) within the organization in the event that his knowledge in the field of countering the legalization (laundering) of proceeds from crime and the financing of terrorism is not enough to comply with the legislation of the Russian Federation on countering the legalization (laundering ) proceeds of crime and financing of terrorism;
when entrusting an employee of the organization with work performed by employees of the organization specified in paragraphs 3, 4 of this Regulation, but not due to the contract concluded with him employment contract when the performance of such work does not entail a change in the terms of the employment contract concluded with the employee.
9. Introductory and additional briefings are carried out in accordance with the training and education program for employees of the organization in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism, developed by the organization taking into account these Regulations.
Introductory and additional briefing for the employees of organizations engaged in professional activities in the securities market that are credit institutions listed in paragraph 5 of this Regulation is carried out in accordance with the requirements for training and education of personnel established by the Bank of Russia in agreement with the Federal Financial Monitoring Service.
10. Training in the form of targeted briefing a person planning to perform the functions of a special official, passes once before the start of the implementation of such functions.
One-time training in the form of targeted briefing must also pass:
a) from among the employees specified in clause 3 of this Regulation: the head of the organization (branch), the chief accountant (accountant) of the organization (branch) (if there is a position in the organization’s staff) or an employee who performs accounting functions in the organization, the head of the legal departments or a lawyer of the organization (if there is a position in the staff of the organization);
b) employees specified in subparagraphs "a" - "e" of paragraph 4 of these Regulations;
c) employees specified in subparagraphs "a" - "c" of paragraph 5 of these Regulations.
The persons specified in subparagraphs "a", "b" and "c" of this paragraph, appointed to the relevant positions after the entry into force of this Regulation, must undergo a one-time training in the form of targeted briefing within a year from the date of the assignment of the relevant official duties.
Persons holding the positions specified in subparagraphs "a", "b" and "c" of this paragraph at the time of entry into force of this Regulation must undergo a one-time training in the form of targeted briefing within a year from the date of entry into force of this Regulation.
Persons who, by the time these Regulations come into force, have undergone training in the form of targeted briefing in accordance with the Order of the Federal Financial Monitoring Service of November 1, 2008 N 256 "On Approval of the Regulations on the Requirements for the Training and Education of Personnel of Organizations Engaged in Operations with Cash or other property, in order to counteract the legalization (laundering) of proceeds from crime and the financing of terrorism", repeated passage of the target briefing is not required.
11. For employees of organizations operating in the financial market, targeted briefing is carried out by organizations accredited by the Federal Financial Markets Service for attestation of financial market specialists.
For employees of organizations engaged in professional activities in the securities market that are credit institutions listed in subparagraphs "a" - "d" of paragraph 5 of these Regulations, targeted briefing in accordance with this Regulation may be carried out by other organizations that train and educate personnel in in accordance with the requirements for training and education of personnel established by the Bank of Russia in agreement with the Federal Financial Monitoring Service, subject to the inclusion in the training program of issues related to the specifics of combating the legalization (laundering) of proceeds from crime and the financing of terrorism in the financial market, determined by the Federal Financial Markets Service.
For employees of other organizations, targeted briefing is carried out by organizations established by the Federal Financial Monitoring Service and other organizations under programs established by the Federal Financial Monitoring Service.
The passage of targeted briefing by the relevant official of the organization must be confirmed by a document issued by the organization conducting the targeted briefing.
12. Increasing the level of knowledge is carried out in the form of participation in conferences, seminars and other training events.
Increasing the level of knowledge of employees of organizations takes place, respectively, in those organizations in which, in accordance with paragraph 11 of this Regulation, targeted briefing is provided for, according to training programs developed by such organizations independently.
Raising the level of knowledge at least once every three years is held by a special official of the organization (branch) (with the exception of organizations operating in the financial market), as well as employees of organizations indicated in subparagraphs "a", "b" and "c" of paragraph 10 of this Regulation, at least once a year - a special official of an organization operating in the financial market (its branch), including a special official of a professional participant in the securities market that is a credit institution.
(as amended by the Order of Rosfinmonitoring dated 01.11.2010 N 293)
The passage by the relevant official of the organization of increasing the level of knowledge must be confirmed by a document issued by the organization conducting such training, or by a document confirming the participation of the relevant official in the training event.
13. Other employees of the organization (branch), in addition to those named in subparagraphs "a" - "c" of paragraph 10 of these Regulations and a special official included in the list provided for in paragraph 2 of these Regulations, as well as other employees of the structural unit of the organization engaged in professional activities in the securities market, which is a credit institution (subparagraph "e" of paragraph 5 of these Regulations), they undergo targeted instruction and increase the level of knowledge at the discretion of the head of the organization in the manner prescribed by paragraphs 11 and 12 of these Regulations.
III. Employee training and education program
organizations in the field of counteraction to legalization (laundering)
proceeds from crime,
and financing of terrorism
14. The organization develops a training and education program for employees of the organization in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism (hereinafter referred to as the Training Program), taking into account the requirements of the legislation of the Russian Federation on countering the legalization (laundering) of proceeds from crime, and financing of terrorism, as well as the characteristics of the activities of the organization and its clients.
15. The purpose of the training is to provide employees of the organization with knowledge in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism, necessary for them to comply with the legislation of the Russian Federation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, and also the rules of internal control of the organization, programs for its implementation and other organizational and administrative documents of the organization adopted for the purpose of organizing internal control.
16. The training program should include:
a) studying the regulatory legal acts of the Russian Federation in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism;
b) study of the rules and programs for the implementation of internal control in the organization in the performance of official duties by an employee, as well as the measures of responsibility that can be applied to an employee of the organization for failure to comply with the requirements of regulatory legal acts of the Russian Federation in the field of combating the legalization (laundering) of proceeds from crime, and financing of terrorism and other organizational and administrative documents of the organization adopted for the purpose of organizing and exercising internal control;
c) study of typologies, typical schemes and methods of money laundering and terrorist financing, as well as criteria for identifying and signs of unusual transactions.
IV. Accounting for the passage of training by employees of the organization
17. The organization maintains a record of the training received by its employees.
18. The procedure for accounting for the passage of training by employees of the organization is established by the head of the organization.
19. The fact of briefing an employee of the organization (with the exception of targeted briefing) and familiarization with the regulatory legal and other acts of the Russian Federation in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism and internal documents of the organization adopted for the purpose of organizing internal control, must be confirmed by his own signature in a document, the form and content of which the organization establishes independently.
Documents confirming that an employee of an organization has completed training shall be attached to the employee's personal file.
The Association assists in the provision of services in the sale of timber: favorable prices on an ongoing basis. Timber products of excellent quality.
ORDER
dated August 3, 2010 N 203
ON THE APPROVAL OF THE REGULATION
ON TRAINING AND TRAINING REQUIREMENTS
STAFF OF ORGANIZATIONS CARRYING OUT OPERATIONS WITH CASH
FUNDS OR OTHER PROPERTY FOR THE PURPOSES OF RESPONDING
LEGALIZATION (LAUNDERING) OF INCOME OBTAINED BY CRIMINAL
WAY AND FINANCING OF TERRORISM
(as amended by the Order of Rosfinmonitoring dated 01.11.2010 N 293)
In accordance with the Federal Law of August 7, 2001 N 115-FZ "On counteracting the legalization (laundering) of proceeds from crime and the financing of terrorism" (Sobranie Zakonodatelstva Rossiyskoy Federatsii, 2001, N 33 (part I), art. 3418; 2002, N 30, item 3029; N 44, item 4296; 2004, N 31, item 3224; 2005, N 47, item 4828; 2006, N 31 (part I), item 3446, 3452; 2007, N 16, item 1831; N 31, item 3993, item 4011; N 49, item 6036; 2009, N 23, item 2776; N 29, item 3600) and point 3 Decree of the Government of the Russian Federation of December 5, 2005 N 715 "On qualification requirements for special officials responsible for compliance with internal control rules and programs for its implementation, as well as requirements for training and education of personnel, identification of customers, beneficiaries in order to counter legalization ( laundering) proceeds from crime and the financing of terrorism" (Sobraniye zakonodatelstva Rossiyskoy Federatsii, 2005, N 50, art. 5302; 2008, N 12, art. 1140)
1. Approve, in agreement with the Federal Financial Markets Service (V.D. Milovidov), the attached Regulations on the requirements for the training and education of personnel of organizations engaged in transactions with money or other property in order to counteract the legalization (laundering) of proceeds from crime and the financing of terrorism.
2. Recognize invalid the Order of the Federal Financial Monitoring Service of November 1, 2008 N 256 "On approval of the Regulations on the requirements for the training and education of personnel of organizations engaged in transactions with funds or other property, in order to counteract the legalization (laundering) of income, obtained by criminal means and financing of terrorism" (registered with the Ministry of Justice of the Russian Federation on January 30, 2009, registration N 13222).
Supervisor
We received a response from the Federal Service for Financial Monitoring to our request on the procedure for applying Rosfinmonitoring Order No. 203.
On the requirements for staff training
The Federal Financial Monitoring Service considered your request No. 1-z dated October 11, 2010, regarding the requirements established by Rosfinmonitoring for the training and education of personnel of organizations engaged in operations with funds or other property, in order to counteract the legalization (laundering) of proceeds from crime, and terrorist financing, and reports the following.
Training in order to combat the legalization (laundering) of proceeds from crime and the financing of terrorism is aimed at obtaining basic knowledge in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism, necessary for the formation and improvement of internal control systems of the organization, and as well as prevention of violations of the said legislation.
Rosfinmonitoring Order No. 203 dated August 3, 2010 significantly eases the requirements for training and education of personnel in order to combat the legalization (laundering) of proceeds from crime and the financing of terrorism, previously established by Rosfinmonitoring Order No. 256 dated November 1, 2008. In particular, the requirements for the passage of targeted briefings, both in terms of its frequency and in relation to the list of employees required to undergo it.
In accordance with the earlier order of Rosfinmonitoring No. 256 dated November 1, 2008, special officials of organizations, including credit consumer cooperatives(at least once a year), as well as all employees of the organization from among those listed in paragraph 3 of the Regulations (at least once every three years).
Rosfinmonitoring Order No. 203 dated August 3, 2010 establishes the obligation to undergo one-time training in the form of targeted briefing for both special officials and other employees of the organization. Moreover, the list of such employees is significantly narrowed (clause 10 of the Regulations).
At the same time, persons who, by the time Rosfinmonitoring Order No. 203 dated 03.08.2010 came into force, have undergone training in the form of targeted briefing, in accordance with the requirements of Rosfinmonitoring Order No. 256 dated 01.11.2008, do not need to undergo targeted briefing again.
It should be noted that Rosfinmonitoring Order No. 203 dated August 3, 2010 also retains the obligation to internal training employees (introductory and additional briefings) and does not exclude the possibility of self-training.
At the same time, the order of Rosfinmonitoring dated 03.08.2010 No. 203 introduces new form learning - increasing the level of knowledge, which aims to maintain required level training of employees of organizations in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism, taking into account innovations in the regulatory framework and law enforcement practice.
In accordance with the current wording of paragraph 12 of Rosfinmonitoring Order No. 203 dated 03.08.2010, training in the form of increasing the level of knowledge in the field of AML / CFT should be held at least once every 3 years by the head of the organization (branch), chief accountant (accountant) of the organization (branch) (if there is a position in the organization's staff) or an employee who performs accounting functions in the organization, the head of the legal department or the lawyer of the organization (if there is a position in the organization's staff).
It should be noted that Rosfinmonitoring Order No. 203 dated 03.08.2010 does not define the format of training in the form of targeted briefing and raising the level of knowledge, but only establishes restrictions on organizations that can conduct such training (paragraph 11 of the Regulations).
Thus, training in the form of targeted briefing or raising the level of knowledge can be completed by employees, including remotely, for example, online, that is, without a direct visit to the organization conducting the training.
Registration N 18375
In accordance with the Federal Law of August 7, 2001 N 115-FZ "On counteracting the legalization (laundering) of proceeds from crime and the financing of terrorism" (Sobranie Zakonodatelstva Rossiyskoy Federatsii, 2001, N 33 (part I), art. 3418; 2002, N 30, item 3029; N 44, item 4296; 2004, N 31, item 3224; 2005, N 47, item 4828; 2006, N 31 (part I), item 3446, 3452; 2007, N 16, item 1831; N 31, item 3993, item 4011; N 49, item 6036; 2009, N 23, item 2776; N 29, item 3600) and point 3 Decree of the Government of the Russian Federation of December 5, 2005 N 715 "On qualification requirements for special officials responsible for compliance with internal control rules and programs for its implementation, as well as requirements for training and education of personnel, identification of customers, beneficiaries in order to counter legalization ( laundering) proceeds from crime and the financing of terrorism" (Sobraniye zakonodatelstva Rossiyskoy Federatsii, 2005, N 50, art. 5302; 2008, N 12, art. 1140) I order:
1. Approve, in agreement with the Federal Financial Markets Service (V.D. Milovidov), the attached Regulations on the requirements for the training and education of personnel of organizations engaged in transactions with money or other property in order to counteract the legalization (laundering) of proceeds from crime and the financing of terrorism.
2. Recognize invalid the order of the Federal Financial Monitoring Service dated November 1, 2008 N 256 "On approval of the Regulations on the requirements for the training and education of personnel of organizations engaged in transactions with funds or other property, in order to counteract the legalization (laundering) of income, obtained by criminal means and financing of terrorism" (registered with the Ministry of Justice of the Russian Federation on January 30, 2009, registration N 13222).
Head Y. Chikhanchin
Regulations on the requirements for the training and education of personnel of organizations engaged in transactions with funds or other property in order to counteract the legalization (laundering) of proceeds from crime and the financing of terrorism
I. General provisions
1. This Regulation establishes the requirements for the training and education of personnel of organizations engaged in transactions with funds or other property in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism, specified in Article 5 of the Federal Law of August 7, 2001 N 115-FZ "On counteracting the legalization (laundering) of proceeds from crime and the financing of terrorism".
Training and education of personnel of professional participants in the securities market that are credit institutions is carried out in accordance with the requirements established by the Bank of Russia in agreement with the Federal Financial Monitoring Service, and taking into account the specifics established by paragraphs 5, 9, 10, 11, 12, 13 of this Regulation.
This Regulation does not apply to credit institutions that are not professional participants in the securities market.
2. The head of the organization approves the list of employees who must undergo mandatory training and education in order to combat the legalization (laundering) of proceeds from crime and the financing of terrorism (hereinafter referred to as training).
3. The list provided for in paragraph 2 of this Regulation, the organization (with the exception of an organization engaged in professional activities in the securities market and (or) activities in the management of investment funds and non-state pension funds (hereinafter referred to as activities in the financial market)), includes the following employees :
a) the head of the organization;
b) the head of the branch of the organization;
c) deputy head of an organization (branch), in accordance with his official duties, in charge of organizing and exercising internal control in order to counteract the legalization (laundering) of proceeds from crime and the financing of terrorism;
d) a special official of an organization (branch) responsible for compliance with internal control rules in order to combat the legalization (laundering) of proceeds from crime and the financing of terrorism and programs for its implementation (hereinafter referred to as a special official);
e) the chief accountant (accountant) of the organization (branch), if there is a position in the staff of the organization or branch, or an employee performing accounting functions;
f) the head of the legal unit of the organization (branch) or the lawyer of the organization (if any);
g) employees of the internal control service of the organization (branch), if any;
h) other employees of the organization (branch) at the discretion of the head of the organization and taking into account the specifics of the activities of the organization (branch) and its clients.
4. In an organization operating in the financial market (with the exception of professional participants in the securities market that are credit institutions), the list provided for in paragraph 2 of this Regulation includes the following employees:
a) the head of the organization;
b) head of a branch of an organization operating in the financial market (hereinafter referred to as a branch);
c) deputy head of an organization (branch), in accordance with his official duties, managing a structural subdivision of an organization (branch) that operates in the financial market;
d) the head and deputy head of the structural subdivision of the organization (branch), which operates in the financial market;
e) controller;
f) employees of the organization (branch) who, in accordance with their official duties, perform at least one of the following functions:
signing outgoing documents of an organization (branch) relating to the implementation of operations related to the management of investment reserves of a joint-stock investment fund, property constituting a mutual investment fund, pension reserves of a non-state pension fund, or property in which pension savings or savings for housing provision of military personnel are invested ;
signing outgoing documents of organizations (branch) relating to the implementation of operations related to the management of securities belonging to a joint-stock investment fund, securities as part of the property constituting a mutual investment fund, or securities in which pension reserves of a non-state pension fund are placed or funds are invested pension savings or savings for housing for military personnel;
signing outgoing documents of the organization (branch) relating to the implementation of operations related to the management of mortgage coverage;
carrying out operations related to the transfer of ownership of securities on personal accounts of registered persons;
signing of documents confirming the ownership right of registered persons to securities, and documents on transactions performed;
g) a special official of the organization (branch);
h) other employees of the organization (branch) at the discretion of the head of the organization, taking into account the specifics of the activities of the organization (branch) and its clients.
5. In an organization carrying out professional activities in the securities market, which is a credit institution, the list of persons who must undergo training includes the following employees:
a) the head and deputy head of the structural unit that operates in the financial market;
b) controller;
c) employees of a structural unit who, in accordance with their official duties, perform at least one of the following functions:
transactions with securities: on behalf of the organization and at the expense of the organization; on behalf of clients and at the expense of clients; on behalf of the organization and at the expense of clients;
making transactions and (or) operations with cash and (or) securities in the interests of the founder of the management;
maintaining internal records of transactions with securities;
carrying out transactions related to the transfer of ownership of securities on customer depo accounts;
signing documents confirming the client's ownership of securities, and documents on transactions;
d) a special official;
e) other employees of the structural unit that operates in the financial market, at the discretion of the head of this structural unit.
II. Forms, frequency and terms of training
6. Training is carried out in the following forms:
a) introductory briefing;
b) additional briefing;
c) targeted briefing (obtaining by employees of organizations of the basic knowledge necessary for them to comply with the legislation of the Russian Federation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, as well as the formation and improvement of the internal control system of organizations, programs for its implementation and other organizational - administrative documents adopted for these purposes);
d) raising the level of knowledge in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism (hereinafter referred to as raising the level of knowledge).
7. Introductory briefing in the organization is carried out by a special official when hiring for positions or to perform the functions specified (specified) in paragraphs 3, 4 of this Regulation, and when transferring (temporary transfer) to positions or to perform the functions specified (specified ) in paragraphs 3, 4 of these Regulations.
8. Additional briefing is carried out by a special official at least once a year or in the following cases:
in case of changes in existing and entry into force of new regulatory legal acts of the Russian Federation in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism;
when the organization approves new or changes in existing internal control rules in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism and programs for its implementation;
when transferring an employee of the organization to another permanent job (temporary job) within the organization in the event that his knowledge in the field of countering the legalization (laundering) of proceeds from crime and the financing of terrorism is not enough to comply with the legislation of the Russian Federation on countering the legalization (laundering ) proceeds of crime and financing of terrorism;
when entrusting an employee of the organization with work performed by employees of the organization specified in paragraphs 3, 4 of this Regulation, but not stipulated by the employment contract concluded with him, when the performance of such work does not entail a change in the terms of the employment contract concluded with the employee.
9. Introductory and additional briefings are carried out in accordance with the training and education program for employees of the organization in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism, developed by the organization taking into account these Regulations.
Introductory and additional briefing for the employees of organizations engaged in professional activities in the securities market that are credit institutions listed in paragraph 5 of this Regulation is carried out in accordance with the requirements for training and education of personnel established by the Bank of Russia in agreement with the Federal Financial Monitoring Service.
10. Training in the form of a targeted briefing for a person planning to perform the functions of a special official shall take place once before the start of such functions.
One-time training in the form of targeted briefing must also pass:
a) from among the employees specified in clause 3 of this Regulation: the head of the organization (branch), the chief accountant (accountant) of the organization (branch) (if there is a position in the organization’s staff) or an employee who performs accounting functions in the organization, the head of the legal departments or a lawyer of the organization (if there is a position in the staff of the organization);
b) employees specified in subparagraphs "a" - "e" of paragraph 4 of these Regulations;
c) employees specified in subparagraphs "a" - "c" of paragraph 5 of these Regulations.
The persons specified in subparagraphs "a", "b" and "c" of this paragraph, appointed to the relevant positions after the entry into force of this Regulation, must undergo a one-time training in the form of targeted briefing within a year from the date of assignment of the relevant duties.
Persons holding the positions specified in subparagraphs "a", "b" and "c" of this paragraph at the time of entry into force of this Regulation must undergo a one-time training in the form of targeted briefing within a year from the date of entry into force of this Regulation.
Persons who, by the time these Regulations come into force, have undergone training in the form of targeted briefing in accordance with the order of the Federal Financial Monitoring Service of November 1, 2008 N 256 "On approval of the regulation on the requirements for the training and education of personnel of organizations engaged in transactions with funds or other property, in order to counteract the legalization (laundering) of proceeds from crime and the financing of terrorism", repeated passage of the target briefing is not required.
11. For employees of organizations operating in the financial market, targeted briefing is carried out by organizations accredited by the Federal Financial Markets Service for attestation of financial market specialists.
For employees of organizations engaged in professional activities in the securities market that are credit institutions listed in subparagraphs "a" - "d" of paragraph 5 of these Regulations, targeted briefing in accordance with this Regulation may be carried out by other organizations that train and educate personnel in in accordance with the requirements for training and education of personnel established by the Bank of Russia in agreement with the Federal Financial Monitoring Service, subject to the inclusion in the training program of issues related to the specifics of combating the legalization (laundering) of proceeds from crime and the financing of terrorism in the financial market, determined by the Federal Financial Markets Service.
For employees of other organizations, targeted briefing is carried out by organizations established by the Federal Financial Monitoring Service and other organizations under programs established by the Federal Financial Monitoring Service.
The passage of targeted briefing by the relevant official of the organization must be confirmed by a document issued by the organization conducting the targeted briefing.
12. Increasing the level of knowledge is carried out in the form of participation in conferences, seminars and other training events.
Increasing the level of knowledge of employees of organizations takes place, respectively, in those organizations in which, in accordance with paragraph 11 of this Regulation, targeted briefing is provided for, according to training programs developed by such organizations independently.
Employees of the organizations indicated in subparagraphs "a", "b" and "c" of paragraph 10 of these Regulations undergo an increase in the level of knowledge at least once every three years, at least once a year - a special official of an organization operating in the financial market (its branch), including a special official of a professional participant in the securities market, which is a credit institution.
The passage by the relevant official of the organization of increasing the level of knowledge must be confirmed by a document issued by the organization conducting such training, or by a document confirming the participation of the relevant official in the training event.
13. Other employees of the organization (branch), in addition to those named in subparagraphs "a" - "c" of paragraph 10 of these Regulations and a special official included in the list provided for in paragraph 2 of these Regulations, as well as other employees of the structural unit of the organization engaged in professional activities in the securities market, which is a credit institution (subparagraph "e" of paragraph 5 of these Regulations), they undergo targeted instruction and increase the level of knowledge at the discretion of the head of the organization in the manner prescribed by paragraphs 11 and 12 of these Regulations.
III. The program of training and education of employees of the organization in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism
14. The organization develops a training and education program for employees of the organization in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism (hereinafter referred to as the Training Program), taking into account the requirements of the legislation of the Russian Federation on countering the legalization (laundering) of proceeds from crime, and financing of terrorism, as well as the characteristics of the activities of the organization and its clients.
15. The purpose of the training is to provide employees of the organization with knowledge in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism, necessary for them to comply with the legislation of the Russian Federation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, and also the rules of internal control of the organization, programs for its implementation and other organizational and administrative documents of the organization adopted for the purpose of organizing internal control.
16. The training program should include:
a) studying the regulatory legal acts of the Russian Federation in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism;
b) study of the rules and programs for the implementation of internal control in the organization in the performance of official duties by an employee, as well as the measures of responsibility that can be applied to an employee of the organization for failure to comply with the requirements of regulatory legal acts of the Russian Federation in the field of combating the legalization (laundering) of proceeds from crime, and financing of terrorism and other organizational and administrative documents of the organization adopted for the purpose of organizing and exercising internal control;
c) study of typologies, typical schemes and methods of money laundering and terrorist financing, as well as criteria for identifying and signs of unusual transactions.
IV. Accounting for the passage of training by employees of the organization
17. The organization maintains a record of the training received by its employees.
18. The procedure for accounting for the passage of training by employees of the organization is established by the head of the organization.
19. The fact of briefing an employee of the organization (with the exception of targeted briefing) and familiarization with the regulatory legal and other acts of the Russian Federation in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism and internal documents of the organization adopted for the purpose of organizing internal control, must be confirmed by his own signature in a document, the form and content of which the organization establishes independently.
Documents confirming that an employee of an organization has completed training shall be attached to the employee's personal file.
Popular
- How to make money on the production of dumplings Production of dumplings what warehouses to create in the program
- What should be considered in the business plan of an advertising agency?
- Soap Making Equipment Business Course Handmade Soap Making Technology
- How to find building orders
- How to open a pub from scratch - in detail
- How to open a beer shop and guarantee its success?
- How to open an LLC on your own
- Farm business plan
- How to open a farm from scratch
- Ideas for a Beginning Farmer