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THE GOVERNMENT
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SOCIALIST REPUBLIC OF VIETNAM
Independence-Freedom-Happiness
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No. 116/2013/ND-CP
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Hanoi, October 04, 2013
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DECREE
DETAILING
IMPLEMENTATION OF A NUMBER OF ARTICLES OF LAW ON ANTI MONEY LAUNDERING
Pursuant to the December 25, 2001 Law on
organization of Government;
Pursuant to the June 18, 2012 Law on anti money
laundering;
At the proposal of the Governor of the State
bank of Vietnam;
The Government promulgates Decree detailing
implementation of a number of articles of Law on anti money laundering.
Chapter I.
GENERAL PROVISIONS
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This Decree details implementation of a number of Articles
of Law on anti money laundering about anti money laundering measures, collect,
process and transfer information of anti money laundering, responsibilities of
state agencies foranti money laundering works and international cooperation in
anti money laundering works.
Article 2. Subjects of
application
1. This Decree applies to subjects as prescribed in
Clauses 1, 2, 3 Article 2 of Law on anti money laundering.
2. Other organizations and individuals related to
anti money laundering, including foreign organizations and individuals or stateless persons not residing or operating in the
Vietnamese territory but conducting transactions with organizations and
individuals prescribed in Clause 1 of this Article.
Chapter II.
ANTI MONEY LAUNDERING MEASURES
SECTION 1. IDENTIFYING, REPORTING AND KEEPING INFORMATION OF CLIENTS
Article 3. Identifying clients
1. Financial organizations must apply measures to
identify clients in the following cases:
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b) Clients set up relationship with financial
organizations for the first time aiming to use products and services provided
by financial organizations;
c) Clients conduct irregular transactions with big
value. Irregular transactions with big value are transactions of clients
possessing no account or possessing payment account but having no transaction
within 6 months or more with total value of 300,000,000 (three hundred million)
VND or more in a day;
d) When conduct electronic remittance but
information is lack about name, address or account number of the originator;
dd) Having doubts that transactions or parties
related to transactions are related to activities of money laundering;
e) Having doubts about accuracy or sufficiency of
information to identify clients already collected before.
2. Organizations and individuals trading in games
with prizes, casino must conduct measures to identify clients for clients
conducting financial transactions with total value of 60,000,000 (sixty
million) VND or more within a day.
3. Organizations and individuals trading in real
estate management, brokerage services, and real estate transaction floors must
apply measures to identify clients for the buyer and the seller in activities
of brokerage for real estate purchase and sale; for assets owners in providing
real estate management service.
4. Organizations and individuals trading in
precious metals and gems must apply measures to identify clients in case where
clients conduct transactions in cash to buy, sell precious metals and gems with
value of 300,000,000 (three hundred million) VND or more within a day.
5. Organizations and individuals providing
notarization or accounting services; legal service of lawyers, law-practicing
organizations must apply measures to identify clients when they on behalf of
clients prepare conditions to conduct transactions or on behalf of clients
conduct transactions of transferring land use right, house ownership; service
of managing money, securities or other assets of clients; service of managing
accounts of clients at banks, securities companies; provide service of
administration and management over company operation of clients; participate in
activities of purchase and sale of business organizations.
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7. Organizations and individuals providing services
of enterprise establishment, management, administration; providing registration
offices, business addresses or locations; providing enterprise representative
service must apply measures to identify clients using or requesting for such
services.
8. Organizations and individuals providing service
of providing directors, director’s clerks of enterprises for the third party
must apply measures to identify clients in respect to the third party and such
directors or clerks.
9. Organizations and individuals providing service
of providing representatives for shareholders must apply measures to identify
clients in respect to the shareholders and representatives of such
shareholders.
Article 4. Information of identification
and verification of information used to identify clients
1. Information used to identify clients being
Vietnamese organizations and individuals or foreigners must include information
specified in Clause 1 Article 9 of Law on anti money laundering.
2. For clients being individuals who are stateless,
information used to identify will include: Full name; date of birth;
occupation, position; visa book; agency issuing visa for immigration; address
of resident registration place in foreign country and in Vietnam.
3. For clients being individuals who have two (02)
or more nationalities, apart from information defined in Clause 1 of this
Article, the reporting entities must collect additional information about nationalities,
addresses of resident registration at countries where clients bearing
nationalities.
4. The reporting entities must verify information
used to identify clients as prescribed in Article 11 of Law on anti money
laundering.
Article 5. The beneficial
owners
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a) Individuals owning in reality for an account or
a transaction: Account owners, account co-owners or any person who controls
operation or enjoyment of such account or transaction;
b) Individuals who have right to control juridical
persons: Individuals holding 10% or more of charter capital of such juridical
person; individuals holding 20% or more of charter capital of organization
which contribute more 10% of capital of such juridical person; owners of
private enterprises; other individuals controlling such juridical person in
reality;
c) Individuals have right to control an investment
entrustment, authorization agreement: The entrustment or authorization
individuals; individuals having right to control individuals, juridical persons
or entrustment or authorization organizations.
2. Identifying and verifying information used to
identify the beneficial owners will comply with provisions in Article 4 of this
Decree. For clients being foreign organizations or organizations with one or
many parties, which join in the capital contribution, being foreign individuals
or organizations, the reporting entities must verify additionally information
used to identify such foreign individuals or organizations by using documents,
data issued by the foreign competent agencies.
Article 6. Classification of
clients according to the risky extent
The reporting entities must elaborate regulation on
classification of clients on the basis of the money laundering risk based on
the following elements:
1. Client type: Residents or non-residents;
organizations or individuals; clients in or out black list, warning list;
fields and methods of operation and trading.
2. Type of products or services which clients use
including those anticipated using: Cash or remittance services; payment service
or service of money transfer or exchange; brokerage, entrustment or
authorization services; life-insurance or non-life insurance services.
3. Geographical positions where clients reside or
locate their head offices: Countries in embargo list stated in Resolutions of
United Nations Security Council; countries in list of publicizing
non-compliance, or insufficient compliance with recommendations about
preventing money laundering and preventing donation for terrorism which is
announced periodically by the Financial Action Task Force; countries, or
regions, territories which are defined to have many activities involving
heroin, corruption and money laundering.
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Article 7. Agent bank
relationship
1. When set up an agent bank relationship, the
reporting entity must collect information about partner banks as prescribed in
point b Clause 1 Article 9 of Law on anti money laundering and the following
information: Purpose and reason of setting up relationship; name of agencies
managing the partner banks and assessments, credit ranking of competent
agencies or specialized organizations in respect to the partner banks.
2. Assessment about implementation of anti money
laundering measures conducted by the partner banks through:
a) Internal regulations on anti money laundering;
b) The money-laundering risk management system;
c) System of internal control and audit for anti
money laundering;
Article 8. Transactions related
to new technologies
1. Transactions related to new technologies are
transactions using technologies which allow clients to conduct transaction
without directly facing officials of the reporting entities.
2. The reporting entities, upon providing services
as prescribed in Clause 1 of this Article must implement the following
requirements:
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b) Elaborating a process of assessing risks
involving money laundering upon providing services using new technologies. This
process must include minimally the following contents: Determination and
simulation of risks involving money laundering which may arise, for
transactions applying new technologies; putting out suitable measures to
prevent and minimize risks may arise.
Article 9. Transactions with
abnormal big value, complicated transactions
Transactions with abnormal big value or complicated
transactions as prescribed in point a Clause 1 Article 16 of Law on anti money
laundering are the following transactions:
1. Transactions with abnormal big value are
transactions which are clearly not proportional with income or not conformable
with level of regular transaction value of clients with the reporting entities;
2. Complicated transactions are transactions which
are performed through methods not conformable with nature of transaction such
as:
Transactions performed through many intermediate
parties, many accounts in an unnecessary way; transactions performed among
various accounts of a same account holder, at the various geographical regions;
any transaction which the reporting entities assume that it is abnormal and
need to have strict supervision
Article 10. Trading activities
through introduction
1. At the request the reporting entities, the
intermediate parties must ensure to provide timely and sufficiently information
to identify clients as prescribed in Article 4 of this Decree.
2. In case where intermediate party is a Vietnam
organization, this organization must be object suffering management and
supervision of Vietnamese competent agencies and must apply measures to
identify and updated information of clients as prescribed in Article 3 of this
Decree, Article 10 of Law on anti money laundering and requirements on archival
of dossiers, reports, documents as prescribed in Article 27 of Law on anti
money laundering.
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4. In case the intermediate party is a part
affiliated a financial group and this financial group has performed fully
requirements as prescribed in Clauses 2, 3 of this Article, such intermediate
party will be considered as it has complied fully with requirements in
accordance with regulations.
Article 11. To ensure
transparency of juridical persons and authorization agreements
1. The Stock Exchange, as prescribed in Clause 1
Article 18 of Law on anti money laundering shall store and update the following
information about the listing enterprises:
a) Basic information about a listing enterprise:
Full trading name and abbreviated name, address of head office, tax code
number, telephone number, facsimile number, fields of business operation;
b) Charter capital;
c) List of founders, major shareholders;
d) The legal representative;
dd) The beneficial owner;
e) Other information.
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a) Basic information about an enterprise: Full
trading name and abbreviated name, address of head office, tax code number,
telephone number, facsimile number, fields of business operation;
b) Legal capital, charter capital, registered
capital;
c) List of founders, major shareholders;
d) The legal representative;
dd) The beneficial owner;
e) Other information.
3. Organizations and individuals as prescribed in
Clause 3 Article 18 of Law on anti money laundering must store and update the
following information about clients:
a) Information about the authorizing person, the
authorized person: It must include information specified in Clauses 1, 2, 3
Article 4 of this Decree;
b) Content of authorization;
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Article 12. To ensure the
transparency in activities of non-profit organizations
1. Non-profit organizations which are juridical
persons or organizations with key operation being mobilization or distribution
of capital for the charitable, religious, cultural, educational and social
purposes or similar purposes, not for profit purpose, include: Foreign
non-governmental organizations, social funds, charity funds established and
operate in accordance with Vietnamese law.
2. Non-profit organizations must maintain and
update:
a) Information about organizations and individuals
donating, at least including: Full name; address; the donation amounts;
b) Information about organizations and individuals
receiving donations, at least including: Full name; address; the donation
amounts; method of donation and purpose of using donation.
3. Dossier as prescribed in Clause 1 Article 19 of
Law on anti money laundering include:
a) Information defined in Clause 2 of this Article;
b) Vouchers, documents involving donation and
receipt of donation.
4. Dossiers stated in Clause 3 of this Article must
be archived by non-profit organizations at least 05 (five) years after ending
activities of donation or receipt of donation.
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6. Non-profit organizations shall provide dossiers
as prescribed in Clause 3 of this Article to the competent state agencies,
including: Agencies managing non-profit organizations in activities of
inspection and supervision; agencies for anti money laundering under the State
bank of Vietnam; competent agencies in investigation, prosecution and judgment.
7. State agencies competent to manage non-profit
organizations specified in Clauses 5, 6 of this Article include: Ministry of
Internal Affairs (for domestic non-profit organizations); the Ministry of
Foreign Affairs (for foreign non-profit organizations).
Article 13. To elaborate
internal regulations about anti money laundering
An internal regulation about anti money laundering
as prescribed in Article 20 of Law on anti money laundering include the
following contents:
1. Policy of client acceptance: According to the
risky extent, levels of the approval, and requirements about dossier of opening
account or setting up transaction.
2. Process, orders to identify clients, verify and
update information of clients: Decentralization of responsibility for
identification, periodically updating information and assessing clients
according to the risky extent; decentralization to access, use general
information in system; regulations on identification of clients with accounts
or transactions at many branches in system.
3. To guide the reporting process of transactions
including: Transactions with big value; transaction of electronic remittance;
doubtful transactions; transactions related to money laundering with the aim to
finance for terrorism; transactions related to crime activities; transactions
related to list of the terrorism individuals and organizations, and terrorist
donation according to Resolution of United Nations Security Council; black
list; warning list.
4. Process to review, detect and handle doubtful
transactions: To review and analyze clients and transactions related to clients
upon having doubtful signs as prescribed in Clause 2, Clause 8 and report as
prescribed in Clause 1 Article 22 of Law on anti money laundering; to define
responsibility according to each level; handling of reports on the doubtful
transactions must be conducted on the basis of analyzing, handling information
on whole system; method to act with clients conducting the doubtful
transactions, so as to ensure that information is not revealed.
5. To store and keep information in secret: Method
of storage, method of exploitation; level of storage.
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7. The regime of report and information provision
to the State bank of Vietnam and competent state agencies: Method, process of
report and information provision aiming to ensure time limit and content of
report in accordance with requirements.
8. Re-training professional operation of anti money
laundering: To elaborate programs, training frequency, training content to be
suitable with objects (management level, policy level, and execution level),
scale, organization (head office, branch, or region) and operational field or
the provided products and services.
9. To control and audit internally about compliance
with policies, regulations, processes and procedures involving activities of
anti money laundering: Structure, organization, method to conduct control and
audit; procedures for reporting to competent state agencies, assurance of
report time limit and content; regulations on handling, remedying the detected
violations.
Article 14. Report on doubtful
transactions
1. The reporting entities shall report on doubtful
transactions when they have doubts or rational basis to doubt that assets in
transactions acquired from criminal activity
or related to money laundering:
a) The rational basis to doubt that assets in
transactions acquired from criminal activity
includes: Transaction is requested for implementation by accused, defendants,
or convicted person as prescribed by law on criminal procedures and assets in
transaction are assets or originated from assets belonging to ownership or
control of such individual or of individuals, organizations related to such
individual, during or after time of conducting the criminal act;
b) The rational basis to doubt that assets in
transaction related to money laundering is resulted from consideration and
analysis of doubtful signs as prescribed in Clauses 2, , 3, 4, 5, 6, 7 Article
22 of Law on anti money laundering.
2. The reporting entities shall detect and report
to the State bank of Vietnam about other doubtful signs apart from signs stated
in Clauses 2, 3, 4, 5, 6, 7 Article 22 of Law on anti money laundering. The
reporting entities shall update, review and detect according to doubtful signs
which are prescribed additionally by the Prime Minister according to Clause 8
Article 22 of Law on anti money laundering.
3. Report on doubtful transaction does not depend
on the transaction amounts of clients, such transactions have finished or nor
or just intend implementation.
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a) On behalf of clients, conducting the
transactions to transfer land use rights, house ownerships, enterprise
ownership;
b) Managing money, securities or other assets for
clients;
c) Conducting the transaction or managing accounts
for clients at financial institutions;
d) Executing, managing activities of company for
clients.
Article 15. Performing declaration,
providing information of transporting the cash, precious metals, gems and
negotiable instruments crossing border
1. Individuals carry foreign currency in cash,
Vietnam dong in cash, precious metals, gems and negotiable instruments (bills
of exchange, promissory notes, cheques and other negotiable instruments) of
more than the provided level must declare customs when they enter or exit
country.
2. The General Department of Customs shall
promulgate the set form and guide individuals to perform declaration in
accordance with Clause 1 of this Article.
3. The General Department of Customs shall provide
for the State bank of Vietnam:
a) Monthly provide information which have been made
declaration according to Clause 1 of this article according to the criteria:
Full name of individuals enter and exit country; passport number or valid
papers for entering and exiting country; nationality, time of entering and
exiting; name of border gate for entering and exiting; destination (for the
exit persons) or departure place (for the entry persons); address in Vietnam;
value of foreign currencies in cash, Vietnam dong in cash, precious metals,
gems or negotiable instruments which have been declared;
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Article 16. Time limit of
report
1. Time limit of report is calculated as follows:
a) Daily report for form of report by sending
electronic data file is calculated according to day of arising transaction;
b) Time limit of report in form of written report
or other forms, including report on doubtful transaction, is calculated from
the day of arising transaction till day printed on envelop of report which are
affixed seal by postal delivery organization or the day when the State Bank of
Vietnam receive direct report from the reporting entities.
2. The reporting entities may select forms to
report on transactions with big value and electronic remittance transactions
according to 1 in 2 forms specified in point a or point b, clause 1, Article 26
of the Law on anti money laundering.
3. The reporting entities who select form of report
other than electronic data file shall register such form to the State bank of
Vietnam. The State bank of Vietnam must be notified about change of form to
report on transaction with big value and electronic remittance transaction.
Time of notification is calculated according to day printed on envelop of
report which are affixed seal of notification by postal delivery organization
or the day when the State Bank of Vietnam receive direct report. Time limit to
send report in accordance with regulation is calculated from the day following
day of notification.
4. Time limit to send report on doubtful
transaction as prescribed in clause 2, Article 26 of the Law on anti money
laundering is calculated from time of arising transaction. If a reporting
entity detects doubtful signs of a transaction but such transaction has been
performed before time limit of report as prescribed, the subject still must
send report on doubtful transaction in day of detecting such doubtful signs.
Day of detecting doubtful signs is defined on day when the reporting entity
proactively detect or compulsorily detect doubtful signs as considered
according to actual and objective circumstance happening such doubtful
transaction.
5. Report on transactions with signs related to
crimes must concurrently send to the State bank of Vietnam and competent state
agencies. The competent state agencies include Public Security agencies or the
People’s Procuracy at district level or higher where transaction with signs
related to crimes is detected.
6. Crimes mentioned in this Article are the
convicted crimes under judgment of People’s Court at all levels. The Ministry
of Public Security shall coordinate with the Supreme People’s Procuracy and the
Supreme People’s Court in summing up, providing and updating biannually (within
10 last days of June and December every year) list of offenders serving a
sentence at time of providing to the State Bank of Vietnam so as to warn to the
reporting entities according to Law on anti money laundering. The State bank of
Vietnam shall receive list of offenders, design the plans, notify and update
this list; concurrently guide in details of access into list for the reporting
entities.
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Article 17. Responsibilities
for report and information provision
1. The reporting entities must provide dossiers,
documents already archived and relevant information in accordance with the
requested time limit. The State bank of Vietnam and other competent state agencies
must define time limit when they request for providing dossiers, documents
already archived and relevant information as prescribed in Law on anti money
laundering. Time limit to request for providing dossiers, documents and
relevant information should be defined in conformity with the urgent extent of
problems, actual and objective circumstances and ability to provide of objects
requested for provision.
2. Agency for anti money laundering under The State
bank of Vietnam has right to request all the reporting entities and relevant
agencies, organizations and individuals for providing dossiers, documents
already archived and information related to transactions reported as prescribed
in Law on anti money laundering.
3. Dossiers, documents already archived and
relevant information are only provided directly to the following competent
state agencies:
a) Public Security agencies or the People’s
Procuracy at district level or higher, for transactions related to crimes
already reported according to Clause 2 Article 26 of Law on anti money
laundering;
b) Investigation agencies or the People’s Procuracy
at all levels, for transactions related to criminal cases and clients have had
decision on prosecuting a case and decision on prosecuting a person as the
accused. Heads or Deputy Heads of these agencies will be persons signing on
requests for providing dossiers, documents and relevant information;
c) Agencies of investigation security if
transactions related to objects that are doubted on crimes infringing national
security. Heads or Deputy Heads of these agencies will be persons signing on
requests for providing dossiers, documents and relevant information;
d) Taxation agencies, agencies with function of
initial investigation, if transaction related to individuals or organizations
which are doubted on violation of law on tax, law on customs or other relevant
laws. Requests for information provision must be signed by heads, deputy heads
of taxation agencies, agencies with function of initial investigation;
dd) Agencies of State Inspectorate, agencies
assigned implementation of specialized inspectorate function, when they perform
tasks according to decisions on inspection, examination promulgated by
competent authorities.
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Article 18. Report on money
laundering with the aim to finance for terrorism
1. Act of money laundering with the aim to finance
terrorism is act of organization or individual aiming to perform origin
legalization of assets acquired from criminal activity in order to finance terrorist
organizations and individuals or to finance terrorist act.
2. Grounds to assume that organization or
individual conducting act related to crime of money laundering with the aim to
finance terrorism include:
a) Conducting or intending implementation of
transactions related to organizations and individuals according to list in
relevant Resolutions of United Nations Security Council;
b) Conducting or intending implementation of
transactions related to organizations and individuals according to list of
organizations and individuals involving terrorism and financing to terrorists
which are set out by other international organizations or other countries and
being warned by the State bank of Vietnam;
c) Conducting or intending implementation of
transactions related to organizations and individuals which have been convicted
about crimes involving terrorism and financing to terrorists in Vietnam;
d) Conducting or intending implementation of
transactions related to organizations and individuals involving terrorism and
financing to terrorists which the reporting entities have known from other
information sources.
3. Timely report as prescribed in clause 1, Article
30 of the Law on anti money laundering is report as soon as detecting that
organizations or individuals conducting transactions lay in black list or as
soon as having grounds stated in Clause 2 of this Article.
4. The State Bank of Vietnam shall guide the
reporting entities to perform Clause 1 Article 30 of Law on anti money
laundering in accordance with law on anti money laundering and anti-terrorism
laws.
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SECTION 2. COLLECTION, HANDLING
AND TRANSFER OF INFORMATION ABOUT ANTI MONEY LAUNDERING
Article 19. Collection,
handling of information
1. Agency for anti money laundering under The State
bank of Vietnam shall be responsible for receipt, collection of information,
documents and dossiers related to the reported transaction as prescribed in Law
on anti money laundering.
2. Agency for anti money laundering under The State
bank of Vietnam has right to request the relevant organizations and individuals
(the reporting entities, agencies, organizations and individuals storing
dossiers, documents related to transactions and parties related to
transactions), for providing information, documents, dossiers and other
information, which are necessary for analysis, transfer of information about
money laundering.
Article 20. Information
transfer
1. Agency for anti money laundering under The State
bank of Vietnam shall be responsible for transfer of information or dossiers of
cases to the competent investigation agencies when there are rational grounds
to doubt that transactions stated in information and report related to money
laundering or conducted for money laundering which aims to finance terrorism.
2. Grounds to doubt that transactions stated in
information and report related to money laundering will be considered as
rational grounds when:
a) Transactions related to organizations and
individuals laying in back list;
b) Transactions related to organizations and
individuals which are objects subject to investigation, prosecution and
adjudication of functional agencies of Vietnam and other countries, territorial
regions in the world;
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d) Transactions related to convicted persons as
prescribed by law on criminal procedures;
dd) Transactions performed in very short duration related
to many organizations and individuals in many various countries and territories
without economic basis or with insufficient vouchers of transaction;
e) Other transactions which agency for anti money
laundering, under the State bank of Vietnam, based on actual experiences and
international experiences to realize that they may relate to the criminal
activities.
3. Grounds to define an act relating to money
laundering with the aim to finance terrorism:
a) Provision in Clause 2 Article 18 of this Decree;
b) Other transactions which agency for anti money
laundering, under the State bank of Vietnam, based on actual experiences and
international experiences to realize that they may relate to activities of
money laundering with the aim to finance terrorism.
4. The competent investigation agencies stated in
Clause 1 of this Article include:
a) Investigation agencies under the Ministry of
Public Security;
b) Investigation agencies under the Ministry of
National Defense;
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d) Agencies competent to initial investigation.
5. The competent investigation agencies as
prescribed in Clause 4 of this Article, when receive information or dossiers of
cases as prescribed in Clause 1 of this Article, shall classify, solve as
prescribed by law on criminal procedures involving receipt and settlement of
report or denouncement of crimes and store information, reports, documents
already received according to the secret regime, and have feedback to agency
for anti money laundering, under the State bank of Vietnam, as soon as having
result of handling.
Article 21. Information
exchange
1. The State Bank of Vietnam shall coordinate and
exchange information with competent agencies, as prescribed in Article 32 of
Law on anti money laundering, in the following cases:
a) At the requests of competent investigation
agencies;
b) At the requests of the People’s Procuracies at
all levels; Military Procuracies at all levels;
c) At the requests of People’s Courts at all
levels; Military Courts at all levels.
2. Competent agencies as prescribed in Clause 1 of
this Article shall archive information, reports and documents received in
according to the secret regime and notify relevant result of handling to the
agency for anti money laundering, under the State bank of Vietnam as prescribed
by law.
3. The State bank of Vietnam shall take the
initiative in and exchange with relevant Ministries, sectors and units the
following information:
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b) Information about inadequacy in mechanism,
policy, activities of state management with the aim to prevent and combat money
laundering.
4. The State bank of Vietnam, competent agencies as
prescribed in this Article and relevant Ministries and sectors may sign
regulations of coordination and information exchange so as to create conditions
for fast and effective coordination and information exchange.
SECTION 3. APPLICATION OF
TEMPORARY MEASURES
Article 22. Postponement in
transaction
1. Postponement in transaction as prescribed in
Article 33 of Law on anti money laundering is refusal for implementation of
transaction not more than 3 working days from the day beginning application of
this measure and it is form of temporary blockade before the competent state
agencies issue a formal decision. If passing 3 working days as from the day
beginning application of transaction postponement measure, the reporting
entities fail to receive any feedback from the competent state agencies; they
are entitled to conduct transaction.
2. The reporting entities must apply the
transaction postponement measure as soon as detecting that the relevant parties
lay in black list.
3. Reasons to believe that a transaction requested
for implementation relates to criminal activities include:
a) Transactions are requested for implementation by
a convicted person as prescribed by law on criminal procedures and assets in
such transactions are originated from assets belonging to ownership or control
of such individual or assets of organization in which such individual has
ownership or control right during or after time of conducting criminal
activity;
b) Transactions as prescribed in Clause 2 Article
18 of this Decree.
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5. In necessary case, the State bank of Vietnam and
competent state agencies have right to request the reporting entities for
performing the transaction postponement measure.
6. The competent state agencies specified in Clause
1, Clause 4, Clause 5 of this Article include:
a) Investigation agencies at all levels;
b) The People’s Procuracies at all levels; Military
Procuracies at all levels;
c) The People’s Courts at all levels; Military
Courts at all levels.
The competent state agencies mentioned above shall
timely handle reports about application of transaction postponement measure as
prescribed by law on anti money laundering and anti-terrorism laws.
7. The reporting entities shall not bear legal
liability about consequences arising when applying transaction postponement
measure in accordance with this Article.
Article 23. Blockade of
accounts
1. The reporting entities shall conduct blockade of
accounts when the competent state agencies issue decisions on blockade of
accounts.
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3. A decision on account blockade must be presented
in writing, and minimally include the following content: Account number or name
of relevant organization, individual; name of the reporting entity who must
conduct measure of account blockade; time, time limit to apply measure of
account blockade; reason of requesting for conducting measure of account
blockade.
4. The reporting entities must report to the State
bank of Vietnam as soon as conducting measure of account blockade as prescribed
in Clause 1 of this Article.
5. The State bank of Vietnam shall coordinate with
relevant agencies in handling the blocked accounts as prescribed in Clause 1 of
this Article.
Chapter III.
RESPONSIBILITIES OF STATE AGENCIES FOR ANTI MONEY
LAUNDERING WORKS
Article 24. Responsibilities
of the State bank of Vietnam
1. To be responsible before Government to execute
state management on anti money laundering through the following measures:
a) To coordinate with the Ministry of Justice in
submitting the program on elaborating legal documents about anti money
laundering to Government;
b) To assume the prime
responsibility for, and coordinate with relevant Ministries and sectors in,
periodically assessing risks of money laundering in Vietnam; formulating and
submitting to competent authorities for approving and promulgating strategies,
national plans on the anti money laundering;
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d) To assist the Prime Minister in directing
ministries and sectors to coordinate with the Supreme People’s Court and the
Supreme People’s Procuracy in taking actions against money laundering and
terrorism financing.
2. To promulgate documents guiding implementation
of legal provisions on anti money laundering.
3. To timely notify competent agencies of
anti-terrorism information about act of money laundering with the aim to
finance terrorism as prescribed in Clause 3 Article 20 of this Decree and
anti-terrorism laws .
4. To cooperative, exchange, provide information
with domestic competent agencies as prescribed in Article 20 and Article 21 of
this Decree.
5. To inspect, examine, supervise activities of
anti money laundering in respect to the reporting entities under its state
management responsibility; handle or propose competent authorities for handling
for violations of law on anti money laundering.
6. International cooperation in anti money
laundering:
a) To propose competent authorities; assume the
prime responsibility for, and coordinate with the Ministry of Foreign Affairs,
relevant ministries and sectors in, negotiating, signing and organizing
implementation of International treaties, international agreements on anti
money laundering;
b) To act as focal agency in negotiating, signing
international agreements on exchanging information about anti money laundering;
exchanging information with foreign agencies for anti money laundering, and
other foreign agencies and organizations as prescribed in Article 27 of this
Decree;
c) To act as focal agency in participating in
implementation, carrying out Vietnam’s obligations with role as member of
international organizations for anti money laundering;
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7. To perform other responsibilities specified in
Article 37 of Law on anti money laundering.
Article 25. Responsibilities
of the Ministry of Public Security
1. To receive, collect and handle information which
is transferred by Agency for anti money laundering under The State bank of
Vietnam, information which is provided by the reporting entities as prescribed
in Law on anti money laundering and this Decree; notify relevant result of
handling to Agency for anti money laundering.
2. Annually, to sum up criminal cases involving
money laundering and exchange result with the State bank of Vietnam; coordinate
with the State bank of Vietnam in elaborating documents for popularization and
warning about new methods, tricks, and activities of domestic and foreign money
laundering offenders.
3. Annually, to send reports on summing up
implementation of responsibilities of the Ministry of Public Security in anti
money laundering in Vietnam’s territory to the State bank for summing up and
submitting to Government.
4. To assume the prime responsibility for, and
coordinate with relevant Ministries and sectors in proposing elaboration,
promulgation or promulgating, under its competence, legal documents in
activities of fight, anti money laundering.
5. To perform other responsibilities specified in
Article 38 of Law on anti money laundering.
Article 26. Responsibilities
of other Ministries and sectors
1. To coordinate with the State bank of Vietnam in
performing state management of anti money laundering:
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b) Periodically assessing and proposing measures to
handle risks of money laundering in their management fields;
c) Appointing and ensuring the organizational
structure, human, financial and technical resources for focal units and units
in charge of on anti money laundering under their ministries, sectors.
2. Guiding, directing units in system and the
reporting entities under their management competence in carrying out anti money
laundering measures.
3. Conducting inspections and examination over
activities of anti money laundering in respect to the reporting entities under
their management competence.
a) Periodically conducting inspections and
examinations or conducting inspections and examinations at the request of
Agency for anti money laundering under The State bank of Vietnam; notifying
result of inspections and examinations to Agency for anti money laundering
under The State bank of Vietnam;
b) Notifying Agency for anti money laundering under
The State bank of Vietnam about doubtful transactions which they have received
or detected during the course of inspection and examination;
c) Handling and proposing competent authorities for
handling, in respect to violations of law on anti money laundering.
4. Coordinating and exchanging information with The
State bank of Vietnam and relevant Ministries, sectors and units:
a) To sum up to send and notify immediately when
there is change in list of the reporting entities under management
responsibility of their ministries and sectors to the agency for anti money
laundering, under the State bank of Vietnam;
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c) To coordinate, exchange, supply, handle information
in the course of inspection, investigation, prosecution, adjudication involving
activities of money laundering.
5. Annually, to make summing reports about
implementation of anti money laundering and send them to the State Bank of
Vietnam for summing up and submitting to Government.
6. To perform other responsibilities specified in
Law on anti money laundering.
7. Other Ministries and sectors specified in this
Article mean Ministries and sectors managing the reporting entities stated in
Clauses 3, 4 Article 4 of Law on anti money laundering, including:
a) The Ministry of Finance manages the reporting
entities which perform one or some following activities: Consultancy, guarantee
for securities issue, agent of securities distribution; management of investment
capital list; management of cash or securities for other organizations or
individuals; provision of insurance and investment services related to life
insurance; provision of accounting service; trading in games with prizes,
casino;
b) The Ministry of Finance manages the reporting
entities which perform one or some following activities: Trading in service of
real estate management, service of real estate brokerage; trading in real
estate transaction floor;
c) The Ministry of Natural Resources and Environment
manages the reporting entities which perform one or some following activities:
Trading in service of land management, purchase and sale brokerage, transfer of
land use right;
d) The Ministry of Planning and Investment manages
the reporting entities which perform one or some following activities: Service
of investment entrustment; service of establishment, management, administration
of enterprises; service of provision of directors, clerks of enterprises to the
third party;
dd) The Ministry of Justice manages the reporting
entities which perform one or some following activities: Provision of
notarization service, legal services of lawyers, law-practice organizations;
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Chapter IV.
INTERNATIONAL COOPERATION IN ANTI MONEY LAUNDERING
Article 27. International
cooperation in exchanging information and documents involving anti
money laundering
1. Types of information and documents allowed
exchanging and providing for foreign partners:
a) Legal documents, general information about
mechanism, policy in anti money laundering; general information about anti
money laundering in each field; information about international cooperation in
anti money laundering;
b) Information in official report about
implementation of Resolutions of United Nations Security Council;
c) Information, reports in framework to perform international
treaties, commitments and memorandums which Vietnam has signed or acceded;
d) General and detailed information to support for
course of handling doubtful transaction;
dd) General and detailed information to support for
course of investigation, prosecution and adjudicate of offenders;
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2. Forms of exchanging, providing information and
document:
a) Information, documents and request for providing
information, documents stated in points a, b, c clause 1 of this Article may be
made in writing or email, facsimile or other electronic means;
b) Information, documents and request for providing
information, documents stated in points d, dd and e clause 1 of this Article
must be made in writing.
3. Content of request
a) Written request for exchanging, providing
information and document minimally includes the following information: Name of
the requested organization or country, address, telephone number, facsimile
number, email; name of the requesting organization or country, address,
telephone number, facsimile number, email; specific information which needs be
exchanged, provided; basis, reason of request for exchanging and providing
information; subjects and purpose of using the provided information, documents;
time limit of request for exchanging, providing information; characteristics in
details of support case for determining place storing information, documents
which need be exchanged or provided; copies of vouchers, evidences or final
judgment of competent agencies of the requesting country; name and position of
person competent to sign on the written request, affixing seal of the
requesting organization (if any);
b) Letters, facsimiles requesting for exchanging,
providing information must include the following information: Name of the
requested organization or country, name of the requesting organization or
country, address, facsimile number, email; specific information which needs be
exchanged, provided; basis, reason of request for exchanging and providing
information; subjects and purpose of using the provided information, documents;
time limit of request for exchanging, providing information; name and position
of person signing on the written request.
4. Request for exchanging, providing information
may be refused in the following cases:
a) Information requested for exchanging or
providing may cause harms to the sovereignty,
national security or other important interests of Vietnam;
b) Information requested for exchanging or
providing does not conform to international treaties
of which the Socialist Republic of Vietnam is a member, international
agreements which Vietnam has signed or acceded to and other regulations of Vietnamese
laws.
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5. Agencies and organizations have right of
international cooperation in exchanging and providing information about anti
money laundering:
a) The State bank of Vietnam has competence to
perform or act as focal agency in exchange and provision of information
specified in Clause 1 of this Article;
b) The Ministry of Foreign Affairs shall assume the
prime responsibility for, and coordinate with relevant agencies in providing or
guiding relevant agencies in providing information specified in point b, c
Clause 1 of this Article;
c) The Ministry of Public Security, the Ministry of
Justice shall, depend on their functions and tasks, coordinate with the Supreme
People’s Procuracy, the Supreme People’s Court , in performing or acting as
focal agency in performing the exchange and provision of information as
prescribed in point dd Clause 1 of this Article;
d) Ministries, sectors and other agencies under
Government shall, depend on their functions and tasks, conduct performing the
exchange and provision of information specified in point a Clause 1 of this
Article, concurrently notify timely in writing about content, time, relevant
parties and other international cooperation programs to the State bank of
Vietnam or agencies specified in point c of this Clause.
Article 28. International
cooperation in determining and blocking assets of money laundering offenders
1. Orders of and procedures for determining and
blocking assets of money laundering offenders shall comply with Law on legal
assistance, International treaties of which the Socialist Republic of Vietnam
is a member, Code of criminal procedures and other provisions of relevant laws.
2. Request for determining and blocking assets in
Vietnam of overseas money laundering offenders must satisfy contents in
requirement in point a Clause 3 Article 27 of this Decree and be send to the
Ministry of Justice enclosed with decision or judgment of Court in which
individual possesses assets being requested for determination and blockade in
Vietnam is sentenced to be money laundering offender.
Article 29. Performing legal
assistance and cooperation in extradition of money laundering offenders
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2. Process of, procedures for and methods of
cooperation in extradition of money laundering offenders shall comply with Law
on legal assistance and Code of criminal procedures of Vietnam, International
treaties of which the Socialist Republic of Vietnam is a member, agreements of
legal assistance between Vietnam and other countries. The Ministry of Public
Security shall act as focal unit in performing and requesting for extradition
of money laundering offenders.
Chapter V.
PROVISIONS OF IMPLEMENTATION
Article 30. Effect
1. This Decree takes effect on October 10, 2013.
2. This Decree replaces Government’s Decree No.
74/2005/ND-CP dated June 07, 2005, on anti money laundering.
Article 31. Responsibility for
implementation
Ministers, Heads of ministerial-level agencies,
Heads of Governmental agencies, chairpersons of People’s Committees of
provinces and central-affiliated cities, and relevant organizations and
individuals shall implement this Decree.
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ON BEHALF OF THE GOVERNMENT
PRIME MINISTER
Nguyen Tan Dung