|
STATE BANK OF VIETNAM
-------
|
SOCIALIST REPUBLIC OF VIET NAM
Independence - Freedom – Happiness
---------
|
|
No. 22/2009/TT-NHNN
|
Hanoi, November 17, 2009
|
CIRCULAR
GUIDING
THE IMPLEMENTATION OF MEASURES OF MONEY LAUNDERING PREVENTION AND COMBATING
Pursuant to Article 27 of the Decree No.
74/2005/ND-CP dated 07/06/2005 of the Government on the prevention from,
combating against money laundering (hereinafter shortly referred to as the
Decree No. 74), the State Bank hereby provides guidance on the implementation
of measures of money laundering prevention and combating as follows:
Section I
GENERAL
PROVISIONS
Article 1. Governing
scope
This Circular provides guidance on measures
of prevention from, combating against money laundering in Vietnam in monetary or other asset transactions.
Article 2. Subjects
of application
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
a. State-owned credit institutions;
b. Joint stock credit institutions;
c. Co-operative credit institutions
(including co-operative banks, people’s credit fund and other forms);
d. Joint venture credit institutions;
dd. 100% foreign owned credit institutions;
e. Foreign bank branches in Vietnam;
g. Vietnam Postal Savings Service Company;
h. Foreign currency exchange agents;
i. Payment service suppliers (excluding
organizations mentioned in this Article, which have already been authorized to
supply payment service).
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
In this Circular, following terms shall be
construed as follows:
1. Customer information update means any
amendment of, supplement to the information which has been identified about the
customer to ensure that the information is adequate, accurate during the
establishment of the relationship, transaction with the customer.
2. Suspicious transaction means any
transaction as defined in Article 9 of this Circular.
3. Reporting organization means any
organization as stipulated in Article 2 of this Circular.
4. Warning list means the list of individuals
who, organizations which:
a. are related to a criminal act established
by the Ministry of Public Security in order to prevent from, combat against
money laundering and prevent from the use of money or asset to facilitate or
finance criminal activities inside or outside Vietnam’s territory.
b. May be related to money laundering
established by Anti-money laundering Office of Banking Inspection and
Supervision Agency or established by a reporting organization.
5. Beneficiary owner means the last owner or
controller to a monetary transaction or other asset transaction.
6. Cash transaction of big value means cash
transactions of which value must be reported in accordance with provisions in
Article 9 of the Decree No. 74.
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
8. Necessary case mean cases where the
reporting organization finds out that its customer or parties involved in the
requested transaction are named in the warning list or are reasonably believed
to relate a criminal activity.
Section II
MEASURES OF
PREVENTION FROM, COMBATING AGAINST MONEY LAUNDERING
Article 4. Internal
regulations on money laundering prevention and combating
1. Pursuant to provisions in this Circular
and related legal documents, reporting organizations must set up and issue
internal regulations on money laundering prevention and combating, including
basic policies, provisions, processes and procedures as follows:
a. Policy on customer acceptance;
b. Process, procedures on customer
identification and information update;
c. Provisions on transactions to be reported;
d. Process on the examination, detection and
reporting of suspicious transaction;
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
e. Provisions on information archive and
security;
g. Provisions on the temporary measures
applied in the prevention from, combating against money laundering and
principles of dealing with cases of delay, failure to perform the transaction;
h. Provisions on the cooperation with law
executing agencies in the prevention from, combating against money laundering
and responsibility of reporting, supplying information to the Anti-money
laundering office of the Banking Inspection and Supervision Agency and
competent state agencies;
i. Provisions on the training, improvement of
awareness and professional skills of prevention from, combating against money
laundering;
k. Provisions on internal control and audit
over the compliance with policies, provisions, processes and procedures
concerning money laundering prevention and combating; responsibilities of the
person in charge of money laundering prevention and combating and every
individual, division for the implementation of internal regulations on money
laundering prevention and combating.
2. Contents of the internal regulations must
be in line with the organizational structure, operation scale and money
laundering risk level in operation of the reporting organization.
3. Within a period of 3 months from the
effectiveness of this Circular, reporting organizations shall be responsible
for examining, amending, supplementing or newly issuing documents relating to
their internal regulation on prevention from, combating against money
laundering in line with provisions of this Circular and sending performance
report together with related documents to the Anti-money laundering Office of
the Banking Inspection and Supervision Agency.
4. Reporting organizations shall, on a
regular basis, review and assess their internal regulations on prevention from,
combating against money laundering so as to ensure the conformity with
provisions of applicable laws, the change and development of banking products,
services.
5. Internal regulations on money laundering
prevention and combating should be disseminated to every individual who,
division which is responsible for the prevention from, combating against money
laundering in the reporting organization, including those who are employed by
the reporting organization to work for a period of 6 months and more, related
to financial, monetary transactions at the head office, operation departments,
branches operating in Vietnam and overseas.
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Article 5. Arranging
officer, division in charge of prevention from, combating against money
laundering
1. Each reporting organization should appoint
a member of the Executive Board to be in charge of organizing, conducting,
inspecting the compliance with provisions of applicable laws on prevention
from, combating against money laundering at their unit (hereinafter referred to
as the person in charge of money laundering prevention and combating) and
register with the Anti-money laundering office of the Banking Inspection and
Supervision Agency enclosing with such details as name, address of the work
office, phone number, fax number, email address for contact when required. In
case of changing the person in charge of money laundering prevention and
combating or information relating to that person, the reporting organization
shall be required to timely make written report to the Anti-money laundering
office of the Banking Inspection and Supervision Agency.
2. Depending on the scale, scope and specific
features of their own operation, the reporting organization shall consider,
make own decision on the establishment of a specialized unit (division,
department) or appoint a unit at the head office to undertake the prevention
from, combating against money laundering; at the operation department,
branches, the reporting organization shall arrange one or several officers to
be in charge of prevention from, combating against money laundering.
Article 6.
Identification and update of customer information
1. Cases required to identify customer
a. Customer establishes a transaction
relationship or opens an account for the first time with the reporting
organization;
b. Customer performs cash transaction of big
value or electronic money remittance transaction;
c. Where his transaction shows any suspicious
sign;
d. Where the reporting organization is in
doubt about the truthfulness or completeness of customer identification
information previously collected.
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Reporting organizations shall design their
own customer identification form, providing that following required information
must be ensured:
a. Information about customer
- For individual customer: full name, date of
birth, nationality; occupation, position; passport number, visa, ID card;
address (for Vietnamese people: permanent resident address and current resident
address; for foreigner: registered address in foreign country and temporarily
registered address in Vietnam), phone number; customer profile (if any);
- For corporate customer: full trading name
and abbreviated name; address of the head office, phone number, fax number;
establishment agency; line of business.
Information about the representative of the
organization includes the same information as for individual customer stated
above.
b. Date of opening account or performing
transaction.
c. Information about beneficiary owner.
d. Information about individual, organization
having main relationship with the customer (for example, supplier and consumers
of the customer).
dd. Purpose and value of the transaction.
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3. Measures of customer identification:
a. Using reliable original documents, data to
identify and verify customer identification, such as:
- For individual customer: valid ID card or
passport; family record book and other documents issued by a competent agency
(driving license, health insurance card…);
- For corporate customer: License or Decision
on the establishment; Decision on the change of name, split, separation,
merger; business registration certificate, tax registration certificate; decision
on the appointment of General Director (Director), Chief Accountant.
b. Reporting organization may use a third
party to verify the customer identification, such as:
- Through individuals who, organizations
which (including other reporting organizations) have been maintaining
relationship with the customer and comparing the obtained information with the
information provided by the customer;
- Through the management agency or other
competent state agencies;
- Reporting organizations may hire, cooperate
with other organizations to verify the customer identification. However, the
reporting organizations shall take the final responsibility for identification
and update of customer information.
4. Reporting organizations shall, on a
regular basis, update customer information to ensure an adequate knowledge
about the customer during the establishment of relationship with the customer.
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Article 7. Checking
customers and transactions
1. Before establishing the relationship or
supplying banking services to the customer, especially in performing overseas
payment remittance orders, reporting organizations shall check the customer and
related parties in accordance with the warning list.
2. Reporting organizations should pay special
attention to significant, complicated, extraordinary transactions and carefully
check documents, materials relating to the basis and purpose of the transaction
in order to find out any suspicious transaction.
Article 8. Cash
transaction and reporting cash transaction
1. Value amount of cash transaction that
needs reporting:
a. Normal cash transaction: one or several
transactions of cash deposit or withdrawal in a day with total value of VND
200,000,000 (two hundred million dong) and more, performed by one customer,
either individual or corporate, in Vietnamese dong or in foreign currency or in
gold that is converted at the exchange rate or gold price at the time of
arising the transaction. Reporting organization shall not be required to report
balance on the deposit account of their customer.
b. Savings deposit transaction: one or
several transactions of cash savings deposit or withdrawal in a day with total
value of VND 500,000,000 (five hundred million dong) and more, performed by one
individual customer in Vietnamese dong or in foreign currency or in gold that
is converted at the exchange rate or gold price at the time of arising the transaction.
Reporting organization shall not be required to report balance on the savings
deposit account of their customer.
2. Reporting organizations shall be required
to make report on cash transactions of big value in line with Forms 01, 02, 03
attached to this Circular on the basis of consolidation of entire system.
3. In case where the customer deposits
foreign currency in cash to buy Vietnamese dong in cash or deposits Vietnamese
Dong in cash to buy foreign currency in cash, it is required to make only report
about cash deposit or withdrawal transaction.
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
5. Reporting organization shall check, screen
cash transactions of big value so as to detect suspicious transactions.
Article 9. Suspicious
transactions and reporting suspicious transactions
1. Apart from signals of a suspicious
transaction as stipulated in Paragraph 1 Article 10 of the Decree No.74, the
State Bank hereby provides additional guidance on signals of a suspicious
transaction as follows:
a. Home phone number or office phone number
of the customer cannot be connected or this number does not exist after opening
account or performing the transaction.
b. The customer frequently changes money of
small face value to big face value with total value of VND 200,000,000 (two
hundred million dong) and more in each time of changing.
c. The deposit, withdrawal or remittance
transaction is performed by an individual or organization relating to an
illegal activity, which has already been released by mass media.
d. Information about capital contributions in
the financing, investment, lending, financial lease or investment entrustment
operations of the customer is not clear, transparent in terms of origin.
dd. Information about the pledge, mortgage
asset of the borrower is not clear, transparent in terms of origin.
2. Based on the nature of the business
activity, reporting organizations shall, by their own decision, add suspicious
signals as provided for in Paragraph 1 of this Article by each operational
division, sector of business.
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
For operation departments, branches of the
reporting organizations, the person who is competent to sign reports shall be
the one who is in charge of the unit. These units shall be responsible for
reporting the Anti-money laundering office of the Banking Inspection and
Supervision Agency and competent state agencies through their head offices; in
case of necessity, they may directly make report to the Anti-money laundering
office of the Banking Inspection and Supervision Agency, competent state
agencies and to their head offices at the same time.
4. Upon detecting any suspicious transaction,
reporting organizations must make written report to the Anti-money laundering
office of the Banking Inspection and Supervision Agency in line with Form No.04
attached to this Circular. In case of necessity, reporting organizations may
report via fax or telephone, but a written report must be sent promptly
thereafter.
5. Reporting organizations shall be
responsible for following up the developments of the reported transaction,
updating arising information and reporting the Anti-money laundering office of
the Banking Inspection and Supervision Agency and competent state agencies.
Article 10.
International payment remittance
1. Reporting organizations shall be required
to make a statistic report on international payment remittance to and from Vietnam by each item of remittance and record at their units. Statistic report on the
international payment remittance transactions shall be sent to the Anti-money
laundering office of the Banking Inspection and Supervision Agency in line with
guiding documents of the State Bank.
2. Reporting organizations which were
licensed by the State Bank and have been supplying international remittance
payment services shall be required to establish an information technology
system in service of the money laundering prevention and combating.
Article 11. Reporting
deadline
1. Reporting organizations shall be required
to report the Anti-money laundering office of the Banking Inspection and
Supervision Agency within a period of 48 hours for a suspicious transaction
since the time of detecting suspicious signal.
2. Report on cash transactions of big value
shall be temporarily kept at the reporting organization in written form and in
electronic file in computer. The written report shall be sent to the Anti-money
laundering office of the Banking Inspection and Supervision Agency upon
request. Report on cash transactions of big value in the electronic file saved
in the computer shall be sent to the Anti-money laundering office of the
Banking Inspection and Supervision Agency in accordance with guiding document
of the State Bank.
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Article 12.
Information security
1. Documents, records relating to reported
transactions in line with this Circular shall be documents, items containing
state secret in Banking sector, which is subject to the “Secret” level,
reporting organizations shall only be authorized to provide to the Anti-money
laundering office of the Banking Inspection and Supervision Agency and
competent state agencies in accordance with provisions of applicable laws.
2. Individuals, organizations performing the
responsibility of reporting or providing customer information relating to
transactions to be reported in accordance with provisions of the Decree No.74
and guidance of this Circular shall not be deemed as violating provisions of
applicable laws on keeping secret of information about deposit and deposited
asset of the customer or other provisions on customer information security.
3. Upon identifying customer or checking
suspicious transactions, reporting organizations operating in Vietnam may exchange information about customers with one another, providing that information
is used for proper purpose and only used for internal activities.
4. Branches of foreign banks, 100% foreign
owned banks operating in Vietnam may supply customer identification information
to their Head offices in foreign countries or their branches, subsidiary
companies in order to serve the money laundering prevention, combating.
Information receiving organizations shall be responsible for keeping secret of
information, be prohibited from disclosing information to any third party
unless they obtain a written consent from a competent agency of Vietnam.
5. With regards to information relating to
customer’s deposit and deposited asset, which is “Secret” information of state
secret in Banking industry, the reporting organization shall only be authorized
to supply to overseas financial institutions which have correspondent banking
relationship in order to serve the money laundering prevention and combating
upon the availability of the approval from the Governor of the State Bank. The
receiving parties must use information for proper purpose and not disclose to
any third party.
Article 13.
Application of temporary measures
1. The reporting organization shall apply
temporary measures in line with the scope of competence, in compliance with
provisions of applicable laws and without prejudice to the safety of the
financial, monetary system.
2. The reporting organization shall only be
authorized to execute the right not to perform transaction where:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
b. It is reasonable to believe that the
requested transaction is related to a criminal activity.
3. The reporting organization shall not be
liable to any damage arising from the non-performance of the transaction in
accordance with provisions of applicable laws.
4. The blockade of account shall be
implemented in accordance with current provisions of applicable laws.
Article 14. Internal
control and audit
1. The reporting organization shall be
required to establish an internal control system in order to ensure the
compliance with provisions of applicable laws and internal regulations on the
prevention from, combating against money laundering.
2. On an annual basis, the reporting
organization shall be required to perform the internal audit for the money
laundering prevention and combating activity so as to examine, check, assess,
on an independent, objective manner, the compliance with the established
internal regulation and recommend, propose measures to improve the efficiency,
effectiveness of the money laundering prevention and combating activity.
3. Any act of violation detected during the
internal control, audit must be reported to the person in charge of money
laundering prevention and combating and the head of the reporting organization
for settlement.
4. Within a period of 60 days at the latest
since the ending of the fiscal year, the reporting organization shall send
internal audit report on prevention from, combating against money laundering to
the Anti-money laundering office of the Banking Inspection and Supervision
Agency.
Article 15. Documents
archive
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Article 16. Training
1. On an annual basis, the reporting
organization shall set up and carry out the program of training and raising
awareness of the measures of prevention from, combating against money
laundering for all officers and staff relating to money and other asset
transactions of the reporting organization. The reporting organization must
have a policy on giving priority to the training of those staff who directly
transact with the customers and officers, staff in charge of prevention from,
combating against money laundering.
2. The reporting organization shall, by its
own decision, select the training form that is in correspondence with its
organizational and operation features; take initiative in coordinating with the
Banking Inspection and Supervision Agency and concerned units to organize the
training for officers, staff with respect to the professional skill and
operations of prevention from, combating against money laundering.
3. Contents of officers, staff training must
be in line with their work and level of money laundering risk relating to their
work; be suitable with their responsibility for the implementation of internal
regulations on the prevention from, combating against money laundering and
include following main contents:
a. Provisions of laws and internal
regulations on the prevention from, combating against money laundering; legal
responsibility in case of failing to implement provisions of laws on the
prevention from, combating against money laundering.
b. Methods, tricks of money laundering and
money laundering tendency in the coming time.
c. Risk of money laundering relating to the
product, service, work that they are in charge of.
4. Within a period of 6 months since the time
of recruiting staff to execute duties relating to monetary and other asset
transactions, the reporting organization shall provide training to the new
employees with basic knowledge in service of the prevention from, combating
against money laundering.
Section III
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Article 17.
Implementation effectiveness
This Circular shall be effective after 45
days since its signing date. In the implementation, any problem or difficulty,
query that may arise should be reflected by the reporting organizations to the
State Bank of Vietnam (through the Banking Inspection and Supervision Agency)
for timely settlement.
Article 18.
Implementing organization
The Director of Administrative Department,
Chief of the Banking Inspection and Supervision Agency, Heads of units of the
State Bank of Vietnam, Managers of the State Bank branches in provinces, cities
under the central Government’s management, Chairman of the Board of Directors,
General Directors (Directors) of reporting organizations shall be responsible
for the implementation of this Circular.
FOR THE GOVERNOR OF
THE STATE BANK OF VIETNAM
DEPUTY GOVERNOR
Tran Minh Tuan
Form
No. 01
Name of the reporting organization:
…………………………………….
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
ON THE CASH DEPOSIT TRANSACTIONS WITH TOTAL VALUE OF VND
200,000,000 AND MORE
(Attached to the Circular No. 22/2009/TT-NHNN dated 17 November 2009 on
guiding the implementation of measures of prevention from, combating against
money laundering)
Order No.
(1)
Date of transaction
(2)
Name of transaction
customers
(3)
Papers for
identification (4)
Amount of
transaction
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(5)
Type of transaction
currency
(6)
Number of account
(if any)
(7)
Transaction
contents
(8)
No. of ID card
Number of Passport
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Tax code of company
1
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
..
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
..
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Drawer (9)
Head of the Unit
(10)
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(2) date, month, year when the transaction
arises;
(3) Stating full name (for individual
customer); full name and abbreviated name (for corporate customer);
(4) Stating fully and in details each column;
if there is not information, stating “Not available”
(5) Stating total amount deposited in a day;
In case of foreign currency or gold, it shall be converted into Vietnamese Dong
under exchange rate or gold price at the time where the transaction arises;
(6) Stating the symbol of the type of money,
gold which the customer has deposited (for example: VND, USD, EUR, XAU,
etc...);
(7) Stating the number of the account to
which the customer deposits their money (if any);
(8) Stating the reasons, purposes of the
transaction;
(9) Officials who are in charge of money
laundering prevention, combating at the unit sign and state their full name;
(10) Signing, clearly stating full name and
sealing.
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Form
No. 02
Name of the reporting organization:
…………………………………….
REPORT
ON THE CASH WITHDRAWAL TRANSACTIONS WITH TOTAL VALUE OF
VND 200,000,000 AND MORE
(Attached to the Circular No. 22/2009/TT-NHNN dated 17 November 2009 on
guiding the implementation of measures of prevention from, combating against
money laundering)
Order No.
(1)
Date of transaction
(2)
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(3)
Papers for
identification (4)
Amount of
transaction
(VND million)
(5)
Type of transaction
currency
(6)
Number of account
(if any)
(7)
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(8)
No. of ID card
No. of Passport
No. of Business
Registration Certificate of company
Tax code of company
1
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
..
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Drawer (9)
Head of the Unit
(10)
Note:
(2) Date, month, year when the transaction
arises;
(3) Stating full name (for individual
customer); full name and abbreviated name (for corporate customer);
(4) Stating fully and in details each column;
if there is not information, stating “Not available”;
(5) Stating total amounts withdrawn in a day;
in case of foreign currency or gold, it shall be converted into Vietnamese Dong
under exchange rate or gold price at the time where the transaction arises;
(6) Stating the symbol of the type of money,
gold which the customer has withdrawn (for example: VND, USD, EUR, XAU,
etc...);
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(8) Stating the reasons, purposes of the
transaction;
(9) Officials who are in charge of money
laundering prevention, combating at the unit sign and state their full name;
(10) Signing, clearly stating full name and
sealing.
Form
No. 03
Name of the reporting organization:
…………………………………….
REPORT
ON THE CASH SAVINGS DEPOSIT OR WITHDRAWAL TRANSACTIONS
WITH TOTAL VALUE OF VND 500,000,000 AND MORE
(Attached to the Circular No.22/2009/TT-NHNN dated 17 November 2009 on
guiding the implementation of measures of prevention from, combating against
money laundering)
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(1)
Date of transaction
(2)
Name of transaction
customers
(3)
Papers for
identification
(4)
Amount of
transaction
(VND million)
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Type of transaction
currency
(6)
Account number
(7)
Symbol of
depositing/ withdrawal transaction
(8)
Notes
(9)
No. of ID card
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
..
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
..
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Drawer (10)
Head of the Unit
(11)
Note:
(2) date, month, year when the transaction
arises;
(3) Stating full name of customers;
(4) Stating fully and in details each column;
if there is not information, stating “not available”;
(5) Stating total amounts deposited or
withdrawn in a day; in case of foreign currency or gold, it shall be converted
into Vietnamese Dong under exchange rate or gold price at the time where the
transaction arises;
(6) Stating the symbol of the type of money,
gold which the customer has deposited or withdrawn (for example: VND, USD, EUR,
XAU, etc...);
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(9) Stating the reasons, purposes of the
transaction;
(10) Officials who are in charge of money
laundering prevention, combating at the unit sign and stating their full name;
(11) Signing, clearly stating full name and
sealing.
Form
No. 04
Report on
suspicious transactions
Date………
(Attached to the Circular No.22/2009/TT-NHNN
dated 17 November 2009 guiding the implementation of measures of prevention
from, combating against money laundering)
Report No:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(Refer to the declaration instructions)
Does this report contain any amendment
of, supplement to the previous one?
No
Yes: - Number of the report to be amended:
- Date of the report to be amended:
- Content of the report to be amended:
Part I: Information about the
reporting unit
1. Information about the reporting
unit
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
b. Address (house number, road/street):
District/town:
Province/City:
Country:
c. Phone number:
d. Fax:
e. Name of the branch/transaction office
where the transaction arises:
f. Address (house number, road/street)
District/town:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Country:
g. Phone number:
h. Fax:
2. Information about the report
drawer
a. Full name:
b. Telephone:
c. Mobile number:
d. Working division:
Part II: Information about
individual, organization performing the suspicious transaction
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1. Information about the individual
performing the transaction
a. Full name:
b. Date of birth:
c. Occupation:
d. Nationality:
e. Permanent resident address (house
number, road/street):
District/town:
Province/City:
Country:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
District/town:
Province/City:
Country:
g. ID card No:
Date of issue:
Place of issue:
h. Valid Passport No:
Date of issue:
Place of issue:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
k. Mobile phone:
l. Account No:
m. Type of account:
n. Date of opening account:
o. Status of account:
Normally operating
Extraordinarily operating (clearly stating the reasons):
2. Information about the
organization performing the transaction:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
a. Full name of the organization:
b. Name in foreign language (if any):
c. Abbreviated name:
d. Address (house number, road/street):
District/town:
Province/City:
Country:
e. Establishment license No:
Date of issue:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
f. Business registration No:
Date of issue:
Place of issue:
g. Tax code:
h. Line of business:
i. Phone number:
k. Fax:
l. Account No:
m. Type of account:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
o. Status of account:
Normally operating
Extraordinarily operating (clearly stating the reasons):
2.2. Information about the
organization’s representative:
a. Full name:
b. Date of birth:
c. Occupation:
d. Nationality:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
District/town:
Province/City:
Country:
f. Current resident address (house number,
road/street):
District/town:
Province/City:
Country:
g. ID card No:
Date of issue:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
h. Valid Passport No:
Date of issue:
Place of issue:
i. Telephone:
k. Mobile phone:
3. Information about the transaction
a. Time of executing the transaction: at
…..hour, date……. month….. year…….
b. Amount of the transaction:
In number:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
c. Purpose of the transaction:
4. Supplemental information
Part III. Information about
individual, organization involved in the suspicious transaction (Partner)
1. Information about the individual
involved in the transaction
a. Full name:
b. Date of birth:
c. Occupation:
d. Nationality:
e. Permanent resident address (house
number, road/street):
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Province/City:
Country:
f. Current resident address (house number,
road/street):
District/town:
Province/City:
Country:
g. ID card No:
Date of issue:
Place of issue:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Date of issue:
Place of issue:
i. Telephone:
k. Mobile phone:
l. Account No:
m. Opened at:
n. Address of the Bank (house number,
road/street):
District/town:
Province/City:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. Information about the
organization involved in the transaction
a. Full name of the organization:
b. Name in foreign language (if any):
c. Abbreviated name:
d. Address (house number, road/street):
District/town:
Province/City:
Country:
e. Establishment license No:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Place of issue:
f. Line of business:
g. Business registration certificate No:
h. Phone number:
i. Fax:
k. Account No:
l. Opened at:
m. Address of the Bank (house number,
road/street):
District/town:
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Country:
3. Supplemental information
Part IV: Reasons for suspecting the
transaction and works already performed
1. Description of the transaction and reasons
for suspicion:
2. Works already performed relating to the
suspicious transaction:
Part V: Enclosed documents
* Account opening documents
* Bank statement of transactions
(subsidiary ledger) from the date of arising related transaction to the
reporting date of the suspicious transaction.
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Drawer
(Report drawing
officer)
Sign, clearly state
full name
Head of Division
(Person in charge
of money laundering prevention, combating at the unit)
Sign, clearly state
full name
General director
(director)
Sign, clearly state
full name
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Guiding the declaration of the report
on suspicious transactions (Form No.04)
Part I:
All fields in this section are required.
(2a): Fully state surname, middle name, name
of the report drawer.
Part II:
(1): Applicable to individual customers (to
leave it blank in case of corporate customers).
(1a): Fully state surname, middle name, name
of the person who performs the transaction.
(1b): Clearly state date, month, year of
birth.
(1h):
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- The passport must still remain in full
force for the person performing transaction who is a non-resident.
(1m): Clearly state whether the account
relating to the suspicious transaction is a demand payment deposit account or
term deposit account, savings deposit account…
(1o): If the account is in extraordinary
status, state clearly the reasons, for example: resuming operation after a long
time of termination or revealing a sudden change in the transaction turnover…
(2): Applicable to corporate customers (to
leave it blank in case of individual customers).
(2.1b): To leave it blank if the organization
has no respective name in foreign language
(2.1m): Clearly state whether the account
relating to the suspicious transaction is a demand payment deposit account, or
term deposit account, savings deposit account…
(2.1.o): If the account is in extraordinary
status, state clearly the reasons, for example: resuming operation after a long
time of termination or revealing a sudden change in the transaction turnover…
(2.2a): Fully state surname, middle name,
name of the person who is the representative of the organization.
(2.2b): Clearly state date, month, year of
birth.
...
...
...
Bạn phải
đăng nhập hoặc
đăng ký Thành Viên
TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- Not required for the person performing the
transaction who is a resident.
- The passport must still remain in full
force for the representative of the organization who is a non-resident.
Part III:
It is not required in the event where the
reporting organization has no information about the individual, organization
involved in the suspicious transaction (partner).
In the event where the reporting organization
has information about the individual, organization involved in the suspicious
transaction (partner): it is just necessary to fill in the fields of which the
information is available, it is not required to fill in all fields.
Part IV:
(1): To provide most specific, clear and
detailed description as possible about the extraordinary signals, elements,
circumstances resulting in the fact that the reporting organization suspects
the transaction and/or believes such transaction is related to money laundering
or criminal activity.
(2): To give detailed description of the
performed works relating to the settlement of the report on suspicious
transactions.