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STATE BANK
OF VIETNAM
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SOCIALIST
REPUBLIC OF VIET NAM
Independence - Freedom – Happiness
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No.
35/2013/TT-NHNN
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Hanoi,
December 31, 2013
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CIRCULAR
GUIDING
IMPLEMETATION OF A NUMBER OF PROVISIONS ON PREVENTION OF MONEY LAUNDERING
Pursuant to the June 16, 2010 Law on the state
bank of Vietnam No. 46/2010/QH12;
Pursuant to the June 18, 2012 Law on anti- money
laundering No. 07/2012/QH13;
Pursuant to the Government’s Decree No.
116/2013/ND-CP dated October 04, 2013, detailing implementation of a number of
Article of Law on anti-money laundering;
Pursuant to the Government’s Decree No.
156/2013/ND-CP dated 11/11/2013, defining the functions, tasks, powers and
organizational structure of the State bank of Vietnam,
At the proposal of the Chief of banking
Inspection and supervision,
The Governor of the State bank of Vietnam
promulgates Circular guiding implementation of a number of provisions on
prevention of money laundering.
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This Circular provides for enhanced assessment of
highly potential risk customers; notification of list of politically-influenced
foreign individuals; content and forms of reports including: high value
transactions, suspicious transactions; electronic money transfers, and money
laundering for the aim of terrorist financing; values of precious metals, gems
and negotiable instruments required custom declaration.
Article 2. Subjects of
application
1. The reporting units as prescribed at Clause 1, 2
Article 2 of Law on anti-money laundering.
2. Vietnamese organizations and individuals;
foreigners or stateless persons residing or not residing on Vietnam’s
territory; foreign organizations, international organizations, non-governmental
organizations operating or not operating on Vietnam’s territory buy having
financial transactions or other asset transaction with organizations and
individuals specified at clause 1 this Article.
Article 3. Measures of enhanced
assessment for highly potential risk customers
For highly potential risk customers not in cases
specified in articles 13, 14, 15, 16 and 17 of Law on anti-money laundering, in
addition to application of measures of identification as prescribed in Article
9 of Law on anti-money laundering, the reporting units must apply the following
measures of enhanced assessment:
1. To require an approval of management level
higher than the approving authority one or more levels applicable to normal
customers when they set up relations for the first time or when a current
customer is assessed to be a highly potential risk customer. For current
customers, after assessment or reassessment, they are classified in highly
potential risk customers, the reporting units must submit to competent
authorities for approving or re-approving the relation with these customers and
application of enhanced measures as prescribed at Clause 2, Clause 3 and Clause
4 this Article.
2. To collect additionally the following
information:
a) For customers being individuals:
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- Full name, address, and occupation of wife or
husband, children of customer.
b) For customers being organizations:
- Trades of production, business and service that
create main turnover;
- Financial statements in last 2 years;
- List (full name, address, telephone) of members
of Board of Directors or Member assembly, members of the executive board, chief
accountant or equivalent person;
- List of (name, address, representatives) of
mother company, subsidiary companies, representative offices (if any).
3. To strictly supervise transactions of highly
potential risk customers.
4. To update information on a basis of at least 6
months once or when the reporting units know that information of customer has
been changed.
Article 4. List of
politically-influenced foreign individuals
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. The access, use of list of
politically-influenced foreign individuals shall comply with guideline of the
Banking Inspection and Supervision agency of the State bank of Vietnam
(hereinafter referred to as the Banking Inspection and Supervision agency); the
reporting units do not supply information of this list to the third party
without consent of the Banking Inspection and Supervision agency.
3. The reporting units must register in writing
with the Banking Inspection and Supervision agency (through Bureau of
anti-money laundering) for information of persons accessing and using the list
of politically-influenced foreign individuals, including: Full name, valid ID
number or passport, position, telephone number and address of working place,
email.
Article 5. Report on
transactions of big value
1. When performing transactions of big vale, the
reporting units shall report to Bureau of anti-money laundering in writing
according to the form No.02 enclosed with this Circular or e-data file as
prescribed in Article 10 of this Circular.
2. If customers submit cash of big value to buy
Vietnam currency or submit cash in Vietnam dong of big value to buy foreign
currency in cash, only transactions of submitting cash are required to report.
3. Content of report on transactions of big value:
a) Information of customer:
- For customers being individuals: Full name, date
of birth, ID number or passport number, nationality (if a customer have many
nationalities, he must write fully nationalities and addresses of residence
registered at countries he bears nationality) address of residence in Vietnam;
- For customers being organizations: Organization
name, address, country, tax code; if an organization has no tax code, it is
required to have number of operational license or decision on establishment or
the Business registration certificate.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- For transactions of big value in cash (Vietnam
currency or foreign currency): Day of implementing transaction, number of
account (if any), transaction type, transaction code (sole reference number for
each transaction), amount of transaction, kind of transaction currency, amount
converted into Vietnam dong (at the rate of respective transaction type at time
of arising transaction), reason, purpose of transaction, name, location where
transaction arises;
- For gold purchase and sale transactions of big
value: Day of implementing transaction, transaction type, transaction code
(sole reference number for each transaction), volume (unit: Kilogram;
enumerated under each kind of goods), value of each transaction, total
transaction value in day converted into Vietnam dong, reason, purpose of
transaction, name, location where transaction arises;
c) Other information which is specified in forms
promulgated together with this Circular.
4. The reporting units must review, select
transaction in cash of big value to timely detect suspicious transactions.
Article 6. Report on suspicious
transactions
1. Upon detecting any suspicious transaction as
prescribed in Article 22 of Law on anti-money laundering and Article 14 of
Decree No. 116/2013/ND-CP dated 04/10/2013, detailing implementation of a
number of Articles of Law on anti-money laundering, the reporting units shall
make written report to the Bureau of Anti-money laundering according to Form
No.01 attached to this Circular or e-data file as prescribed in Article 10 of
this Circular.
2. Bureau of anti-money laundering shall certify
the receipt of report on suspicious transaction and reply to subject of report
about problems arising as necessary.
Article 7. Report on e-transfer
transactions
1. When supplying service of e-transfer in excess
of the prescribed value, the reporting units shall report to the Bureau of
anti-money laundering in writing or e-data file as prescribed in Article 10 of
this Circular.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
a) Organization issuing the transfer orders:
transaction name of organization or transaction spot; contact address; country.
b) Organization serving the beneficiary:
transaction name of organization or transaction spot; contact address; country.
c) The remittance Individual or organization and
individual or organization as the beneficiary:
- Individual: Full name; valid ID number or
passport number; account number (if any); transaction code; amount, kind of
transaction currency; contact address; country.
- Organization: name; account number, tax code,
business registration number; transaction code; amount, kind of transaction
currency; contact address; country.
3. Intermediate organizations must archive dossiers
of transactions including information as prescribed at Clause 2 this Article
for at least 5 years from the day of arising transaction and take
responsibilities for supplying those dossiers to competent state agencies as
requested and it is not required to report the e-remittance transactions to the
Bureau of anti-money laundering.
4. The reporting units which are permitted to
conduct international e-remittance must build an appropriate information
technology system in serve of report with e-data file as prescribed in Article
10 of this Circular and must have a software system to filter, analyze transactions
aiming to prevent money laundering and other risks.
Article 8. Report on acts for
the aim of terrorist financing
1. When detecting organizations or individuals
committing transaction falling in black list or when having basis to deem that
other organizations or individuals committing acts involving money laundering
crime for the aim of terrorist financing, the reporting units shall report act
of money laundering for the aim of terrorist financing to forces of
anti-terrorism of the Ministry of Public Security, concurrently report to the
Bureau of anti money laundering in writing or e-data file as prescribed in
Article 10 of this Circular.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
a) Subject of report: Name, address,
telephone number;
b) Agency receiving report: Name, address;
c) Organizations or individuals falling in black
list or committing act involving money laundering crime for the aim of
terrorist financing: Name, nationality, other information such as ID number or
passport number, tax code, business registration number, address, account
number, reference number of transaction (if any);
d) Other relevant organizations or individuals:
Name; nationality; relation with organizations or individuals stated in point c
this Clause; other information such as ID number or passport number, tax code,
business registration number, address, account number, reference number of
transaction (if any);
e) For e-remittance, including information as
prescribed at Clause 2 Article 7 of this Circular;
f) The applied temporary measures and information
of transactions and assets involving the applied measures;
g) Full name, signature of authorized persons and
seal of the reporting units (if any).
3. Time limit for sending report shall perform like
report on transaction which has signs involving crime as prescribed at Clause 7
Article 16 of Decree No. 116/2013/ND-CP dated 04/10/2013, detailing
implementation of a number of Articles of Law on anti-money laundering.
Article 9. The value of foreign
currency in cash, Vietnam currency in cash, precious metals, gems and
negotiable instruments required customs declaration
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
a) Precious metals (other than gold) include:
Silver, platinum, crafts and jewelry made of silver, platinum; kinds of alloy
containing silver, platinum.
b) Gems include: diamond, ruby, sapphire and
emerald.
2. Value of negotiable instruments: 300,000,000 (three
hundred million) dong.
3. The value of foreign currency in cash, Vietnam
currency in cash, gold required customs declaration shall comply with
regulations of the State bank of Vietnam.
Article 10. Forms of report
with e-data file
1. Report with e-data file is report presented
under data file transmitted through transmission line of the State bank of
Vietnam.
2. Report with e-data file must comply with format,
sign, transmission code, file structure under guideline of agency of banking
inspection and supervision.
3. The reporting units must transmit information
under the process defined by the State bank of Vietnam and have measures for
information security as prescribed in Article 29 of Law on anti-money
laundering.
4. The reporting units must install software
supplied by the Bureau of anti-money laundering, for file transmission.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
6. The reporting units must register in writing
with the Bureau of Anti-money laundering about officers in charge of report
with e-data file, including information: Full name, position, address of
working place, telephone number, email address and must notify in writing when
changing information of officers in charge or changing other officers in
charge.
Article 11. Effect
1. This Circular takes effect on February 14, 2014.
2. This Circular replaces Circular No.
22/2009/TT-NHNN dated 17/11/2009 of the State bank of Vietnam guiding measures
for anti-money laundering, Circular No. 41/2011/TT-NHNN dated 15/12/2011 of the
State bank of Vietnam, on guiding the identification and update of customer
information on the risk basis for serving the anti-money laundering.
Article 12. Responsibilities
for implementation
1. Heads of authorized state agencies as prescribed
in Law on anti-money laundering and the reporting units as prescribed at Clause
1 Article 2 of this Circular shall organize implementation of this Circular.
2. During the course of implementation, if arising
any problem, difficulty, the reporting units should reply to the State bank of
Vietnam (through the Bureau of anti-money laundering) for timely guide.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
FORM No.01
Report on suspicious transactions
Date………
(Attached to the Circular No………………..dated ………………2013)
Report No.:
IT IS OBLIGED
TO FULFILL REQUIRED FIELDS
(Refer to the
declaration instructions)
Does this report contain any amendment of,
supplement to the previous one:
□ No
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- Number of the report to be amended:
- Date of the report to be amended:
- Content of amendment:
Part I
INFORMATION ABOUT THE REPORTING UNIT
1. Information about the
reporting unit
a. Name of the reporting unit:
b. Address (house number, road/street):
District:
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Country:
c. Telephone:
d. Facsimile:
e. Name of the spot where the transaction arises:
f. Address of the spot where the transaction
arises:
District:
Province/City
Country:
g. Telephone:
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. Information about the
person making report:
a. Full name:
b. Telephone:
c. Mobile number:
d. Working division:
Part II
INFORMATION ABOUT INDIVIDUAL, ORGANIZATION
PERFORMING THE SUSPICIOUS TRANSACTION
3. Information about
individual performing the transaction:
a. Full name:
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
c. Occupation:
d. Nationality:
e. Permanent resident address:
District:
Province/City
Country:
f. Current resident address
District:
Province/City
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
g. ID card No.
Date of issue:
Place of issue:
h. Passport number (valid):
Date of issue:
Place of issue:
i. Telephone:
k. Mobile number:
l. Account No.:
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
n. Date of opening account:
o. Status of account:
£ Normally operating
□ Extraordinarily operating
(clearly stating the reasons):
2. Information about
organization performing the transaction:
2.1. Information of organization
a. Full name of organization
b. Name in foreign language (if any):
c. Abbreviated name:
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
District:
Province/City
Country:
e. Establishment license No.:
Date of issue:
Place of issue:
f. Business registration No.:
Date of issue:
Place of issue:
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
h. Line of business:
i. Telephone:
k. Facsimile:
l. Account No.:
m. Account type:
o. Status of account:
□ Normally operating
□ Extraordinarily operating
(clearly stating the reasons):
2.2. Information of organization’s
representative
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
b. Date of birth:
c. Occupation:
d. Nationality:
e. Permanent resident address:
District:
Province/City
Country:
f. Current resident address:
District:
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Country:
g. ID card No.
Date of issue:
Place of issue:
h. Passport number (valid):
Date of issue:
Place of issue:
i. Telephone:
k. Mobile number:
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
a. Time of executing the transaction: at
…..o'clock , date……. month….. year…….
b. Amount of the transaction:
In number:
In word:
c. Purpose of transaction:
4. Supplemental information
Part III
INFORMATION ABOUT INDIVIDUAL, ORGANIZATION
INVOLVING THE SUSPICIOUS TRANSACTION
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
a. Full name:
b. Date of birth:
c. Occupation:
d. Nationality:
e. Permanent resident address:
District:
Province/City
Country:
f. Current resident address:
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Province/City
Country:
g. ID card No.
Date of issue:
Place of issue:
h. Passport number (valid):
Date of issue:
Place of issue:
i. Telephone:
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
l. Account No.:
m. Opened at:
n. Address of bank:
District:
Province/City
Country:
2. Information about organization involving
the transaction
a. Full name of organization
b. Name in foreign language (if any):
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
d. Address:
District:
Province/City
Country:
e. Establishment license No.:
Date of issue:
Place of issue:
f. Line of business:
g. Business registration No.:
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
i. Facsimile:
k. Account No.:
l. Opened at:
m. Address of bank:
District:
Province/City
Country:
3. Supplemental information
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
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
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
* Bank statement of transactions (subsidiary
ledger) from the date of arising related transaction to the reporting date of
the suspicious transaction
* Other documents, vouchers relating to the
suspicious transaction (copies of remittance facsimile, paper of withdrawing
money, submitting money, deposit slip…)
PERSON MAKING
REPORT
(officer making
report, signature – full name)
Head of
Division
(Person in charge
of money laundering prevention, combating at the unit) (Signature – full
name)
General
Director (Director)
(Signature, full
name, seal)
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Note:
Part I:
All fields in this section are required
(2a): Fully state surname, middle name, name
of the person making report.
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):
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- 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…
(2.1o): 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 …
(2.2a): Fully state surname, middle name, name
of the person
(2.2b): Clearly state date, month, year of
birth
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- Not required for the person who is the
representative of the organization and is a resident.
- The passport must still remain in full force for
the person who is the representative of the organization and 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, and
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.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
REPORT
On the cash deposit/withdrawal transactions
with total value equal or exceeding value as prescribed in Article 21 of Law on
anti-money laundering
(Attached
to the Circular No. ………………… dated ……….. 2013 on guiding the implementation of
measures of prevention from, combating against money laundering)
Name of the reporting unit:
Address; telephone number
Location where the transaction arises:
Address; telephone number
Date………. (1)
No.
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Name of customer (3)
Address
Papers for identification (4)
Amount of the transaction (5)
Type of transaction currency (6)
Account No. (7)
Transaction content (8)
ID card No.
Passport number
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Tax code
1
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2
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
…
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
PERSON MAKING
FORM
(Signature and
full name)
HEAD OF UNIT (9)
(Signature and
full name)
1
Date, month, year when the transaction arises;
2
Deposit or withdrawal of cash In case where customer deposits amount in Vietnam
dong/foreign currency to withdraw amount in foreign currency/Vietnam dong, it
is required to report on transaction of remittance only;
3
Surname and name (individual customers); full name and abbreviated name
(corporate customers);
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5
Stating total amount deposited or withdrawn in a day; In case of foreign
currency, it shall be converted into Vietnamese Dong under exchange rate at the
time where the transaction arises;
6
Stating the symbol of the type of money which the customer has deposited (3
letters according to standard ISO-4217);
7
Stating the number of the account to which the customer deposits or withdraw
their money (if any);
8
Stating the reasons, purposes of the transaction;
9
General Director/Director or authorized person