欧洲议会跟欧盟理事会《关于修订理事会关于防止利用金融系统洗Word文档格式.docx
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欧洲议会跟欧盟理事会《关于修订理事会关于防止利用金融系统洗Word文档格式.docx
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该指令的颁布考虑到建立欧洲经济共同体的条约,以及反洗钱行动与金融系统的密切相关性和其国际协作的本质。
2001年12月,欧洲议会和欧盟理事会在布鲁塞尔通过了欧盟的第二个反洗钱指令,即《关于修订理事会<
关于防止利用金融系统洗钱的指令>
的指令》(2001/97/EC)。
2001/97/EC号指令考虑到建立欧盟的条约、服务贸易总协议(GeneralAgreementonTradeinService)的原则以及国际洗钱的新趋势,通过修订“信用机构”和“金融机构”的界定等来最大范围地覆盖金融业,对上游犯罪做出了进一步的核定,将履行必要义务的对象进行了扩展,对公证人等专业人员的相关行为和成员国应负义务做出了一定规定。
其中91/308/EEC号指令的第1、3、6、7、9、11条由2001/97/EC中的新条款代替,第2、8、10条分别添加了新内容,而第4、5、8、10、12条中的部分术语做了替代。
本文以修订后的指令为准。
Article1
ForthepurposeofthisDirective:
(A)Creditinstitutionmeansacreditinstitution,asdefinedinArticle1
(1)firstsubparagraphofDirective2000/12/EC(9)andincludesbrancheswithinthemeaningofArticle1(3)ofthatDirective[1]andlocatedintheCommunity[2],ofcreditinstitutionshavingtheirheadofficesinsideoroutsidetheCommunity;
(B)'
Financialinstitution'
means:
1.anundertaking[3]otherthanacreditinstitutionwhoseprincipalactivityistocarryoutoneormoreoftheoperationsincludedinnumbers2to12andnumber14ofthelistsetoutinAnnexItoDirective2000/12/EC;
theseincludetheactivitiesofcurrencyexchangeoffices(bureauxdechange)[4]andofmoneytransmission/remittanceoffices[5];
2.aninsurancecompanydulyauthorisedinaccordancewithDirective79/267/EEC(10),insofar[6]asitcarriesoutactivitiescoveredbythatDirective;
3.aninvestmentfirmasdefinedinArticle1
(2)ofDirective93/22/EEC(11);
4.acollectiveinvestmentundertaking[7]marketingitsunits[8]orshares.
ThisdefinitionoffinancialinstitutionincludesbrancheslocatedintheCommunityoffinancialinstitutions,whoseheadofficesareinsideoroutsidetheCommunity,
(C)'
Moneylaundering'
meansthefollowingconductwhencommittedintentionally:
-theconversionortransferofproperty,knowingthatsuchpropertyisderivedfromcriminalactivityorfromanactofparticipationinsuchactivity,forthepurposeofconcealingordisguisingtheillicitoriginofthepropertyorofassistinganypersonwhoisinvolvedinthecommissionofsuchactivitytoevadethelegalconsequencesofhisaction;
-theconcealmentordisguiseofthetruenature,source,location,disposition,movement,rightswithrespectto,orownershipofproperty,knowingthatsuchpropertyisderivedfromcriminalactivityorfromanactofparticipationinsuchactivity;
-theacquisition,possessionoruseofproperty,knowing,atthetimeofreceipt,thatsuchpropertywasderivedfromcriminalactivityorfromanactofparticipationinsuchactivity;
-participationin,associationtocommit,attemptstocommitandaiding,abetting,facilitatingandcounsellingthecommissionofanyoftheactionsmentionedintheforegoingindents.
Knowledge,intentorpurposerequiredasanelementoftheabovementionedactivitiesmaybeinferredfromobjectivefactualcircumstances.
MoneylaunderingshallberegardedassuchevenwheretheactivitieswhichgeneratedthepropertytobelaunderedwerecarriedoutintheterritoryofanotherMemberStateorinthatofathirdcountry.
(D)'
Property'
meansassetsofeverykind,whethercorporealorincorporeal,movableorimmovable,tangibleorintangible,andlegaldocumentsorinstrumentsevidencingtitletoorinterestsinsuchassets.
(E)'
Criminalactivity'
meansanykindofcriminalinvolvementinthecommissionofaseriouscrime.
Seriouscrimesare,atleast:
-anyoftheoffencesdefinedinArticle3
(1)(a)oftheViennaConvention[9];
-theactivitiesofcriminalorganisationsasdefinedinArticle1ofJointAction98/733/JHA(12);
-fraud,atleastserious,asdefinedinArticle1
(1)andArticle2oftheConventionontheprotectionoftheEuropeanCommunities'
financialinterests(13);
-corruption;
-anoffencewhichmaygeneratesubstantialproceedsandwhichispunishablebyaseveresentenceofimprisonmentinaccordancewiththepenallaw[10]oftheMemberState.
MemberStatesshallbefore15December2004amendthedefinitionprovidedforinthisindentinordertobringthisdefinitionintolinewiththedefinitionofseriouscrimeofJointAction98/699/JHA.TheCouncilinvitestheCommissiontopresentbefore15December2004aproposalforaDirectiveamendinginthatrespectthisDirective.
MemberStatesmaydesignate[11]anyotheroffenceasacriminalactivityforthepurposesofthisDirective.
(F)'
Competentauthorities'
meansthenationalauthoritiesempoweredbylaworregulationtosupervisetheactivityofanyoftheinstitutionsorpersonssubjecttothisDirective.
Article2
(A)MemberStatesshallensurethattheobligationslaiddow
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- 关 键 词:
- 欧洲 议会 欧盟 理事会 关于 修订 防止 利用 金融系统