On signing the Agreement on the Establishment of the International Center for Risk Assessment of the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism
Decree of the President of the Republic of Kazakhstan dated October 12, 2023 No. 374
In accordance with subparagraph 1) of Article 8 of the Law of the Republic of Kazakhstan "On International Treaties of the Republic of Kazakhstan", I HEREBY DECREE:
1. To approve the attached draft Agreement on the establishment of an International Risk Assessment Center for the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism.
2. To sign an agreement on behalf of the Republic of Kazakhstan on the establishment of an International Risk Assessment Center for the Legalization (Laundering) of Proceeds from Crime and the Financing of terrorism.
3. This Decree shall enter into force from the date of its signing.
President of the Republic of Kazakhstan
K. Tokaev
Approved by Decree of the President of the Republic of Kazakhstan on October 12, 2023 No. 374
Project
Agreement on the Establishment of an International Risk Assessment Center for the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism
The States Parties to this Agreement, hereinafter referred to as the Parties,
Considering the international nature and current scale of the legalization (laundering) of proceeds from crime and the financing of terrorism, which pose a threat to the security of the Parties,
Attaching great importance to the development of cooperation, striving to coordinate cooperation and take measures to minimize the identified risks of the legalization (laundering) of proceeds from crime and the financing of terrorism,
Based on the Agreement on the Formation of the Council of Heads of Financial Intelligence Units of the Member States of the Commonwealth of Independent States dated December 5, 2012 and international treaties of the Member States of the Commonwealth of Independent States in the field of countering the legalization (laundering) of proceeds from crime, the financing of terrorism and the financing of the proliferation of weapons of mass destruction,
Realizing that the development of such cooperation meets their interests, based on the goals and objectives of the Commonwealth of Independent States,
Recognizing the international standards of the Financial Action Task Force on Money Laundering (hereinafter - FATF),
based on generally accepted principles and norms of international law,
have agreed on the following:
Article 1.Subject of the Agreement
In order to ensure effective interstate information interaction and conduct a supranational risk assessment of the legalization (laundering) of proceeds from crime and the financing of terrorism, the Parties shall establish the International Center for Risk Assessment of the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism (hereinafter - ICOR).
Article 2.Basic terms and concepts
1. For the purposes of this Agreement, the following basic terms are used:
The ICOR information system is a secure information system for creating common information resources and ensuring effective interstate information interaction between the Parties, as well as conducting a supranational risk assessment of the legalization (laundering) of proceeds from crime and the financing of terrorism.;
Supranational risk assessment of the legalization (laundering) of proceeds from crime and the financing of terrorism is a joint activity of the Parties under the coordination of the Council of Heads of Financial Intelligence Units of the Member States of the Commonwealth of Independent States (hereinafter referred to as the RFBR) to assess threats, vulnerabilities and consequences related to cross-border manifestations of the legalization (laundering) of proceeds from crime and financing terrorism in the territories of the Parties, the identification of risks, as well as the development of joint measures aimed at minimizing them.
2. The national risk assessment center is understood as the competent authority of the Party performing the functions of the financial intelligence unit.
Article 3.Organizational issues of the ICOR activities
1. The organizational, technical and informational support of the ICOR activities is provided by the Operator of the ICOR information system (hereinafter referred to as the ICOR Operator).
2. The functions of the ICOR Operator are performed by the Federal Financial Monitoring Service (Russian Federation).
3. The software and hardware data processing complexes of the ICOR information system are located on the territory of the Russian Federation.
4. The ICOR operator is guided in its activities by applicable international treaties and decisions adopted by the RFBR, as well as this Agreement.
5. The MCR Operator:
a) organizes connection to the ICOR information system and ensures access of the national risk assessment centers of the Parties to the ICOR information system, as well as implements other technical measures in accordance with the regulations for connection to the ICOR information system, downloading and using information approved by the RFBR;
b) prepares and sends to the financial intelligence units of the Parties technical materials related to the information content (updating) of the ICOR information system and the activities of the ICOR;
c) carries out an assessment of material and technical support, accounting and storage of technical documentation of the ICOR information system in compliance with the confidentiality regime;
d) ensures the availability, integrity and confidentiality of the ICOR information arrays, protects the information and communication infrastructure and the processed data of the ICOR information system from any unauthorized (illegal) use, organizes and/or provides technical assistance in troubleshooting and disruptions that occur during the operation of the ICOR information system;
e) performs other functions based on the tasks established by this Agreement.
6. The MCR operator is accountable to the RFBR for the implementation of the functions assigned to it by this Agreement.
Article 4. Confidentiality of information
1. Information received and posted in the ICOR information system under this Agreement is confidential, unless the Party that provided it has explicitly stated otherwise, and it is subject to the information protection regime provided for by the legislation of the Parties.
2. Each Party, in accordance with its legislation, this Agreement and other applicable international treaties, ensures compliance with the confidentiality regime, implements the necessary organizational, technical and legal measures aimed at protecting information obtained under this Agreement, including the application of liability measures, from accidental or unlawful destruction, modification, disclosure, as well as from any other illegal use.
3. The purpose and possibility of using the information contained in the ICOR information system are determined by the Party providing this information.
The retention period of information is determined by the Party that provided it based on the purpose for which it was posted, requested and/or provided.
4. Information obtained under this Agreement may not be used without the prior written consent of the Party that posted and/or provided it for purposes other than those for which it was posted in the ICOR information system, requested and/or provided.
Article 5.Objectives of the Agreement
1. This Agreement is concluded in order to fulfill the following main tasks:
a) creation of an information system providing secure exchange of data and electronic documents between the Parties;
b) providing the Parties with the information necessary to effectively identify the risks of legalizing (laundering) proceeds from crime and financing terrorism;
c) the introduction of uniform standards for electronic interaction between financial intelligence units of the Parties through the establishment of uniform formats;
d) creation of common information resources filled with the categories of data provided for in Article 7 of this Agreement and provision of access to them;
e) accumulation of information for conducting a supranational risk assessment of the legalization (laundering) of proceeds from crime and the financing of terrorism and posting its results in the ICOR information system;
f) ensuring the protection of information and confidentiality of information used for the purpose of conducting a supranational risk assessment of the legalization (laundering) of proceeds from crime and terrorist financing, as well as in interstate information interaction.
2. The implementation of this Agreement does not affect the operational independence of the financial intelligence units of the Parties, as set out in the FATF Recommendations.
Article 6.The main functions of the ICOR
The main functions of the ICOR include:
a) ensuring a supranational assessment of the risks of the legalization (laundering) of proceeds from crime and the financing of terrorism by creating appropriate databases;
b) ensuring the secure exchange of information in areas of priority for the Parties;
c) ensuring the interaction of financial intelligence units of the Parties for the accumulation, processing and analysis of necessary information through uniform formats.
Article 7. Information content of the ICOR information system
1. The list of categories of data that can be placed in the ICOR information system (if necessary, after coordination with the interested authorities of the Parties), and the methodology for their formation are approved by the decision of the RFBR. The list of data categories includes:
a) data from open sources;
b) macroanalytical reports;
c) risk signals;
d) information in accordance with the decisions of the SRPFR.
2. For the purposes of this Agreement:
A macroanalytical report is information generated by the financial intelligence unit of a Party for a certain time period and containing aggregated data, without specifying the identification data of subjects and names of financial and other institutions (organizations, persons), on the volume and characteristics of financial transactions (transactions) related to the legalization (laundering) of proceeds from crime, and (or) financing of terrorism, based on the results of the analysis of reports on suspicious transactions (transactions) and other information;
A risk signal is information about suspected terrorist financing and (or) the legalization (laundering) of proceeds from crime and related predicate crimes in the territories of the Parties, prepared by the financial intelligence unit of the Party based on the results of an analysis of reports of suspicious transactions and other information that requires joint measures to respond to. Parties.
3. If necessary, the Parties have the right to provide other information outside the categories of data provided for in paragraph 1 of this Article for posting in the ICOR information system in order to solve the tasks of this Agreement.
4. The amount of data provided for placement in the ICOR information system, the confidentiality regime of the data and their use are determined by the providing Party.
5. The transfer of information to the ICOR information system through hardware and software is carried out by the financial intelligence units of the Parties.
6. The possibility of further transfer by financial intelligence units of information posted in the ICOR information system in accordance with this Article is determined taking into account compliance with the confidentiality regime established by the providing Party.
Article 8. Use of the ICOR information system for information exchange between financial intelligence units
1. The financial intelligence units of the Parties use the ICOR information system to exchange information at their disposal on transactions (transactions) involving cash or other property, virtual assets, suspected of being related to the legalization (laundering) of proceeds from crime, the financing of terrorism and related other crimes, and It is also used to exchange information about individuals and organizations involved in these operations.
2. The exchange of information through the ICOR information system is carried out in writing on the initiative or on the basis of requests from the financial intelligence units of the Parties, including in coordination with the financial intelligence units of the Parties through the use of technical means of transmitting information.
Article 9.Requests
1. The request is signed by the head of the financial intelligence unit of the requesting Party or his deputy. The request must contain:
a) the names of the financial intelligence units of the requesting and requested Parties;
b) a summary of the merits of the case (plot);
c) specifying the purpose and justification of the request;
d) the content of the requested assistance (or requested information);
e) the deadline for executing the request (if the request is urgent, the financial intelligence unit of the requesting Party justifies the need for an urgent request);
f) the purpose of using the requested information;
g) other information necessary for the execution of the request.
2. If necessary, the financial intelligence unit of the requested Party may request from the financial intelligence unit of the requesting Party additional information necessary for the proper execution of the request.
3. The financial intelligence unit of the requested Party may refuse to execute the request if it contradicts the national interests or the legislation and international obligations of the requested Party, as well as if the request does not comply with the provisions of this Agreement.
If the request cannot be executed, the financial intelligence unit of the requested Party shall notify the financial intelligence unit of the requesting Party in writing, indicating the reason for the refusal.
4. The financial intelligence unit of the requested Party may postpone the execution of the request or, in agreement with the financial intelligence unit of the requesting Party, partially execute the request or on conditions deemed necessary by them, if the execution of the request may prejudice the conduct of operational search activities, pre-trial proceedings or judicial proceedings conducted by the requested Party.
5. Requests and responses to them shall be submitted in Russian, unless otherwise agreed by the Parties.
6. The request shall be executed as soon as possible, but not later than 60 days from the date of its receipt, unless otherwise agreed by the financial intelligence units of the Parties.
7. The financial intelligence unit of the requesting Party, on its own initiative or at the request of the financial intelligence unit of the requested Party, sends information on the results of using information obtained under this Agreement from the financial intelligence unit of the requested Party.
Article 10. Other ways of interaction between financial intelligence units
1. The financial intelligence units of the Parties jointly determine the procedure for transmitting information to each other in accordance with the legislation of each Party and, if necessary, consult on the implementation of this Agreement.
2. The financial intelligence units of the Parties may, upon request or proactively, exchange information on the legislation of each of the Parties in the field of countering the legalization (laundering) of proceeds from crime and the financing of terrorism and best practices in this area. The financial intelligence units of the Parties may hold joint conferences and seminars to share experiences and discuss issues of mutual interest.
Article 11. Supranational risk assessment of the legalization (laundering) of proceeds from crime and the financing of terrorism
1. The Parties, with the coordination of the RFBR, jointly carry out a supranational risk assessment of the legalization (laundering) of proceeds from crime and the financing of terrorism.
2. The procedure and conditions for conducting a supranational risk assessment of the legalization (laundering) of proceeds from crime and the financing of terrorism are determined by the methodology for conducting a supranational risk assessment of the legalization (laundering) of proceeds from crime and the financing of terrorism, approved by the decision of the RFBR.
3. A supranational risk assessment of the legalization (laundering) of proceeds from crime and the financing of terrorism is carried out using data posted by the financial intelligence units of the Parties in the ICOR information system.
4. Information used for the purposes of a supranational risk assessment of the legalization (laundering) of proceeds from crime and the financing of terrorism is confidential in accordance with this Agreement, unless the Party providing it has stated otherwise in writing.
5. The RFBR approves the results of a supranational risk assessment of the legalization (laundering) of proceeds from crime and the financing of terrorism, and determines the degree of their confidentiality in agreement with the Parties. Taking into account the decisions of the RFBR, the financial intelligence units of the Parties independently determine the range of recipients and the procedure for providing the results of a supranational risk assessment of the legalization (laundering) of proceeds from crime and the financing of terrorism.
Article 12. Financing the activities of the ICOR
The financing of the creation, operation and development of the ICOR information system is carried out by the ICOR Operator within the budget appropriations provided for by the Federal Financial Monitoring Service in accordance with the legislation of the Russian Federation.
Article 13.Making changes
By mutual agreement of the Parties, amendments may be made to this Agreement, which are an integral part of it, which are formalized by the relevant protocol, which enters into force in accordance with the procedure established for the entry into force of this Agreement.
Article 14.Dispute resolution
Disputes between the Parties arising from the application and interpretation of this Agreement shall be resolved through consultations and negotiations between the Parties concerned.
Article 15. Entry into force
1. This Agreement shall enter into force 30 days after the date of receipt by the depositary of the third notification that the Signatories have completed the internal procedures necessary for its entry into force.
2. For the Parties that have completed the internal procedures later, this Agreement shall enter into force 30 days after the date of receipt by the depositary of the relevant notifications.
Article 16. Joining
Upon its entry into force, this Agreement, with the consent of the signatory and acceding States, is open for accession by any State by submitting an instrument of accession to the depositary.
For the State that has submitted the instrument of accession to the depositary, this Agreement shall enter into force 30 days after the date of receipt by the depositary of the last notification of the consent of the signatory and acceding States to such accession.
Article 17. Termination
1. Each of the Parties has the right to withdraw from this Agreement by sending a written notification of its intention to the depositary no later than six months before the withdrawal and settling the obligations that have arisen during the validity of this Agreement.
2. The provisions of this Information Confidentiality Agreement shall continue to apply after the termination of this Agreement or withdrawal from it.
Done in the city of the year in one original copy in Russian.
The original copy is kept in the Executive Committee of the Commonwealth of Independent States, which will send a certified copy to each signatory State of this Agreement.
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