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              首頁 > 基金課堂 > 投資者教育 > 反洗錢 > 國際法律法規



              2000)背景:《聯合國打擊跨國有組織犯罪公約》于2000年 11月 15日在第五十五屆聯合國大會上通過, 2003年 9月 29日正式生效?!堵摵蠂驌艨鐕薪M織犯罪公約》是目前世界上第一項針對跨國有組織犯罪的全球性公約。它確立了通過促進國際合作,更加有效地預防和打擊跨國有組織犯罪的宗旨,為各國開展打擊跨國有組織犯罪的合作提供了法律基礎。[9]dissemination[di7semi5neiFEn]分發[10]Shall, without prejudice to……potential money-laundering:在不影響本公約第18條和第27條的情況下,確保行政、管理、執法和其他負責打擊洗錢的當局(本國法律許可時可包括司法當局)能夠根據其本國法律規定的條件。

              United Nations Convention against TransnationalOrganized Crime (2000)




              Article 2

              Use of terms

              (b)“Serious crime” shall mean conduct constituting an offence punishable by a maximum deprivation of liberty of at least four years or a more serious penalty;

              (d)“Property” shall mean assets of every kind, whether corporeal or incorporeal, movable or immovable, tangible or intangible, and legal documents or instruments evidencing title to, or interest in, such assets;

              (e)“Proceeds of crime” shall mean any property derived from or obtained, directly or indirectly, through the commission of an offence;

              (h)“Predicate offence” shall mean any offence as a result of which proceeds have been generated that may become the subject of an offence as defined in article 6 of this Convention;

              Article 6

              Criminalization[1] of the laundering of proceeds of crime

              1. Each State Party shall adopt, in accordance with fundamental principles of its domestic law, such legislative and other measures as may be necessary to establish as criminal offences, when committed intentionally:

              (a) (i) The conversion or transfer of property, knowing that such property is the proceeds of crime, for the purpose of concealing or disguising the illicit origin of the property or of helping any person who is involved in the commission of the predicate offence to evade the legal consequences of his or her action;

              (ii) The concealment or disguise of the true nature, source, location, disposition[2], movement or ownership of or rights with respect to property, knowing that such property is the proceeds of crime;

              (b) Subject to the basic concepts of its legal system:

              (i) The acquisition, possession or use of property, knowing, at the time of receipt, that such property is the proceeds of crime;

              (ii) Participation in, association with or conspiracy to commit, attempts to commit and aiding, abetting, facilitating and counseling the commission of any of the offences established in accordance with this article.

              2. For purposes of implementing or applying paragraph 1 of this article:

              (a) Each State Party shall seek to apply paragraph 1 of this article to the widest range of predicate offences;

              (b) Each State Party shall include as predicate offences all serious crime as defined in article 2 of this Convention and the offences established in accordance with articles 5, 8 and 23 of this Convention. In the case of States Parties whose legislation sets out a list of specific predicate offences, they shall, at a minimum, include in such list a comprehensive range of offences associated with organized criminal groups;

              (c) For the purposes of subparagraph (b), predicate offences shall include offences committed both within and outside the jurisdiction of the State Party in question. However, offences committed outside the jurisdiction of a State Party shall constitute predicate offences only when the relevant conduct is a criminal offence under the domestic law of the State where it is committed and would be a criminal offence under the domestic law of the State Party implementing or applying this article had it been committed there[3];

              (d) Each State Party shall furnish copies of its laws that give effect to this article and of any subsequent changes to such laws or a description thereof to the Secretary-General of the United Nations[4] ;

              (e) If required by fundamental principles of the domestic law of a State Party, it may be provided that the offences set forth in paragraph 1 of this article do not apply to the persons who committed the predicate offence;

              (f) Knowledge, intent or purpose required as an element of an offence set forth in paragraph 1 of this article may be inferred from objective factual circumstances[5].

              Article 7

              Measures to combat money-laundering

              1. Each State Party:

              (a) Shall institute a comprehensive domestic regulatory and supervisory regime[6] for banks and non-bank financial institutions and, where appropriate, other bodies particularly susceptible[7] to money-laundering, within its competence, in order to deter and detect all forms of money-laundering, which regime shall emphasize requirements for customer identification, record-keeping and the reporting of suspicious transactions[8];

              (b) Shall, without prejudice to articles 18 and 27 of this Convention, ensure that administrative, regulatory, law enforcement and other authorities dedicated to combating money-laundering (including, where appropriate under domestic law, judicial authorities) have the ability to cooperate and exchange information at the national and international levels within the conditions prescribed by its domestic law and, to that end, shall consider the establishment of a financial intelligence unit to serve as a national center for the collection, analysis and dissemination[9] of information regarding potential money-laundering[10].

              2. States Parties shall consider implementing feasible measures to detect and monitor the movement of cash and appropriate negotiable instruments[11] across their borders, subject to safeguards to ensure proper use of information and without impeding in any way the movement of legitimate capital. Such measures may include a requirement that individuals and businesses report the cross-border transfer of substantial quantities of cash and appropriate negotiable instruments.

              3. In establishing a domestic regulatory and supervisory regime under the terms of this article, and without prejudice to any other article of this Convention, States Parties are called upon to use as a guideline[12] the relevant initiatives[13] of regional, interregional and multilateral organizations against money-laundering.

              4. States Parties shall endeavor to develop and promote global, regional, subregional and bilateral cooperation among judicial, law enforcement and financial regulatory authorities in order to combat money-laundering.


              [1] criminalization[ 5kriminlaizeiFEn] 刑事定罪

              [2] disposition[ dispE5ziFEn] 處置

              [3] However, offences committed …… had it been committed there:但是,如果犯罪發生在一締約國刑事管轄權范圍以外,則只有該行為根據其發生時所在國本國法律為刑事犯罪,而且若發生在實施或適用本條的締約國時根據該國法律也構成刑事犯罪時才構成上游犯罪。

              [4] Secretary-General of the United Nations:聯合國秘書長

              [5] objective factual circumstances:客觀實際情況

              [6] regulatory and supervisory regime:監督管理制度

              [7] susceptible [sE5septEbl] 易受影響的

              [8] reporting of suspicious transactions:報告可疑交易。指當金融機構按照規定的有關指標,或者經判斷認為與其進行交易客戶的款項可能與洗錢或其他犯罪活動相關時,必須在規定的時間內向指定機構進行報告。

              [9] dissemination [di7semi5neiFEn] 分發

              [10] Shall, without prejudice to …… potential money-laundering:在不影響本公約第18條和第27條的情況下,確保行政、管理、執法和其他負責打擊洗錢的當局(本國法律許可時可包括司法當局)能夠根據其本國法律規定的條件,在國家和國際一級開展合作和交換信息,并應為此目的考慮建立作為國家級中心的金融情報機構,以收集、分析和傳遞有關潛在的洗錢活動的信息。

              [11] negotiable instruments:可轉讓票據,可流通票據。例如支票、匯票等可以轉讓、流通的金融工具

              [12] guideline[^aidlain] 指導方針

              [13] initiative [i5niFiEtiv] 倡議

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