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欧盟理事会《关于协调各成员国金融情报机构在交换情报方

http://www.fund123.cn 2012-05-30 16:55:33 来源:数米基金网

欧盟理事会《关于协调各成员国金融情报机构在交换情报方面合作的决定》(2000)

背景:欧盟理事会于2000年10月17日在卢森堡通过《关于协调各成员国金融情报机构在交换情报方面合作的决定》(2000/642/JHA),并于同日生效。

1997年欧洲议会批准的打击有组织犯罪的行动计划,建议应当根据理事会《关于防止利用金融系统洗钱的指令》(91/308/EEC号),加强相关机构在接收可疑交易报告方面的合作。欧盟成员国已建立金融情报机构(FIUs),以建立可疑金融交易与潜在犯罪活动之间的联系,进而预防和打击洗钱。随着FIUs与成员国和FIUs多学科组织的调查部门之间的情报交换的提高,必须改善金融情报机构之间的情报交换机制来整合金融、法律执行和司法部门的知识。成员国各相关部门间必须进行密切合作,并制定这些部门间直接交流的规定,以确保在合理的时间内传递情报和资料。目前这方面的协调安排主要根据FIUs的非正式世界网络——“埃格蒙特集团”[1]提出的谅解备忘录设立的原则来进行。 

下为该决定的全文。
Article 1
1. Member States shall ensure that FIUs, set up or designated to receive disclosures of financial information for the purpose of combating money laundering shall cooperate to assemble, analyse and investigate relevant information within the FIU on any fact which might be an indication of money laundering in accordance with their national powers.
2. For the purposes of paragraph 1, Member States shall ensure that FIUs exchange, spontaneously[2] or on request and either in accordance with this Decision or in accordance with existing or future memoranda of understanding[3], any available information that may be relevant to the processing or analysis of information or to investigation by the FIU regarding financial transactions related to money laundering and the natural or legal persons involved.[4]
3. Where a Member State has designated a police authority as its FIU, it may supply information held by that FIU to be exchanged pursuant to[5] this Decision to an authority of the receiving Member State designated for that purpose and being competent in the areas mentioned in paragraph 1.[6]
Article 2
1. Member States shall ensure that, for the purposes of this Decision, FIUs shall be a single unit for each Member State and shall correspond to the following definition:"A central, national unit which, in order to combat money laundering, is responsible for receiving (and to the extent permitted, requesting), analysing and disseminating to the competent authorities, disclosures of financial information which concern suspected proceeds of crime or are required by national legislation or regulation[7]."
2. In the context of paragraph 1, a Member State may establish a central unit for the purpose of receiving or transmitting information to or from decentralised[8] agencies.
3. Member States shall indicate the unit which is an FIU within the meaning of this Article. They shall notify this information to the General Secretariat of the Council in writing. This notification does not affect the current relations concerning cooperation between the FIUs.
Article 3
Member States shall ensure that the performance of the functions of the FIUs under this Decision shall not be affected by their internal status, regardless of whether they are administrative, law enforcement or judicial authorities.
Article 4
1. Each request made under this Decision shall be accompanied by a brief statement of the relevant facts known to the requesting FIU. The FIU shall specify in the request how the information sought will be used.
2. When a request is made in accordance with this Decision, the requested FIU shall provide all relevant information, including available financial information and requested law enforcement data, sought in the request, without the need for a formal letter of request under applicable conventions or agreements between Member States
3. An FIU may refuse to divulge[9] information which could lead to impairment[10] of a criminal investigation being conducted in the requested Member State or, in exceptional circumstances, where divulgation of the information would be clearly disproportionate[11] to the legitimate interests of a natural or legal person or the Member State concerned or would otherwise not be in accordance with fundamental principles of national law. [12]Any such refusal shall be appropriately explained to the FIU requesting the information.
Article 5
1. Information or documents obtained under this Decision are intended to be used for the purposes laid down in Article 1(1).
2. When transmitting information or documents pursuant to this Decision, the transmitting FIU may impose restrictions and conditions on the use of information for purposes other than those stipulated[13] in paragraph 1. The receiving FIU shall comply with any such restrictions and conditions.
3. Where a Member State wishes to use transmitted information or documents for criminal investigations or prosecutions for the purposes laid down in Article 1(1), the transmitting Member State may not refuse its consent to such use unless it does so on the basis of restrictions under its national law or conditions referred to in Article 4(3). Any refusal to grant consent shall be appropriately explained.
4. FIUs shall undertake all necessary measures, including security measures, to ensure that information submitted under this Decision is not accessible by any other authorities, agencies or departments.
5. The information submitted will be protected, in conformity with the Council of Europe Convention of 28 January 1981 for the Protection of Individuals with regard to Automatic Processing of Personal Data and taking account of Recommendation No R (87) 15 of 15 September 1987 of the Council of Europe Regulating the Use of Personal Data in the Police Sector, by at least the same rules of confidentiality and protection of personal data as those that apply under the national legislation applicable to the requesting FIU.
Article 6
1. FIUs may, within the limits of the applicable national law and without a request to that effect, exchange relevant information.
2. Article 5 shall apply in relation to information forwarded under this Article.
Article 7
Member States shall provide for, and agree on, appropriate and protected channels of communication between FIUs.
Article 8
This Decision shall be implemented without prejudice to the Member States' obligations towards Europol[14], as they have been laid down in the Europol Convention.
Article 9
1. To the extent that the level of cooperation between FIUs, as expressed in memoranda of understanding concluded or to be concluded between authorities of the Member States, is compatible with this Decision or goes further than the provisions thereof, it shall remain unaffected by this Decision.[15] Where the provisions of this Decision go further than the provisions of any memorandum of understanding concluded between the authorities of Member States, this Decision shall supersede[16] such memoranda of understanding two years after this Decision takes effect.
2. The Member States shall ensure that they are able to cooperate fully in accordance with the provisions of this Decision at the latest three years after this Decision takes effect
3. The Council will assess Member States' compliance with this Decision within four years of the date on which it takes effect, and may decide to continue such assessments on a regular basis.
Article 10
This Decision shall apply to Gibraltar[17]. To this effect, notwithstanding[18] Article 2, the United Kingdom may notify to the General Secretariat of the Council an FIU in Gibraltar.

Article 11

This Decision shall take effect on 17 October 2000.

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