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.docx

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.docx

《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.docx》由会员分享，可在线阅读，更多相关《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.docx（14页珍藏版）》请在冰豆网上搜索。

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

欧洲议会和欧盟理事会《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）

CouncilDirectiveonPreventionoftheUseoftheFinancialSystemforthePurposeofMoneyLaundering

背景：

1991年6月10日，欧洲共同体理事会在卢森堡通过了欧盟的第一个反洗钱指令，即《关于防止利用金融系统洗钱的指令》（91/308/EEC）。

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