Bu da pest,
2008. no vem ber 7., péntek
158. szám
Ára: 1540,– Ft
TARTALOMJEGYZÉK Ol dal
2008: LXIII. tv. Az Eu ró pa Ta nács pénz mo sás ról, a bûn cse lek mény bõl szár - mazó jövedelmek fel ku ta tá sá ról, le fog la lá sá ról és el kob zá sá - ról, va la mint a ter ro riz mus fi nan szí ro zá sá ról szó ló, Var só - ban, 2005. má jus 16-án kelt Egyez mé nye ki hir de té sé rõl, va la - mint a pénz mo sás és a ter ro riz mus fi nan szí ro zá sa meg elõ zé - sé rõl és meg aka dá lyo zá sá ról szó ló 2007. évi CXXXVI. tör - vény módosításáról. . . . 19302 144/2008. (XI. 7.) FVM r. Az Eu ró pai Me zõ gaz da sá gi Vi dék fej lesz té si Alap ból az er dé sze ti
cél ra hasz nált gép park fej lesz té sé hez és kor sze rû sí té sé hez nyúj - tan dó tá mo ga tá sok részletes feltételeirõl . . . . 19336 145/2008. (XI. 7.) FVM r. Az Eu ró pai Me zõ gaz da sá gi Vi dék fej lesz té si Alap ból az ön tö zés, a
me li o rá ció és a te rü le ti víz gaz dál ko dás me zõ gaz da sá gi üze mi és kö zös sé gi lé te sít mé nye i nek fej lesz té sé hez nyúj tan dó tá mo ga tá - sok rész le tes fel té te le i rõl szóló 34/2008. (III. 27.) FVM rendelet módosításáról . . . . 19343 146/2008. (XI. 7.) FVM r. Az ipa ri al ma-ter mesz tés 2008. évi ter mõ egyen súly-hely re ál lí tá sá -
nak cse kély össze gû (de mi ni mis) tá mo ga tá sá ról szóló 128/2008.
(X. 1.) FVM ren de let módosításáról . . . . 19343 147/2008. (XI. 7.) FVM r. A tör té nel mi bá zis jo go sult ság ról szó ló 106/2007. (IX. 24.) FVM
ren de let mó do sí tá sá ról . . . . 19344 148/2008. (XI. 7.) FVM r. Az Eu ró pai Me zõ gaz da sá gi Vi dék fej lesz té si Alap ból ön ál ló, épí tés -
sel nem járó gé pek, tech no ló gi ai be ren de zé sek be szer zé sé hez nyúj tan dó tá mo ga tá sok rész le tes fel té te le i rõl szó ló 26/2007.
(IV. 17.) FVM rendelet módosításáról . . . . 19344 29/2008. (XI. 7.) PM r. Az Adó- és Pénz ügyi El len õr zé si Hi va tal nál a köz szol gá la ti jog -
viszony lé te sí té sét meg elõ zõ pszi chi kai al kal mas sá gi vizsgá - latokról . . . . 19345 3/2008. (XI. 7.) TNM r. A tûz vé de lem és a mû sza ki men tés pol gá ri nem zet biz ton sá gi szol gá -
la tok ra vo nat ko zó kü lö nös sza bá lya i ról szó ló 6/2003. (VI. 20.) MeHVM rendelet módosításáról . . . . 19363 Hi va ta los Ér te sí tõ (2008/45. szám) ... HÉ 7629–8028
II. Tör vé nyek
2008. évi LXIII.
törvény
az Eu ró pa Ta nács pénz mo sás ról, a bûn cse lek mény bõl szár ma zó jö ve del mek fel ku ta tá sá ról, le fog la lá sá ról
és el kob zá sá ról, va la mint a ter ro riz mus fi nan szí ro zá sá ról szó ló, Var só ban,
2005. má jus 16-án kelt Egyez mé nye ki hir de té sé rõl, va la mint a pénz mo sás és a ter ro riz mus fi nan szí ro zá sa
meg elõ zé sé rõl és meg aka dá lyo zá sá ról szó ló 2007. évi CXXXVI. tör vény mó do sí tá sá ról 1. § Az Or szág gyû lés e tör vénnyel fel ha tal ma zást ad az Eu ró pa Ta nács pénz mo sás ról, a bûn cse lek mény bõl szár - ma zó jö ve del mek fel ku ta tá sá ról, le fog la lá sá ról és el kob - zá sá ról, va la mint a ter ro riz mus fi nan szí ro zá sá ról szó ló, Var só ban, 2005. má jus 16-án kelt Egyez mé nye (a továb - biakban: Egyez mény) kö te le zõ ha tá lyá nak el is me ré sé re.
2. § Az Or szág gyû lés az Egyez ményt e tör vénnyel kihirdeti.
3. § Az Egyez mény hi te les an gol nyel vû szö ve ge és annak hi va ta los ma gyar nyel vû for dí tá sa a kö vet ke zõ:
„Council of Europe Convention on Laundering, Search, Seizure and Confiscation of the Proceeds
from Crime and on the Financing of Terrorism Preamble
The mem ber Sta tes of the Co un cil of Eu ro pe and the ot her Sig na to ri es he re to,
Con si de ring that the aim of the Co un cil of Eu ro pe is to achi e ve a gre a ter unity bet we en its mem bers;
Con vin ced of the need to pur sue a com mon cri mi nal po li cy ai med at the pro tec ti on of so ci ety;
Con si de ring that the fight aga inst se ri o us cri me, which has be co me an inc re a singly in ter na ti o nal prob lem, calls for the use of mo dern and ef fec ti ve met hods on an in ter na ti o nal sca le;
Be li e ving that one of the se met hods con sists in dep ri ving cri mi nals of the pro ce eds from cri me and inst ru men ta li ti es;
Con si de ring that for the at ta in ment of this aim a well func ti o ning sys tem of in ter na ti o nal co-ope rat ion also must be es tab lis hed;
* A tör vényt az Or szág gyû lés a 2008. ok tó ber 20-i ülés nap ján fo gad ta el.
La un de ring, Se arch, Se i zu re and Con fis ca ti on of the Pro ce eds from Cri me (ETS No. 141 – he re i naf ter re fer red to as „the 1990 Con ven ti on”);
Re cal ling also Re so lu ti on 1373(2001) on thre ats to in ter na ti o nal pe a ce and se cu rity ca u sed by ter ro rist acts adop ted by the Se cu rity Co un cil of the Uni ted Na ti ons on 28 Sep tem ber 2001, and par ti cu larly its pa rag raph 3.d;
Re cal ling the In ter na ti o nal Con ven ti on for the Supp res si on of the Fi nan cing of Ter ro rism, adop ted by the Ge ne ral As sembly of the Uni ted Na ti ons on 9 De cem ber 1999 and par ti cu larly its Ar tic les 2 and 4, which ob li ge Sta tes Par ti es to es tab lish the fi nan cing of ter ro rism as a cri mi nal of fen ce;
Con vin ced of the ne ces sity to take im me di a te steps to ra ti fy and to imp le ment fully the In ter na ti o nal Con ven ti on for the Supp res si on of the Fi nan cing of Ter ro rism, ci ted abo ve,
Have ag re ed as fol lows:
CHAP TER I USE OF TERMS
Article 1 Use of terms For the pur po ses of this Con ven ti on:
a „pro ce eds” me ans any eco no mic ad van ta ge, de ri ved from or ob ta i ned, di rectly or in di rectly, from cri mi nal of fen ces. It may con sist of any pro perty as de fi ned in subpa rag raph b of this ar tic le;
b „pro perty” inc lu des pro perty of any desc rip ti on, whet her cor po re al or in cor po re al, mo vab le or im mo vab le, and leg al do cu ments or inst ru ments evi den cing tit le to or in ter est in such pro perty;
c „inst ru men ta li ti es” me ans any pro perty used or in ten ded to be used, in any man ner, wholly or in part, to com mit a cri mi nal of fen ce or cri mi nal of fen ces;
d „con fis ca ti on” me ans a pe nalty or a me a su re, or de red by a co urt fol lo wing pro ce e dings in re lat ion to a cri mi nal of fen ce or cri mi nal of fen ces re sul ting in the fi nal dep ri va ti on of pro perty;
e „pre di ca te of fen ce” me ans any cri mi nal of fen ce as a re sult of which pro ce eds were ge ne ra ted that may be co me the sub ject of an of fen ce as de fi ned in Ar tic le 9 of this Con ven ti on;
f „fi nan ci al in tel li gen ce unit” (he re i naf ter re fer red to as
„FIU”) me ans a cent ral, na ti o nal agen cy res pon sib le for re ce i ving (and, as per mit ted, re qu es ting), analy sing and dis se mi na ting to the com pe tent aut ho ri ti es, disc lo su res of fi nan ci al in for mat ion
i con cer ning sus pec ted pro ce eds and po ten ti al fi nan cing of ter ro rism, or
ii re qu i red by na ti o nal le gis la ti on or re gu lat ion, in or der to com bat mo ney la un de ring and fi nan cing of ter ro rism;
g „fre e zing” or „se i zu re” me ans tem po ra rily pro hi bi ting the trans fer, dest ruc ti on, con ver si on, dis po si ti on or mo ve ment of pro perty or tem po ra rily as su ming cus to dy or cont rol of pro perty on the ba sis of an or der is su ed by a co urt or ot her com pe tent aut ho rity;
h „fi nan cing of ter ro rism” me ans the acts set out in Ar tic le 2 of the In ter na ti o nal Con ven ti on for the Supp res si on of the Fi nan cing of Ter ro rism, ci ted abo ve.
CHAPTER II
FINANCING OF TERRORISM Article 2
Application of the Convention to the financing of terrorism
1 Each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to enab le it to apply the pro vi si ons con ta i ned in Chap ters III, IV and V of this Con ven ti on to the fi nan cing of ter ro rism.
2 In par ti cu lar, each Party shall en su re that it is able to se arch, tra ce, iden ti fy, fre e ze, se i ze and con fis ca te pro perty, of a li cit or il li cit ori gin, used or al lo ca ted to be used by any me ans, in who le or in part, for the fi nan cing of ter ro rism, or the pro ce eds of this of fen ce, and to pro vi de co-ope rat ion to this end to the wi dest pos sib le ex tent.
CHAPTER III
MEASURES TO BE TAKEN AT NATIONAL LEVEL SECTION 1
GENERAL PROVISIONS Article 3
Confiscation measures
1 Each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to enab le it to con fis ca te inst ru men ta li ti es and pro ce eds or pro perty the va lue of which cor res ponds to such pro ce eds and la un de red pro perty.
2 Pro vi ded that pa rag raph 1 of this ar tic le app li es to mo ney la un de ring and to the ca te go ri es of of fen ces in the ap pen dix to the Con ven ti on, each Party may, at the time of sig na tu re or when de po si ting its inst ru ment of ra ti fi ca ti on, ac cep tan ce, app ro val or ac ces si on, by a dec la ra ti on add res sed to the Sec re ta ry Ge ne ral of the Co un cil of Eu ro pe, dec la re that pa rag raph 1 of this ar tic le app li es
a only in so far as the of fen ce is pu nis hab le by dep ri va ti on of li berty or a de ten ti on or der for a ma xi mum
of more than one year. Ho we ver, each Party may make a dec la ra ti on on this pro vi si on in res pect of the con fis ca ti on of the pro ce eds from tax of fen ces for the sole pur po se of be ing able to con fis ca te such pro ce eds, both na ti o nally and thro ugh in ter na ti o nal co o pe ra ti on, un der na ti o nal and in ter na ti o nal tax-debt re co ve ry le gis la ti on; and/or
b only to a list of spe ci fi ed of fen ces.
3 Par ti es may pro vi de for man da to ry con fis ca ti on in res pect of of fen ces which are sub ject to the con fis ca ti on re gi me. Par ti es may in par ti cu lar inc lu de in this pro vi si on the of fen ces of mo ney la un de ring, drug traf fic king, traf fic king in hu man be ings and any ot her se ri o us of fen ce.
4 Each Party shall adopt such le gis la ti ve or ot her me a su res as may be ne ces sa ry to re qu i re that, in res pect of a se ri o us of fen ce or of fen ces as de fi ned by na ti o nal law, an of fen der de monst ra tes the ori gin of al le ged pro ce eds or ot her pro perty li ab le to con fis ca ti on to the ex tent that such a re qu i re ment is con sis tent with the prin cip les of its do mes tic law.
Article 4
Investigative and provisional measures
Each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to enab le it to iden ti fy, tra ce, fre e ze or se i ze ra pidly pro perty which is li ab le to con fis ca ti on pur su ant to Ar tic le 3, in or der in par ti cu lar to fa ci li ta te the en for ce ment of a la ter con fis ca ti on.
Article 5
Freezing, seizure and confiscation
Each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to en su re that the me a su res to fre e ze, se i ze and con fis ca te also en com pass:
a the pro perty into which the pro ce eds have been trans for med or con ver ted;
b pro perty ac qu i red from le gi ti ma te so ur ces, if pro ce eds have been in ter ming led, in who le or in part, with such pro perty, up to the as ses sed va lue of the in ter ming led pro ce eds;
c in co me or ot her be ne fits de ri ved from pro ce eds, from pro perty into which pro ce eds of cri me have been trans for med or con ver ted or from pro perty with which pro ce eds of cri me have been in ter ming led, up to the as ses sed va lue of the in ter ming led pro ce eds, in the same man ner and to the same ex tent as pro ce eds.
Article 6
Management of frozen or seized property
Each Party shall adopt such le gis la ti ve or ot her me a su res as may be ne ces sa ry to en su re pro per
with Ar tic les 4 and 5 of this Con ven ti on.
Article 7
Investigative powers and techniques
1 Each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to em po wer its co urts or ot her com pe tent aut ho ri ti es to or der that bank, fi nan ci al or com mer ci al re cords be made ava i lab le or be se i zed in or der to car ry out the ac ti ons re fer red to in Ar tic les 3, 4 and 5. A Party shall not dec li ne to act un der the pro vi si ons of this ar tic le on gro unds of bank sec re cy.
2 Wit ho ut pre ju di ce to pa rag raph 1, each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to enab le it to:
a de ter mi ne whet her a na tu ral or leg al per son is a hol der or be ne fi ci al ow ner of one or more ac co unts, of wha te ver na tu re, in any bank lo ca ted in its ter ri to ry and, if so ob ta in all of the de ta ils of the iden ti fi ed ac co unts;
b ob ta in the par ti cu lars of spe ci fi ed bank ac co unts and of bank ing ope rat ions which have been car ri ed out du ring a spe ci fi ed pe ri od thro ugh one or more spe ci fi ed ac co unts, inc lu ding the par ti cu lars of any sen ding or re ci pi ent ac co unt;
c mo ni tor, du ring a spe ci fi ed pe ri od, the bank ing ope rat ions that are be ing car ri ed out thro ugh one or more iden ti fi ed ac co unts; and,
d en su re that banks do not disc lo se to the bank cus to mer con cer ned or to ot her third per sons that in for mat ion has been so ught or ob ta i ned in ac cor dan ce with sub-pa rag raphs a, b, or c, or that an in ves ti ga ti on is be ing car ri ed out.
Par ti es shall con si der ex ten ding this pro vi si on to ac co unts held in non-bank fi nan ci al ins ti tu ti ons.
3 Each Party shall con si der adop ting such le gis la ti ve and ot her me a su res as may be ne ces sa ry to enab le it to use spe ci al in ves ti ga ti ve tech ni qu es fa ci li ta ting the iden ti fi ca ti on and tra cing of pro ce eds and the gat he ring of evi den ce re la ted the re to, such as ob ser va ti on, in ter cep ti on of te le com mu ni ca ti ons, ac cess to com pu ter sys tems and or der to pro du ce spe ci fic do cu ments.
Article 8 Legal remedies
Each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to en su re that in ter es ted par ti es af fec ted by me a su res un der Ar tic les 3, 4 and 5 and such ot her pro vi si ons in this Sec ti on as are re le vant, shall have ef fec ti ve leg al re me di es in or der to pre ser ve the ir rights.
Laundering offences
1 Each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to es tab lish as of fen ces un der its do mes tic law, when com mit ted in ten ti o nally:
a the con ver si on or trans fer of pro perty, kno wing that such pro perty is pro ce eds, for the pur po se of con ce a ling or dis gu i sing the il li cit ori gin of the pro perty or of as sis ting any per son who is in vol ved in the com mis si on of the pre di ca te of fen ce to eva de the leg al con se qu en ces of his ac ti ons;
b the con ce al ment or dis gu i se of the true na tu re, so ur ce, lo ca ti on, dis po si ti on, mo ve ment, rights with res pect to, or ow ners hip of, pro perty, kno wing that such pro perty is pro ce eds;
and, sub ject to its cons ti tu ti o nal prin cip les and the ba sic con cepts of its leg al sys tem;
c the ac qu i si ti on, pos ses si on or use of pro perty, kno wing, at the time of re ce ipt, that such pro perty was pro ce eds;
d par ti ci pa ti on in, as so ci a ti on or cons pi ra cy to com mit, at tempts to com mit and ai ding, abet ting, fa ci li ta ting and co un sel ling the com mis si on of any of the of fen ces es tab lis hed in ac cor dan ce with this ar tic le.
2 For the pur po ses of imp le men ting or app lying pa rag raph 1 of this ar tic le:
a it shall not mat ter whet her the pre di ca te of fen ce was sub ject to the cri mi nal ju ris dic ti on of the Party;
b it may be pro vi ded that the of fen ces set forth in that pa rag raph do not apply to the per sons who com mit ted the pre di ca te of fen ce;
c know led ge, in tent or pur po se re qu i red as an ele ment of an of fen ce set forth in that pa rag raph may be in fer red from ob jec ti ve, fac tu al cir cums tan ces.
3 Each Party may adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to es tab lish as an of fen ce un der its do mes tic law all or some of the acts re fer red to in pa rag raph 1 of this ar tic le, in eit her or both of the fol lo wing ca ses whe re the of fen der
a sus pec ted that the pro perty was pro ce eds,
b ought to have as su med that the pro perty was pro ce eds.
4 Pro vi ded that pa rag raph 1 of this ar tic le app li es to the ca te go ri es of pre di ca te of fen ces in the ap pen dix to the Con ven ti on, each Sta te or the Eu ro pe an Com mu nity may, at the time of sig na tu re or when de po si ting its inst ru ment of ra ti fi ca ti on, ac cep tan ce, app ro val or ac ces si on, by a dec la ra ti on add res sed to the Sec re ta ry Ge ne ral of the Co un cil of Eu ro pe, dec la re that pa rag raph 1 of this ar tic le app li es:
a only in so far as the pre di ca te of fen ce is pu nis hab le by dep ri va ti on of li berty or a de ten ti on or der for a ma xi mum of more than one year, or for tho se Par ti es that have a mi ni mum thres hold for of fen ces in the ir leg al sys tem, in so
far as the of fen ce is pu nis hab le by dep ri va ti on of li berty or a de ten ti on or der for a mi ni mum of more than six months;
and/or
b only to a list of spe ci fi ed pre di ca te of fen ces; and/or c to a ca te go ry of se ri o us of fen ces in the na ti o nal law of the Party.
5 Each Party shall en su re that a pri or or si mul ta ne o us con vic ti on for the pre di ca te of fen ce is not a pre re qu i si te for a con vic ti on for mo ney la un de ring.
6 Each Party shall en su re that a con vic ti on for mo ney la un de ring un der this Ar tic le is pos sib le whe re it is pro ved that the pro perty, the ob ject of pa rag raph 1.a or b of this ar tic le, ori gi na ted from a pre di ca te of fen ce, wit ho ut it be ing ne ces sa ry to es tab lish pre ci sely which of fen ce.
7 Each Party shall en su re that pre di ca te of fen ces for mo ney la un de ring ex tend to con duct that oc cur red in anot her Sta te, which cons ti tu tes an of fen ce in that Sta te, and which wo uld have cons ti tu ted a pre di ca te of fen ce had it oc cur red do mes ti cally. Each Party may pro vi de that the only pre re qu i si te is that the con duct wo uld have cons ti tu ted a pre di ca te of fen ce had it oc cur red do mes ti cally.
Article 10 Corporate liability
1 Each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to en su re that leg al per sons can be held li ab le for the cri mi nal of fen ces of mo ney la un de ring es tab lis hed in ac cor dan ce with this Con ven ti on, com mit ted for the ir be ne fit by any na tu ral per son, ac ting eit her in di vi du ally or as part of an or gan of the leg al per son, who has a le ad ing po si ti on wit hin the leg al per son, ba sed on:
a a po wer of rep re sen ta ti on of the leg al per son; or b an aut ho rity to take de ci si ons on be half of the leg al per son; or
c an aut ho rity to exer ci se cont rol wit hin the leg al per son,
as well as for in vol ve ment of such a na tu ral per son as ac ces so ry or ins ti ga tor in the abo ve-ment io ned of fen ces.
2 Apart from the ca ses al re a dy pro vi ded for in pa rag raph 1, each Party shall take the ne ces sa ry me a su res to en su re that a leg al per son can be held li ab le whe re the lack of su per vi si on or cont rol by a na tu ral per son re fer red to in pa rag raph 1 has made pos sib le the com mis si on of the cri mi nal of fen ces ment io ned in pa rag raph 1 for the be ne fit of that leg al per son by a na tu ral per son un der its aut ho rity.
3 Li a bi lity of a leg al per son un der this Ar tic le shall not exc lu de cri mi nal pro ce e dings aga inst na tu ral per sons who are per pet ra tors, ins ti ga tors of, or ac ces so ri es to, the cri mi nal of fen ces ment io ned in pa rag raph 1.
4 Each Party shall en su re that leg al per sons held li ab le in ac cor dan ce with this Ar tic le, shall be sub ject to ef fec ti ve, pro por ti o na te and dis su a si ve cri mi nal or non-cri mi nal sanc ti ons, inc lu ding mo ne ta ry sanc ti ons.
Article 11 Previous decisions
Each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to pro vi de for the pos si bi lity of ta king into ac co unt, when de ter mi ning the pe nalty, fi nal de ci si ons aga inst a na tu ral or leg al per son ta ken in anot her Party in re lat ion to of fen ces es tab lis hed in ac cor dan ce with this Con ven ti on.
SECTION 2
FINANCIAL INTELLIGENCE UNIT (FIU) AND PREVENTION
Article 12
Financial intelligence unit (FIU)
1 Each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to es tab lish an FIU as de fi ned in this Con ven ti on.
2 Each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to en su re that its FIU has ac cess, di rectly or in di rectly, on a ti mely ba sis to the fi nan ci al, ad mi nist ra ti ve and law en for ce ment in for mat ion that it re qu i res to pro perly un der ta ke its func ti ons, inc lu ding the analy sis of sus pi ci o us tran sac ti on re ports.
Article 13
Measures to prevent money laundering
1 Each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to ins ti tu te a comp re hen si ve do mes tic re gu la to ry and su per vi so ry or mo ni tor ing re gi me to pre vent mo ney la un de ring and shall take due ac co unt of app li cab le in ter na ti o nal stan dards, inc lu ding in par ti cu lar the re com men da ti ons adop ted by the Fi nan ci al Ac ti on Task For ce on Mo ney La un de ring (FATF).
2 In that res pect, each Party shall adopt, in par ti cu lar, such le gis la ti ve and ot her me a su res as may be ne ces sa ry to:
a re qu i re leg al and na tu ral per sons which en ga ge in ac ti vi ti es which are par ti cu larly li kely to be used for mo ney la un de ring pur po ses, and as far as the se ac ti vi ti es are con cer ned, to:
i iden ti fy and ve ri fy the iden tity of the ir cus to mers and, whe re app li cab le, the ir ul ti ma te be ne fi ci al ow ners, and to con duct on go ing due di li gen ce
ac co unt a risk ba sed app ro ach;
ii re port sus pi ci ons on mo ney la un de ring sub ject to sa fe gu ard;
iii take sup por ting me a su res, such as re cord ke e ping on cus to mer iden ti fi ca ti on and tran sac ti ons, tra i ning of per son nel and the es tab lish ment of in ter nal po li ci es and pro ce du res, and if app rop ri a te, ad ap ted to the ir size and na tu re of bu si ness;
b pro hi bit, as app rop ri a te, the per sons re fer red to in sub-pa rag raph a from disc lo sing the fact that a sus pi ci o us tran sac ti on re port or re la ted in for mat ion has been trans mit ted or that a mo ney la un de ring in ves ti ga ti on is be ing or may be car ri ed out;
c en su re that the per sons re fer red to in sub-pa rag raph a are sub ject to ef fec ti ve sys tems for mo ni tor ing, and whe re app li cab le su per vi si on, with a view to en su re the ir comp li an ce with the re qu i re ments to com bat mo ney la un de ring, whe re app rop ri a te on a risk sen si ti ve ba sis.
3 In that res pect, each Party shall adopt such le gis la ti ve or ot her me a su res as may be ne ces sa ry to de tect the sig ni fi cant phy si cal cross bor der trans por ta ti on of cash and app rop ri a te be a rer ne go ti ab le inst ru ments.
Article 14
Postponement of domestic suspicious transactions Each Party shall adopt such le gis la ti ve and ot her me a su res as may be ne ces sa ry to per mit ur gent ac ti on to be ta ken by the FIU or, as app rop ri a te, by any ot her com pe tent aut ho ri ti es or body, when the re is a sus pi ci on that a tran sac ti on is re la ted to mo ney la un de ring, to sus pend or with hold con sent to a tran sac ti on go ing ahe ad in or der to analy se the tran sac ti on and con firm the sus pi ci on. Each party may rest rict such a me a su re to ca ses whe re a sus pi ci o us tran sac ti on re port has been sub mit ted.
The ma xi mum du ra ti on of any sus pen si on or with hol ding of con sent to a tran sac ti on shall be sub ject to any re le vant pro vi si ons in na ti o nal law.
CHAPTER IV
INTERNATIONAL CO-OPERATION SECTION 1
PRINCIPLES OF INTERNATIONAL CO-OPERATION Article 15
General principles and measures for international co-operation
1 The Par ti es shall mu tu ally co-ope ra te with each ot her to the wi dest ex tent pos sib le for the pur po ses of
of inst ru men ta li ti es and pro ce eds.
2 Each Party shall adopt such le gis la ti ve or ot her me a su res as may be ne ces sa ry to enab le it to comply, un der the con di ti ons pro vi ded for in this chap ter, with re qu ests:
a for con fis ca ti on of spe ci fic items of pro perty rep re sen ting pro ce eds or inst ru men ta li ti es, as well as for con fis ca ti on of pro ce eds con sis ting in a re qu i re ment to pay a sum of mo ney cor res pon ding to the va lue of pro ce eds;
b for in ves ti ga ti ve as sis tan ce and pro vi si o nal me a su res with a view to eit her form of con fis ca ti on re fer red to un der a abo ve.
3 In ves ti ga ti ve as sis tan ce and pro vi si o nal me a su res so ught in pa rag raph 2.b shall be car ri ed out as per mit ted by and in ac cor dan ce with the in ter nal law of the re qu es ted Party. Whe re the re qu est con cer ning one of the se me a su res spe ci fi es for ma li ti es or pro ce du res which are ne ces sa ry un der the law of the re qu es ting Party, even if un fa mi li ar to the re qu es ted Party, the lat ter shall comply with such re qu ests to the ex tent that the ac ti on so ught is not cont ra ry to the fun da men tal prin cip les of its law.
4 Each Party shall adopt such le gis la ti ve or ot her me a su res as may be ne ces sa ry to en su re that the re qu ests co ming from ot her Par ti es in or der to iden ti fy, tra ce, fre e ze or se i ze the pro ce eds and inst ru men ta li ti es, re ce i ve the same pri o rity as tho se made in the fra me work of in ter nal pro ce du res.
SECTION 2
INVESTIGATIVE ASSISTANCE Article 16
Obligation to assist
The Par ti es shall af ford each ot her, upon re qu est, the wi dest pos sib le me a su re of as sis tan ce in the iden ti fi ca ti on and tra cing of inst ru men ta li ti es, pro ce eds and ot her pro perty li ab le to con fis ca ti on. Such as sis tan ce shall inc lu de any me a su re pro vi ding and se cu ring evi den ce as to the exis ten ce, lo ca ti on or mo ve ment, na tu re, leg al sta tus or va lue of the afo re men ti o ned pro perty.
Article 17
Requests for information on bank accounts 1 Each Party shall, un der the con di ti ons set out in this ar tic le, take the me a su res ne ces sa ry to de ter mi ne, in ans wer to a re qu est sent by anot her Party, whet her a na tu ral or leg al per son that is the sub ject of a cri mi nal in ves ti ga ti on holds or cont rols one or more ac co unts, of wha te ver na tu re, in any bank lo ca ted in its ter ri to ry and, if so, pro vi de the par ti cu lars of the iden ti fi ed ac co unts.
2 The ob li ga ti on set out in this ar tic le shall apply only to the ex tent that the in for mat ion is in the pos ses si on of the bank ke e ping the ac co unt.
3 In ad di ti on to the re qu i re ments of Ar tic le 37, the re qu es ting party shall, in the re qu est:
a sta te why it con si ders that the re qu es ted in for mat ion is li kely to be of subs tan ti al va lue for the pur po se of the cri mi nal in ves ti ga ti on into the of fen ce;
b sta te on what gro unds it pre su mes that banks in the re qu es ted Party hold the ac co unt and spe ci fy, to the wi dest ex tent pos sib le, which banks and/or ac co unts may be in vol ved; and
c inc lu de any ad di ti o nal in for mat ion ava i lab le which may fa ci li ta te the exe cu ti on of the re qu est.
4 The re qu es ted Party may make the exe cu ti on of such a re qu est de pen dant on the same con di ti ons as it app li es in res pect of re qu ests for se arch and se i zu re.
5 Each Sta te or the Eu ro pe an Com mu nity may, at the time of sig na tu re or when de po si ting its inst ru ment of ra ti fi ca ti on, ac cep tan ce, app ro val or ac ces si on, by a dec la ra ti on add res sed to the Sec re ta ry Ge ne ral of the Co un cil of Eu ro pe, dec la re that this ar tic le app li es only to the ca te go ri es of of fen ces spe ci fi ed in the list con ta i ned in the ap pen dix to this Con ven ti on.
6 Par ti es may ex tend this pro vi si on to ac co unts held in non-bank fi nan ci al ins ti tu ti ons. Such ex ten si on may be made sub ject to the prin cip le of re cip ro city.
Article 18
Requests for information on banking transactions 1 On re qu est by anot her Party, the re qu es ted Party shall pro vi de the par ti cu lars of spe ci fi ed bank ac co unts and of bank ing ope rat ions which have been car ri ed out du ring a spe ci fi ed pe ri od thro ugh one or more ac co unts spe ci fi ed in the re qu est, inc lu ding the par ti cu lars of any sen ding or re ci pi ent ac co unt.
2 The ob li ga ti on set out in this ar tic le shall apply only to the ex tent that the in for mat ion is in the pos ses si on of the bank hol ding the ac co unt.
3 In ad di ti on to the re qu i re ments of Ar tic le 37, the re qu es ting Party shall in its re qu est in di ca te why it con si ders the re qu es ted in for mat ion re le vant for the pur po se of the cri mi nal in ves ti ga ti on into the of fen ce.
4 The re qu es ted Party may make the exe cu ti on of such a re qu est de pen dant on the same con di ti ons as it app li es in res pect of re qu ests for se arch and se i zu re.
5 Par ti es may ex tend this pro vi si on to ac co unts held in non-bank fi nan ci al ins ti tu ti ons. Such ex ten si on may be made sub ject to the prin cip le of re cip ro city.
Article 19
Requests for the monitoring of banking transactions 1 Each Party shall en su re that, at the re qu est of anot her Party, it is able to mo ni tor, du ring a spe ci fi ed pe ri od, the bank ing ope rat ions that are be ing car ri ed out thro ugh one or more ac co unts spe ci fi ed in the re qu est and com mu ni ca te the re sults the re of to the re qu es ting Party.
2 In ad di ti on to the re qu i re ments of Ar tic le 37, the re qu es ting Party shall in its re qu est in di ca te why it con si ders the re qu es ted in for mat ion re le vant for the pur po se of the cri mi nal in ves ti ga ti on into the of fen ce.
3 The de ci si on to mo ni tor shall be ta ken in each in di vi du al case by the com pe tent aut ho ri ti es of the re qu es ted Party, with due re gard for the na ti o nal law of that Party.
4 The prac ti cal de ta ils re gar ding the mo ni tor ing shall be ag re ed bet we en the com pe tent aut ho ri ti es of the re qu es ting and re qu es ted Par ti es.
5 Par ti es may ex tend this pro vi si on to ac co unts held in non-bank fi nan ci al ins ti tu ti ons.
Article 20 Spontaneous information
Wit ho ut pre ju di ce to its own in ves ti ga ti ons or pro ce e dings, a Party may wit ho ut pri or re qu est for ward to anot her Party in for mat ion on inst ru men ta li ti es and pro ce eds, when it con si ders that the disc lo su re of such in for mat ion might as sist the re ce i ving Party in ini ti a ting or car ry ing out in ves ti ga ti ons or pro ce e dings or might lead to a re qu est by that Party un der this chap ter.
SECTION 3
PROVISIONAL MEASURES Article 21
Obligation to take provisional measures
1 At the re qu est of anot her Party which has ins ti tu ted cri mi nal pro ce e dings or pro ce e dings for the pur po se of con fis ca ti on, a Party shall take the ne ces sa ry pro vi si o nal me a su res, such as fre e zing or se i zing, to pre vent any de al ing in, trans fer or dis po sal of pro perty which, at a la ter sta ge, may be the sub ject of a re qu est for con fis ca ti on or which might be such as to sa tis fy the re qu est.
2 A Party which has re ce i ved a re qu est for con fis ca ti on pur su ant to Ar tic le 23 shall, if so re qu es ted, take the me a su res ment io ned in pa rag raph 1 of this ar tic le in res pect of any pro perty which is the sub ject of the re qu est or which might be such as to sa tis fy the re qu est.
Execution of provisional measures
1 Af ter the exe cu ti on of the pro vi si o nal me a su res re qu es ted in con for mity with pa rag raph 1 of Ar tic le 21, the re qu es ting Party shall pro vi de spon ta ne o usly and as soon as pos sib le to the re qu es ted Party all in for mat ion which may qu es ti on or mo di fy the ex tent of the se me a su res. The re qu es ting Party shall also pro vi de wit ho ut de la ys all comp le men ta ry in for mat ion re qu es ted by the re qu es ted Party and which is ne ces sa ry for the imp le men ta ti on of and the fol low up to the pro vi si o nal me a su res.
2 Be fo re lift ing any pro vi si o nal me a su re ta ken pur su ant to this ar tic le, the re qu es ted Party shall, whe re ver pos sib le, give the re qu es ting Party an op por tu nity to pre sent its re a sons in fa vo ur of con ti nu ing the me a su re.
SECTION 4 CONFISCATION
Article 23 Obligation to confiscate
1 A Party, which has re ce i ved a re qu est made by anot her Party for con fis ca ti on con cer ning inst ru men - ta li ti es or pro ce eds, si tu a ted in its ter ri to ry, shall:
a en for ce a con fis ca ti on or der made by a co urt of a re qu es ting Party in re lat ion to such inst ru men ta li ti es or pro ce eds; or
b sub mit the re qu est to its com pe tent aut ho ri ti es for the pur po se of ob ta i ning an or der of con fis ca ti on and, if such or der is gran ted, en for ce it.
2 For the pur po ses of app lying pa rag raph 1.b of this ar tic le, any Party shall whe ne ver ne ces sa ry have com pe ten ce to ins ti tu te con fis ca ti on pro ce e dings un der its own law.
3 The pro vi si ons of pa rag raph 1 of this ar tic le shall also apply to con fis ca ti on con sis ting in a re qu i re ment to pay a sum of mo ney cor res pon ding to the va lue of pro ce eds, if pro perty on which the con fis ca ti on can be en for ced is lo ca ted in the re qu es ted Party. In such ca ses, when en for cing con fis ca ti on pur su ant to pa rag raph 1, the re qu es ted Party shall, if pa y ment is not ob ta i ned, re a li se the cla im on any pro perty ava i lab le for that pur po se.
4 If a re qu est for con fis ca ti on con cerns a spe ci fic item of pro perty, the Par ti es may ag ree that the re qu es ted Party may en for ce the con fis ca ti on in the form of a re qu i re ment to pay a sum of mo ney cor res pon ding to the va lue of the pro perty.
5 The Par ti es shall co-ope ra te to the wi dest ex tent pos sib le un der the ir do mes tic law with tho se Par ti es which re qu est the exe cu ti on of me a su res equ i va lent to con fis ca ti on le ad ing to the dep ri va ti on of pro perty, which
or de red by a ju di ci al aut ho rity of the re qu es ting Party in re lat ion to a cri mi nal of fen ce, pro vi ded that it has been es tab lis hed that the pro perty cons ti tu tes pro ce eds or ot her pro perty in the me a ning of Ar tic le 5 of this Con ven ti on.
Article 24 Execution of confiscation
1 The pro ce du res for ob ta i ning and en for cing the con fis ca ti on un der Ar tic le 23 shall be go ver ned by the law of the re qu es ted Party.
2 The re qu es ted Party shall be bo und by the fin dings as to the facts in so far as they are sta ted in a con vic ti on or ju di ci al de ci si on of the re qu es ting Party or in so far as such con vic ti on or ju di ci al de ci si on is imp li citly ba sed on them.
3 Each Sta te or the Eu ro pe an Com mu nity may, at the time of sig na tu re or when de po si ting its inst ru ment of ra ti fi ca ti on, ac cep tan ce, app ro val or ac ces si on, by a dec la ra ti on add res sed to the Sec re ta ry Ge ne ral of the Co un cil of Eu ro pe, dec la re that pa rag raph 2 of this ar tic le app li es only sub ject to its cons ti tu ti o nal prin cip les and the ba sic con cepts of its leg al sys tem.
4 If the con fis ca ti on con sists in the re qu i re ment to pay a sum of mo ney, the com pe tent aut ho rity of the re qu es ted Party shall con vert the amo unt the re of into the cur ren cy of that Party at the rate of ex chan ge ru ling at the time when the de ci si on to en for ce the con fis ca ti on is ta ken.
5 In the case of Ar tic le 23, pa rag raph 1.a, the re qu es ting Party alo ne shall have the right to de ci de on any app li ca ti on for re vi ew of the con fis ca ti on or der.
Article 25 Confiscated property
1 Pro perty con fis ca ted by a Party pur su ant to Ar tic les 23 and 24 of this Con ven ti on, shall be dis po sed of by that Party in ac cor dan ce with its do mes tic law and ad mi nist ra ti ve pro ce du res.
2 When ac ting on the re qu est made by anot her Party in ac cor dan ce with Ar tic les 23 and 24 of this Con ven ti on, Par ti es shall, to the ex tent per mit ted by do mes tic law and if so re qu es ted, give pri o rity con si de ra ti on to re tur ning the con fis ca ted pro perty to the re qu es ting Party so that it can give com pen sa ti on to the vic tims of the cri me or ret urn such pro perty to the ir le gi ti ma te ow ners.
3 When ac ting on the re qu est made by anot her Party in ac cor dan ce with Ar tic les 23 and 24 of this Con ven ti on, a Party may give spe ci al con si de ra ti on to conc lu ding ag re e ments or ar ran ge ments on sha ring with ot her Par ti es, on a re gu lar or ca se-by-ca se ba sis, such pro perty, in ac cor dan ce with its do mes tic law or ad mi nist ra ti ve pro ce du res.
Article 26
Right of enforcement and maximum amount of confiscation
1 A re qu est for con fis ca ti on made un der Ar tic les 23 and 24 does not af fect the right of the re qu es ting Party to en for ce it self the con fis ca ti on or der.
2 Not hing in this Con ven ti on shall be so in terp re ted as to per mit the to tal va lue of the con fis ca ti on to ex ce ed the amo unt of the sum of mo ney spe ci fi ed in the con fis ca ti on or der. If a Party finds that this might oc cur, the Par ti es con cer ned shall en ter into con sul ta ti ons to avo id such an ef fect.
Article 27 Imprisonment in default
The re qu es ted Party shall not im po se imp ri son ment in de fa ult or any ot her me a su re rest ric ting the li berty of a per son as a re sult of a re qu est un der Ar tic le 23, if the re qu es ting Party has so spe ci fi ed in the re qu est.
SECTION 5
REFUSAL AND POSTPONEMENT OF CO-OPERATION
Article 28 Grounds for refusal
1 Co-ope rat ion un der this chap ter may be re fu sed if:
a the ac ti on so ught wo uld be cont ra ry to the fun da men tal prin cip les of the leg al sys tem of the re qu es ted Party; or
b the exe cu ti on of the re qu est is li kely to pre ju di ce the so ve re ignty, se cu rity, ord re pub lic or ot her es sen ti al in ter ests of the re qu es ted Party; or
c in the opi ni on of the re qu es ted Party, the im por tan ce of the case to which the re qu est re la tes does not jus ti fy the ta king of the ac ti on so ught; or
d the of fen ce to which the re qu est re la tes is a fis cal of fen ce, with the ex cep ti on of the fi nan cing of ter ro rism;
e the of fen ce to which the re qu est re la tes is a po li ti cal of fen ce, with the ex cep ti on of the fi nan cing of ter ro rism; or
f the re qu es ted Party con si ders that comp li an ce with the ac ti on so ught wo uld be cont ra ry to the prin cip le of „ne bis in idem”; or
g the of fen ce to which the re qu est re la tes wo uld not be an of fen ce un der the law of the re qu es ted Party if com mit ted wit hin its ju ris dic ti on. Ho we ver, this gro und for re fu sal app li es to co-ope rat ion un der Sec ti on 2 only in so far as the as sis tan ce so ught in vol ves co er ci ve ac ti on.
Whe re dual cri mi na lity is re qu i red for co-ope rat ion un der this chap ter, that re qu i re ment shall be de e med to be sa tis fi ed re gard less of whet her both Par ti es pla ce the
of fen ce wit hin the same ca te go ry of of fen ces or de no mi na te the of fen ce by the same ter mi no logy, pro vi ded that both Par ti es cri mi na li se the con duct un der lying the of fen ce.
2 Co-ope rat ion un der Sec ti on 2, in so far as the as sis tan ce so ught in vol ves co er ci ve ac ti on, and un der Sec ti on 3 of this chap ter, may also be re fu sed if the me a su res so ught co uld not be ta ken un der the do mes tic law of the re qu es ted Party for the pur po ses of in ves ti ga ti ons or pro ce e dings, had it been a si mi lar do mes tic case.
3 Whe re the law of the re qu es ted Party so re qu i res, co-ope rat ion un der Sec ti on 2, in so far as the as sis tan ce so ught in vol ves co er ci ve ac ti on, and un der Sec ti on 3 of this chap ter may also be re fu sed if the me a su res so ught or any ot her me a su res ha ving si mi lar ef fects wo uld not be per mit ted un der the law of the re qu es ting Party, or, as re gards the com pe tent aut ho ri ti es of the re qu es ting Party, if the re qu est is not aut ho ri sed by eit her a jud ge or anot her ju di ci al aut ho rity, inc lu ding pub lic pro se cu tors, any of the se aut ho ri ti es ac ting in re lat ion to cri mi nal of fen ces.
4 Co-ope rat ion un der Sec ti on 4 of this chap ter may also be re fu sed if:
a un der the law of the re qu es ted Party con fis ca ti on is not pro vi ded for in res pect of the type of of fen ce to which the re qu est re la tes; or
b wit ho ut pre ju di ce to the ob li ga ti on pur su ant to Ar tic le 23, pa rag raph 3, it wo uld be cont ra ry to the prin cip les of the do mes tic law of the re qu es ted Party con cer ning the li mits of con fis ca ti on in res pect of the re la ti ons hip bet we en an of fen ce and:
i an eco no mic ad van ta ge that might be qu a li fi ed as its pro ce eds; or
ii pro perty that might be qu a li fi ed as its inst ru men ta li ti es; or
c un der the law of the re qu es ted Party con fis ca ti on may no lon ger be im po sed or en for ced be ca u se of the lap se of time; or
d wit ho ut pre ju di ce to Ar tic le 23, pa rag raph 5, the re qu est does not re la te to a pre vi o us con vic ti on, or a de ci si on of a ju di ci al na tu re or a sta te ment in such a de ci si on that an of fen ce or se ve ral of fen ces have been com mit ted, on the ba sis of which the con fis ca ti on has been or de red or is so ught; or
e con fis ca ti on is eit her not en for ce ab le in the re qu es ting Party, or it is still sub ject to or di na ry me ans of ap pe al; or
f the re qu est re la tes to a con fis ca ti on or der re sul ting from a de ci si on rend ered in ab sen tia of the per son aga inst whom the or der was is su ed and, in the opi ni on of the re qu es ted Party, the pro ce e dings con duc ted by the re qu es ting Party le ad ing to such de ci si on did not sa tis fy the mi ni mum rights of de fen ce re cog ni sed as due to eve ry o ne aga inst whom a cri mi nal char ge is made.
de ci si on is not con si de red to have been rend ered in ab sen tia if:
a it has been con fir med or pro no un ced af ter op po si ti on by the per son con cer ned; or
b it has been rend ered on ap pe al, pro vi ded that the ap pe al was lod ged by the per son con cer ned.
6 When con si de ring, for the pur po ses of pa rag raph 4.f of this ar tic le if the mi ni mum rights of de fen ce have been sa tis fi ed, the re qu es ted Party shall take into ac co unt the fact that the per son con cer ned has de li be ra tely so ught to eva de jus ti ce or the fact that that per son, ha ving had the pos si bi lity of lod ging a leg al re me dy aga inst the de ci si on made in ab sen tia, elec ted not to do so. The same will apply when the per son con cer ned, ha ving been duly ser ved with the sum mons to ap pe ar, elec ted not to do so nor to ask for ad jo urn ment.
7 A Party shall not in vo ke bank sec re cy as a gro und to re fu se any co-ope rat ion un der this chap ter. Whe re its do mes tic law so re qu i res, a Party may re qu i re that a re qu est for co-ope rat ion which wo uld in vol ve the lift ing of bank sec re cy be aut ho ri sed by eit her a jud ge or anot her ju di ci al aut ho rity, inc lu ding pub lic pro se cu tors, any of the se aut ho ri ti es ac ting in re lat ion to cri mi nal of fen ces.
8 Wit ho ut pre ju di ce to the gro und for re fu sal pro vi ded for in pa rag raph 1.a of this ar tic le:
a the fact that the per son un der in ves ti ga ti on or sub jec ted to a con fis ca ti on or der by the aut ho ri ti es of the re qu es ting Party is a leg al per son shall not be in vo ked by the re qu es ted Party as an obs tac le to af for ding any co-ope rat ion un der this chap ter;
b the fact that the na tu ral per son aga inst whom an or der of con fis ca ti on of pro ce eds has been is su ed has died or the fact that a leg al per son aga inst whom an or der of con fis ca ti on of pro ce eds has been is su ed has sub se qu ently been dis sol ved shall not be in vo ked as an obs tac le to ren der as sis tan ce in ac cor dan ce with Ar tic le 23, pa rag raph 1.a;
c the fact that the per son un der in ves ti ga ti on or sub jec ted to a con fis ca ti on or der by the aut ho ri ti es of the re qu es ting Party is ment io ned in the re qu est both as the aut hor of the un der lying cri mi nal of fen ce and of the of fen ce of mo ney la un de ring, in ac cor dan ce with Ar tic le 9.2.b of this Con ven ti on, shall not be in vo ked by the re qu es ted Party as an obs tac le to af for ding any co-ope rat ion un der this chap ter.
Article 29 Postponement
The re qu es ted Party may post po ne ac ti on on a re qu est if such ac ti on wo uld pre ju di ce in ves ti ga ti ons or pro ce e dings by its aut ho ri ti es.
Partial or conditional granting of a request Be fo re re fu sing or post po ning co-ope rat ion un der this chap ter, the re qu es ted Party shall, whe re app rop ri a te af ter ha ving con sul ted the re qu es ting Party, con si der whet her the re qu est may be gran ted par ti ally or sub ject to such con di ti ons as it de ems ne ces sa ry.
SECTION 6
NOTIFICATION AND PROTECTION OF THIRD PARTIES’ RIGHTS
Article 31
Notification of documents
1 The Par ti es shall af ford each ot her the wi dest me a su re of mu tu al as sis tan ce in the ser ving of ju di ci al do cu ments to per sons af fec ted by pro vi si o nal me a su res and con fis ca ti on.
2 Not hing in this ar tic le is in ten ded to in ter fe re with:
a the pos si bi lity of sen ding ju di ci al do cu ments, by pos tal chan nels, di rectly to per sons ab ro ad;
b the pos si bi lity for ju di ci al of fi cers, of fi ci als or ot her com pe tent aut ho ri ti es of the Party of ori gin to ef fect ser vi ce of ju di ci al do cu ments di rectly thro ugh the con su lar aut ho ri ti es of that Party or thro ugh ju di ci al of fi cers, of fi ci als or ot her com pe tent aut ho ri ti es of the Party of des ti na ti on,
un less the Party of des ti na ti on ma kes a dec la ra ti on to the cont ra ry to the Sec re ta ry Ge ne ral of the Co un cil of Eu ro pe at the time of sig na tu re or when de po si ting its inst ru ment of ra ti fi ca ti on, ac cep tan ce, app ro val or ac ces si on.
3 When ser ving ju di ci al do cu ments to per sons ab ro ad af fec ted by pro vi si o nal me a su res or con fis ca ti on or ders is su ed in the sen ding Party, this Party shall in di ca te what leg al re me di es are ava i lab le un der its law to such per sons.
Article 32
Recognition of foreign decisions
1 When de al ing with a re qu est for co-ope rat ion un der Sec ti ons 3 and 4, the re qu es ted Party shall re cog ni se any ju di ci al de ci si on ta ken in the re qu es ting Party re gar ding rights cla i med by third par ti es.
2 Re cog ni ti on may be re fu sed if:
a third par ti es did not have ade qu a te op por tu nity to as sert the ir rights; or
b the de ci si on is in com pa tib le with a de ci si on al re a dy ta ken in the re qu es ted Party on the same mat ter; or
c it is in com pa tib le with the ord re pub lic of the re qu es ted Party; or
d the de ci si on was ta ken cont ra ry to pro vi si ons on exc lu si ve ju ris dic ti on pro vi ded for by the law of the re qu es ted Party.
SECTION 7
PROCEDURAL AND OTHER GENERAL RULES Article 33
Central authority
1 The Par ti es shall de sig na te a cent ral aut ho rity or, if ne ces sa ry, aut ho ri ti es, which shall be res pon sib le for sen ding and ans we ring re qu ests made un der this chap ter, the exe cu ti on of such re qu ests or the trans mis si on of them to the aut ho ri ti es com pe tent for the ir exe cu ti on.
2 Each Party shall, at the time of sig na tu re or when de po si ting its inst ru ment of ra ti fi ca ti on, ac cep tan ce, app ro val or ac ces si on, com mu ni ca te to the Sec re ta ry Ge ne ral of the Co un cil of Eu ro pe the na mes and add res ses of the aut ho ri ti es de sig na ted in pur su an ce of pa rag raph 1 of this ar tic le.
Article 34 Direct communication
1 The cent ral aut ho ri ti es shall com mu ni ca te di rectly with one anot her.
2 In the event of ur gen cy, re qu ests or com mu ni ca ti ons un der this chap ter may be sent di rectly by the ju di ci al aut ho ri ti es, inc lu ding pub lic pro se cu tors, of the re qu es ting Party to such aut ho ri ti es of the re qu es ted Party. In such ca ses a copy shall be sent at the same time to the cent ral aut ho rity of the re qu es ted Party thro ugh the cent ral aut ho rity of the re qu es ting Party.
3 Any re qu est or com mu ni ca ti on un der pa rag raphs 1 and 2 of this ar tic le may be made thro ugh the In ter na ti o nal Cri mi nal Po li ce Or ga ni sa ti on (In ter pol).
4 Whe re a re qu est is made pur su ant to pa rag raph 2 of this ar tic le and the aut ho rity is not com pe tent to deal with the re qu est, it shall re fer the re qu est to the com pe tent na ti o nal aut ho rity and in form di rectly the re qu es ting Party that it has done so.
5 Re qu ests or com mu ni ca ti ons un der Sec ti on 2 of this chap ter, which do not in vol ve co er ci ve ac ti on, may be di rectly trans mit ted by the com pe tent aut ho ri ti es of the re qu es ting Party to the com pe tent aut ho ri ti es of the re qu es ted Party.
6 Draft re qu ests or com mu ni ca ti ons un der this chap ter may be sent di rectly by the ju di ci al aut ho ri ti es of the re qu es ting Party to such aut ho ri ti es of the re qu es ted Party pri or to a for mal re qu est to en su re that it can be de alt with
ef fi ci ently upon re ce ipt and con ta ins suf fi ci ent in for mat ion and sup por ting do cu men ta ti on for it to meet the re qu i re ments of the le gis la ti on of the re qu es ted Party.
Article 35
Form of request and languages
1 All re qu ests un der this chap ter shall be made in wri ting. They may be trans mit ted elect ro ni cally, or by any ot her me ans of te le com mu ni ca ti on, pro vi ded that the re qu es ting Party is pre pa red, upon re qu est, to pro du ce at any time a writ ten re cord of such com mu ni ca ti on and the ori gi nal. Ho we ver each Party may, at any time, by a dec la ra ti on add res sed to the Sec re ta ry Ge ne ral of the Co un cil of Eu ro pe, in di ca te the con di ti ons in which it is re a dy to ac cept and exe cu te re qu ests re ce i ved elect ro ni cally or by any ot her me ans of com mu ni ca ti on.
2 Sub ject to the pro vi si ons of pa rag raph 3 of this ar tic le, trans la ti ons of the re qu ests or sup por ting do cu ments shall not be re qu i red.
3 At the time of sig na tu re or when de po si ting its inst ru ment of ra ti fi ca ti on, ac cep tan ce, app ro val or ac ces si on, any Sta te or the Eu ro pe an Com mu nity may com mu ni ca te to the Sec re ta ry Ge ne ral of the Co un cil of Eu ro pe a dec la ra ti on that it re ser ves the right to re qu i re that re qu ests made to it and do cu ments sup por ting such re qu ests be ac com pa ni ed by a trans la ti on into its own lan gu a ge or into one of the of fi ci al lan gu a ges of the Co un cil of Eu ro pe or into such one of the se lan gu a ges as it shall in di ca te. It may on that oc ca si on dec la re its re ad in ess to ac cept trans la ti ons in any ot her lan gu a ge as it may spe ci fy. The ot her Par ti es may apply the re cip ro city rule.
Article 36 Legalisation
Do cu ments trans mit ted in app li ca ti on of this chap ter shall be exempt from all le ga li sa ti on for ma li ti es.
Article 37 Content of request
1 Any re qu est for co-ope rat ion un der this chap ter shall spe ci fy:
a the aut ho rity ma king the re qu est and the aut ho rity car ry ing out the in ves ti ga ti ons or pro ce e dings;
b the ob ject of and the re a son for the re qu est;
c the matt ers, inc lu ding the re le vant facts (such as date, pla ce and cir cums tan ces of the of fen ce) to which the in ves ti ga ti ons or pro ce e dings re la te, ex cept in the case of a re qu est for no ti fi ca ti on;
i the text of the sta tu to ry pro vi si ons or, whe re this is not pos sib le, a sta te ment of the re le vant law app li cab le; and
ii an in di ca ti on that the me a su re so ught or any ot her me a su res ha ving si mi lar ef fects co uld be ta ken in the ter ri to ry of the re qu es ting Party un der its own law;
e whe re ne ces sa ry and in so far as pos sib le:
i de ta ils of the per son or per sons con cer ned, inc lu ding name, date and pla ce of birth, na ti o na lity and lo ca ti on, and, in the case of a leg al per son, its seat; and
ii the pro perty in re lat ion to which co-ope rat ion is so ught, its lo ca ti on, its con nec ti on with the per son or per sons con cer ned, any con nec ti on with the of fen ce, as well as any ava i lab le in for mat ion abo ut ot her per sons, in ter ests in the pro perty; and
f any par ti cu lar pro ce du re the re qu es ting Party wis hes to be fol lo wed.
2 A re qu est for pro vi si o nal me a su res un der Sec ti on 3 in re lat ion to se i zu re of pro perty on which a con fis ca ti on or der con sis ting in the re qu i re ment to pay a sum of mo ney may be re a li sed shall also in di ca te a ma xi mum amo unt for which re co ve ry is so ught in that pro perty.
3 In ad di ti on to the in di ca ti ons ment io ned in pa rag raph 1, any re qu est un der Sec ti on 4 shall con ta in:
a in the case of Ar tic le 23, pa rag raph 1.a:
i a cer ti fi ed true copy of the con fis ca ti on or der made by the co urt in the re qu es ting Party and a sta te ment of the gro unds on the ba sis of which the or der was made, if they are not in di ca ted in the or der it self;
ii an at tes ta ti on by the com pe tent aut ho rity of the re qu es ting Party that the con fis ca ti on or der is en for ce ab le and not sub ject to or di na ry me ans of ap pe al;
iii in for mat ion as to the ex tent to which the en for ce ment of the or der is re qu es ted; and iv in for mat ion as to the ne ces sity of ta king any
pro vi si o nal me a su res;
b in the case of Ar tic le 23, pa rag raph 1.b, a sta te ment of the facts re li ed upon by the re qu es ting Party suf fi ci ent to enab le the re qu es ted Party to seek the or der un der its do mes tic law;
c when third par ti es have had the op por tu nity to cla im rights, do cu ments de monst ra ting that this has been the case.
Article 38 Defective requests
1 If a re qu est does not comply with the pro vi si ons of this chap ter or the in for mat ion supp li ed is not suf fi ci ent to
Party may ask the re qu es ting Party to amend the re qu est or to comp le te it with ad di ti o nal in for mat ion.
2 The re qu es ted Party may set a time-li mit for the re ce ipt of such amend ments or in for mat ion.
3 Pen ding re ce ipt of the re qu es ted amend ments or in for mat ion in re lat ion to a re qu est un der Sec ti on 4 of this chap ter, the re qu es ted Party may take any of the me a su res re fer red to in Sec ti ons 2 or 3 of this chap ter.
Article 39 Plurality of requests
1 Whe re the re qu es ted Party re ce i ves more than one re qu est un der Sec ti ons 3 or 4 of this chap ter in res pect of the same per son or pro perty, the plu ra lity of re qu ests shall not pre vent that Party from de al ing with the re qu ests in vol ving the ta king of pro vi si o nal me a su res.
2 In the case of plu ra lity of re qu ests un der Sec ti on 4 of this chap ter, the re qu es ted Party shall con si der con sul ting the re qu es ting Par ti es.
Article 40
Obligation to give reasons
The re qu es ted Party shall give re a sons for any de ci si on to re fu se, post po ne or make con di ti o nal any co-ope rat ion un der this chap ter.
Article 41 Information
1 The re qu es ted Party shall promptly in form the re qu es ting Party of:
a the ac ti on ini ti a ted on a re qu est un der this chap ter;
b the fi nal re sult of the ac ti on car ri ed out on the ba sis of the re qu est;
c a de ci si on to re fu se, post po ne or make con di ti o nal, in who le or in part, any co-ope rat ion un der this chap ter;
d any cir cums tan ces which ren der im pos sib le the car ry ing out of the ac ti on so ught or are li kely to de lay it sig ni fi cantly; and
e in the event of pro vi si o nal me a su res ta ken pur su ant to a re qu est un der Sec ti ons 2 or 3 of this chap ter, such pro vi si ons of its do mes tic law as wo uld au to ma ti cally lead to the lift ing of the pro vi si o nal me a su re.
2 The re qu es ting Party shall promptly in form the re qu es ted Party of:
a any re vi ew, de ci si on or any ot her fact by re a son of which the con fis ca ti on or der ce a ses to be wholly or par ti ally en for ce ab le; and
b any de ve lop ment, fac tu al or leg al, by re a son of which any ac ti on un der this chap ter is no lon ger jus ti fi ed.
3 Whe re a Party, on the ba sis of the same con fis ca ti on or der, re qu ests con fis ca ti on in more than one Party, it shall in form all Par ti es which are af fec ted by an en for ce ment of the or der abo ut the re qu est.
Article 42 Restriction of use
1 The re qu es ted Party may make the exe cu ti on of a re qu est de pen dent on the con di ti on that the in for mat ion or evi den ce ob ta i ned will not, wit ho ut its pri or con sent, be used or trans mit ted by the aut ho ri ti es of the re qu es ting Party for in ves ti ga ti ons or pro ce e dings ot her than tho se spe ci fi ed in the re qu est.
2 Each Sta te or the Eu ro pe an Com mu nity may, at the time of sig na tu re or when de po si ting its inst ru ment of ra ti fi ca ti on, ac cep tan ce, app ro val or ac ces si on, by dec la ra ti on add res sed to the Sec re ta ry Ge ne ral of the Co un cil of Eu ro pe, dec la re that, wit ho ut its pri or con sent, in for mat ion or evi den ce pro vi ded by it un der this chap ter may not be used or trans mit ted by the aut ho ri ti es of the re qu es ting Party in in ves ti ga ti ons or pro ce e dings ot her than tho se spe ci fi ed in the re qu est.
Article 43 Confidentiality
1 The re qu es ting Party may re qu i re that the re qu es ted Party keep con fi den ti al the facts and subs tan ce of the re qu est, ex cept to the ex tent ne ces sa ry to exe cu te the re qu est. If the re qu es ted Party can not comply with the re qu i re ment of con fi den ti a lity, it shall promptly in form the re qu es ting Party.
2 The re qu es ting Party shall, if not cont ra ry to ba sic prin cip les of its na ti o nal law and if so re qu es ted, keep con fi den ti al any evi den ce and in for mat ion pro vi ded by the re qu es ted Party, ex cept to the ex tent that its disc lo su re is ne ces sa ry for the in ves ti ga ti ons or pro ce e dings desc ri bed in the re qu est.
3 Sub ject to the pro vi si ons of its do mes tic law, a Party which has re ce i ved spon ta ne o us in for mat ion un der Ar tic le 20 shall comply with any re qu i re ment of con fi den ti a lity as re qu i red by the Party which supp li es the in for mat ion. If the ot her Party can not comply with such re qu i re ment, it shall promptly in form the trans mit ting Party.
Article 44 Costs
The or di na ry costs of comp lying with a re qu est shall be bor ne by the re qu es ted Party. Whe re costs of a subs tan ti al
or ext ra or di na ry na tu re are ne ces sa ry to comply with a re qu est, the Par ti es shall con sult in or der to ag ree the con di ti ons on which the re qu est is to be exe cu ted and how the costs shall be bor ne.
Article 45 Damages
1 When leg al ac ti on on li a bi lity for da ma ges re sul ting from an act or omis si on in re lat ion to co-ope rat ion un der this chap ter has been ini ti a ted by a per son, the Par ti es con cer ned shall con si der con sul ting each ot her, whe re app rop ri a te, to de ter mi ne how to ap por ti on any sum of da ma ges due.
2 A Party which has be co me sub ject of a li ti ga ti on for da ma ges shall en de a vo ur to in form the ot her Party of such li ti ga ti on if that Party might have an in ter est in the case.
CHAPTER V
CO-OPERATION BETWEEN FIUS Article 46
Co-operation between FIUs
1 Par ti es shall en su re that FIUs, as de fi ned in this Con ven ti on, shall co o pe ra te for the pur po se of com ba ting mo ney la un de ring, to as semb le and analy se, or, if app rop ri a te, in ves ti ga te wit hin the FIU re le vant in for mat ion on any fact which might be an in di ca ti on of mo ney la un de ring in ac cor dan ce with the ir na ti o nal po wers.
2 For the pur po ses of pa rag raph 1, each Party shall en su re that FIUs ex chan ge, spon ta ne o usly or on re qu est and eit her in ac cor dan ce with this Con ven ti on or in ac cor dan ce with exis ting or fut ure me mo ran da of un ders tan ding com pa tib le with this Con ven ti on, any ac ces sib le in for mat ion that may be re le vant to the pro ces sing or analy sis of in for mat ion or, if app rop ri a te, to in ves ti ga ti on by the FIU re gar ding fi nan ci al tran sac ti ons re la ted to mo ney la un de ring and the na tu ral or leg al per sons in vol ved.
3 Each Party shall en su re that the per for man ce of the func ti ons of the FIUs un der this ar tic le shall not be af fec ted by the ir in ter nal sta tus, re gard less of whet her they are ad mi nist ra ti ve, law en for ce ment or ju di ci al aut ho ri ti es.
4 Each re qu est made un der this ar tic le shall be ac com pa ni ed by a bri ef sta te ment of the re le vant facts known to the re qu es ting FIU. The FIU shall spe ci fy in the re qu est how the in for mat ion so ught will be used.
5 When a re qu est is made in ac cor dan ce with this ar tic le, the re qu es ted FIU shall pro vi de all re le vant
