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聯合國《制止向恐怖主義提供資助的國際公約》(1999)

 

字體大小:大  小  来源:[]    日期:2011-04-15  

 
 
 

International Convention for the Suppression of the Financing of Terrorism (1999)

 

背景:國際恐怖主義行爲的次數和嚴重性在很大程度上依賴恐怖主義份子可以獲得多少資助而定,因而向恐怖主義提供資助是整個國際社會嚴重關注的問題。在此以前多邊法律文書並沒有專門處理這種資助,所以迫切需要增強各國之間的國際合作,制定和采取有效的措施以防止向恐怖主義提供資助和通過起訴及懲罰實施恐怖主義行爲者來加以制止。在1999129日第五十四屆聯合國大會上,通過了《制止向恐怖主義提供資助的國際公約》,補充了現有的國際相關文書在此方面的不足。該公約于2002年生效。中國已于20011114日簽署了該公約。

 

該公約共28條,其中的第18條論及了在面臨與反洗錢有關的可疑的交易情況時金融機構應采取的控制辦法,同時通過締約國加強進一步的國際合作來防止犯罪行爲的發生。現將該公約中與反洗錢有關的內容摘錄如下。

Article 18

 

1. States Parties shall cooperate in the prevention of the offences set forth in article 2 by taking all practicable measures, inter alia,[1] by adapting their domestic legislation, if necessary, to prevent and counter preparations in their respective territories for the commission of those offences within or outside their territories, including:

 

(a) Measures to prohibit in their territories illegal activities of persons and organizations that knowingly encourage, instigate5, organize or engage in the commission of offences set forth in article 2;

 

(b) Measures requiring financial institutions and other professions involved in financial transactions to utilize the most efficient measures available for the identification of their usual or occasional customers, as well as customers in whose interest accounts are opened, and to pay special attention to unusual or suspicious transactions and report transactions suspected of stemming from a criminal activity. For this purpose, States Parties shall consider:

 

(i) Adopting regulations prohibiting the opening of accounts the holders or beneficiaries of which are unidentified or unidentifiable, and measures to ensure that such institutions verify the identity of the real owners of such transactions;

 

(ii) With respect to the identification of legal entities, requiring financial institutions, when necessary, to take measures to verify the legal existence and the structure of the customer by obtaining, either from a public register or from the customer or both, proof

 

of incorporation, including information concerning the customers name, legal form, address, directors and provisions regulating the power to bind the entity;

 

(iii) Adopting regulations imposing on financial institutions the obligation to report promptly to the competent authorities all complex, unusual large transactions and unusual patterns of transactions, which have no apparent economic or obviously lawful purpose, without fear of assuming criminal or civil liability for breach of any restriction on disclosure of information if they report their suspicions in good faith; [2]

 

(iv) Requiring financial institutions to maintain, for at least five years, all necessary records on transactions, both domestic or international.

 

2. States Parties shall further cooperate in the prevention of offences set forth in article 2

 

by considering:

 

(a) Measures for the supervision, including, for example, the licensing, of all money transmission agencies[3];

 

(b) Feasible measures to detect or monitor the physical cross-border transportation[4] of cash and bearer negotiable instruments[5], subject to strict safeguards to ensure proper use of information and without impeding inany way the freedom of capital movements.

 

3. States Parties shall further cooperate in the prevention of the offences set forth in article 2 by exchanging accurate and verified information in accordance with their domestic law and coordinating administrative and other measures taken, as appropriate, to prevent the commission of offences set forth in article 2, in particular by:

 

(a) Establishing and maintaining channels of communication between their competent agencies and services to facilitate the secure and rapid exchange of information concerning all aspects of offences set forth in article 2;

 

(b) Cooperating with one another in conducting inquiries, with respect to the offences set forth in article 2, concerning:

 

(i) The identity, whereabouts[6] and activities of persons in respect of whom reasonable suspicion exists that they are involved in such offences;

 

(ii) The movement of funds relating to the commission of such offences.

 

4. States Parties may exchange information through the International Criminal Police Organization (Interpol).

 

 

 

 

 

 

 

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[1] inter alia:除了別的以外

 

5 instigate[5insti^eit]  教唆

 

[2] Adopting regulations …… if they report their suspicions in good faith:制定條例迫使金融機構承擔義務向主管當局迅速報告所有並無任何明顯的經濟目的或顯而易見的合法目的的、複雜、不尋常的巨額交易以及不尋常的交易方式,無須擔心因誠意告發而承擔違反限制披露信息的規定的刑事或民事責任。

 

[3] money transmission agencies:彙款機構

 

[4] physical cross-border transportation:實物跨境交送

 

[5] bearer negotiable instruments:不記名可轉讓票據,無需背書即可轉讓。

 

[6] Whereabouts[5(h)wZErE5bauts] 所在