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China 2008-2012 Anti-Money Laundering Strategy [Effective]
中國2008-2012年反洗錢戰略 [現行有效]
【法寶引證碼】
 
  
  
China 2008-2012 Anti-Money Laundering Strategy
(Inter-Ministerial Anti-Money Laundering Joint Conference*; Issued on December 30, 2009)
Abstract
China has established a fairly sound system of anti-money laundering legislation, regulation and organization. At present, as the various anti-money laundering tasks are developing in both depth and breadth, the People's Bank of China, jointly with the members of the Inter-Ministerial Anti-Money Laundering Conference, has formulated and issued the China 2008-2012 Anti-Money Laundering Strategy (hereinafter referred to as the “Strategy") to centrally plan, direct and promote the anti-money laundering work nationwide and jointly prevent and combat the crime of money laundering.
The Strategy has a planning period commencing in 2008 and ending in 2012, and does not cover the Hong Kong Special Administrative Region, the Macao Special Administrative Region and Taiwan Province.
 

中國2008-2012年反洗錢戰略
(反洗錢工作部際聯席會議* 2009年12月30日發布)


摘要
中國已經建立了一套較為完整的反洗錢法律、監管和組織機構體系。目前,反洗錢領域的各項工作正在向縱深發展,中國人民銀行會同反洗錢工作部際聯席會議成員單位共同制定並發布《中國2008-2012年反洗錢戰略》(以下簡稱《戰略》),以統籌、指導和推動全國反洗錢工作的開展,共同預防和打擊洗錢犯罪行為。
《戰略》以2008年為基期,2012年為規劃期末年。《戰略》覆蓋範圍未包括香港特別行政區、澳門特別行政區和台灣省。
Table of Contents
 目錄
I. Overview of Anti-Money Laundering Development
 一、反洗錢發展概述
(I) Current situation of anti-money laundering development
 (一)反洗錢發展現狀
(II) Opportunities and challenges
 (二)機遇與挑戰
II. Guiding Ideology and Overall Objective
 二、指導思想和總體目標
(I) Guiding ideology
 (一)指導思想
(II) Overall objective
 (二)總體目標
(III) Implementing principle
 (三)實施原則
(IV) Implementing steps
 (四)實施步驟
III. Specific Goals and Key Actions
 三、具體目標和行動要點
(I) Improving criminal legislation against money laundering
 (一)完善反洗錢刑事法律
(II) Building a national anti-terrorist financing network
 (二)構建國家反恐怖融資網絡
(III) Enhancing the effectiveness of anti-money laundering regulation
 (三)提升反洗錢監管有效性
(IV) Establishing anti-money laundering regimes for certain industries other than the financial industry
 (四)建立特定非金融行業反洗錢制度
(V) Strengthening inter-departmental exchange and collaboration at home
 (五)加強國內部門間交流合作
(VI) Building a team of highly qualified anti-money laundering experts
 (六)培養高素質反洗錢專家隊伍
(VII) Participating actively in international cooperation and standard setting
 (七)積極參與國際合作與標准制定
(VIII) Strenuously recovering overseas criminal gains
 (八)全力追償境外犯罪收益
I. Overview of Anti-Money Laundering Development
 

一、反洗錢發展概述


(I) Current situation of anti-money laundering development
From 2003 to 2008, China's anti-money laundering efforts had witnessed rapid development and significant progress in terms of criminal legislation, preventive measures, institutional arrangements and international cooperation, based on this country's national situation and reference to the relevant international standards. As a result, a basic framework of anti-money laundering legislation, regulation and organization of China has been established, as well as fairly complete anti-money laundering regimes.
In terms of criminal legislation, the Standing Committee of the National People's Congress amended the Criminal Law twice in 2001 and 2006, and the current core clauses, including Article 191 “Crime of Money Laundering", Article 312 “Crime of Disguising or Concealing Income from Crime or Proceeds from Income of Crime” and Article 349 “Crime of Sheltering, Transferring or Concealing Drugs or Booty Drugs", cover all main acts of money laundering.
In terms of preventive measures, the Standing Committee of the National People's Congress adopted after deliberation the Anti-Money Laundering Law of the People's Republic of China in October 2006, which signaled the establishment in law of China's anti-money laundering administration system and clarified the anti-money laundering obligation of financial institutions. By revising three sets of anti-money laundering rules which were enacted in 2003 and enacting, independently or jointly with concerned departments, four sets of anti-money laundering rules, including the Anti-Money Laundering Rules for Financial Institutions, the People's Bank of China has extended the coverage of anti-money laundering regulation from financial institutions in the banking industry to those in the securities, futures and insurance industries; unified the anti-money laundering management of RMB and foreign currencies; and adjusted the criteria, path, time, etc. for reporting large-sum and questionable transactions. The People's Bank of China has continuously conducted on-site inspection against money laundering among financial institutions since 2004, and began to shape the off-site regulation system against money laundering in 2007. After years of efforts, Chinese financial institutions have universally established the anti-money laundering internal control system, conducted due diligence investigation of clients, and implemented the large-sum and questionable transaction reporting system and the system of keeping client identity information and transaction records.
In terms of institutional arrangements, in 2003, the People's Bank of China set up the Anti-Money Laundering Bureau to assume the duty of anti-money laundering coordination in China which was formerly assumed by the Ministry of Public Security, established and improved the 23-member inter-ministerial anti-money laundering joint conference mechanism and the anti-money laundering coordination mechanism for financial regulatory authorities, and played an important role in drafting the Anti-Money Laundering Law of the People's Republic of China and applying for accession to the Financial Action Task Force on Money Laundering (FATF). In 2004, the People's Bank of China specially set up the China Anti-Money Laundering Monitoring and Analysis Center, which has realized network transmission of data with most financial institutions and formed an anti-money laundering monitoring and analysis network which covers all over the financial industry of China. The People's Bank of China has enacted a range of regulatory documents, conducted anti-money laundering inspection and investigation, and established a collaboration mechanism with the Ministry of Public Security and other concerned departments for assistance in case investigation. In 2006, the anti-money laundering function, institution, personnel and information systems of the State Administration of Foreign Exchange were transferred to the People's Bank of China, which led to the unified administration of anti-money laundering in RMB and foreign currencies. Today, the People's Bank of China has anti-money laundering divisions in all of its 36 branches at and above the sub-provincial level, which provides an organizational safeguard for anti-money laundering development.
In terms of international cooperation, China has shown its determination to crack down on criminal activities of money laundering and terrorist financing by signing and ratifying the international conventions of the United Nations against money laundering and terrorist financing. As a permanent member state of the UN Security Council, China earnestly executes UN anti-terrorism resolutions and performs its international obligations. China actively takes part in activities of international anti-money laundering organizations: China founded the regional international anti-money laundering organization — Eurasian Group on Combating Money Laundering and Financing of Terrorism (EAG) — together with concerned countries in 2004, and became a formal member of the international organization for global anti-money laundering — Financial Action Task Force (FATF) in 2007. On the principle of equality and mutual benefit, China is unremittingly engaged in international cooperation in intelligence exchange, cooperative training, assisted investigation, property recovery, extradition or repatriation of criminal suspects, etc. By February 2008, China has entered into financial intelligence exchange and cooperation MOUs or agreements against money laundering and terrorist financing with financial intelligence institutions of 14 countries and regions.
   (一) 反洗錢發展現狀
2003年至2008年,中國反洗錢工作參照國際標准,立足中國國情,在刑事立法、預防措施、制度安排和國際合作等方面取得了世人矚目的快速發展和顯著進步,確立了中國反洗錢法律、監管和組織機構的基本框架,建立起了較為完整的反洗錢制度。
在刑事立法方面,全國人大常委會2001年和2006年兩次修訂《刑法》,目前已經形成了以第一百九十一條“洗錢罪”、第三百一十二條“掩飾、隱瞞犯罪所得、犯罪所得收益罪”和第三百四十九條“窩藏、轉移、隱瞞毒品、毒贓罪”在內的核心條款,覆蓋了主要的洗錢行為。
在預防措施方面,全國人大常委會于2006年10月審議通過《中華人民共和國反洗錢法》,從法律上確立了中國反洗錢行政管理體制,明確了金融機構的反洗錢義務。中國人民銀行對2003年頒布的三個反洗錢規章進行了修訂,相繼頒布或會同有關部門頒布了《金融機構反洗錢規定》等四個反洗錢規章,將反洗錢監管範圍由銀行業金融機構擴大到證券業、期貨業、保險業等金融機構;統一了本外幣反洗錢管理;調整了大額和可疑交易報告的標准、路徑、時間等內容。中國人民銀行自2004年起持續開展金融機構反洗錢現場檢查,並于2007年開始建立反洗錢非現場監管制度。經過近幾年的努力,中國金融機構普遍建立起反洗錢內控制度,開展客戶盡職調查,貫徹落實大額和可疑交易報告制度、客戶身份資料和交易記錄保存制度。
在制度安排方面,中國人民銀行于2003年成立了反洗錢局,開始承擔原由公安部負責的中國反洗錢工作的協調職責,建立健全由23個成員單位組成的反洗錢工作部際聯席會議機制以及金融監管部門反洗錢協調機制,在《中華人民共和國反洗錢法》起草、金融行動特別工作組(FATF)申請加入過程中發揮了重要作用。中國人民銀行于2004年專門成立了中國反洗錢監測分析中心,目前已與大多數金融機構實現了數據的聯網報送,形成了覆蓋全國金融業的反洗錢監測分析網絡。中國人民銀行頒布了一系列規範性文件,開展反洗錢檢查和調查,並與公安部門等在案件協查方面建立了合作機制。2006年,國家外彙管理局反洗錢職能、機構、人員和信息系統向中國人民銀行劃轉,實現了反洗錢本外幣的統一管理。現在,中國人民銀行36個副省級以上分支機構都設立了反洗錢處,為反洗錢工作的發展提供了組織保障。
在國際合作方面,中國已經簽署並批准了聯合國與反洗錢和反恐怖融資相關的國際公約,顯示了中國政府打擊洗錢和恐怖融資犯罪活動的決心。作為聯合國安理會常任理事國,認真執行聯合國有關反恐決議,履行國際義務。積極參加反洗錢國際組織的活動,于2004年與有關國家一起創立了區域反洗錢國際組織--歐亞反洗錢與反恐怖融資組織(EAG),2007年成為全球反洗錢國際組織--金融行動特別工作組(FATF)的正式成員。堅持平等互利原則,開展情報交流、合作培訓、協助調查、追回財產、引渡或遣返犯罪嫌疑人等多方面國際合作。截至2008年2月,已與14個國家和地區的金融情報機構簽署了反洗錢與反恐怖融資金融情報交流合作諒解備忘錄或協議。
(II) Opportunities and challenges
During years of development, China's anti-money laundering has gone through the stages of initial research, exploration, innovation and adjustment, and is now striding toward the stage of full development in both depth and breadth. The five years from 2008 to 2012 will be a critical period of strategic opportunities for China's anti-money laundering development and for testing and improving the anti-money laundering system. On the one hand, as various anti-money laundering tasks advance, the level of anti-money laundering compliance of financial institutions will be raised step by step, the general public and all concerned departments will have an increasingly profound awareness of money laundering activities, and the unique role and effectiveness of the anti-money laundering system and mechanisms will be increasingly evident. On the other hand, China has actively participated in setting and executing the international anti-money laundering standards after its entry into the FATF, and the FATF is now reviewing and revising the existing international anti-money laundering standards for the fourth round of mutual evaluation in 2011.
......
   (二) 機遇與挑戰
曆經數年的發展,中國反洗錢度過了初期學習、探索、創新和調整的階段,正向全面和縱深發展階段邁進。從2008年至2012年的五年是中國反洗錢工作發展的重要戰略機遇期,也是檢驗和完善反洗錢制度的重要戰略機遇期。一方面,隨著各項反洗錢工作的推進,金融機構反洗錢合規水平逐步提高,全社會和各部門對洗錢活動的認知程度不斷深化,反洗錢制度和機制的獨特作用和有效性日益顯現。另一方面,中國成為FATF成員後積極參與反洗錢國際標准的制訂與執行,FATF將于2011年開展第四輪互評估,目前正在對現有反洗錢國際標准進行回顧審查和修訂。
......



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