中国反洗钱报告2010
2011-11
中国金融出版社
中国人民银行反洗钱局 编
112
134000
China made significant contribution to the global economic
recovery andfinancial stability in 201 0．when a moderately
accommodative monetary policywas in place．The effective financial
macro management measures gave astrong hand to the fast yet steady
economic growth．In the circumstances ofrelatively accommodative
liquidity．China further strengthened prevention andmonitoring
functions of anti-money laundering（AML）mechanism．which notonly
deterred money laundering crimes．but also helped to ensure healthy
cashflows.
Chapter Ⅰ Major Development of China's AML Efforts
Chapter Ⅱ AML Supervision
Chapter Ⅲ AML Monitoring，Analysis，Investigation and Penalty
Chapter Ⅳ ML Typologies and Case Studies
Appendix
Appendix Ⅰ Highlights of China's AML Effort in 2010
Appendix Ⅱ AML Legislations and Documents Issued in 2010
Appendix Ⅲ Notice of the Supreme People's Procuratorate and the
Ministry of Public Security on Issuing the Provisions（II）of the
Supreme People's Procuratorate and the Min&try of Public
Security on the Standards for Filing and Prosecuting Criminal Cases
under the Jur&diction of the Public Security
Organs（excerpts）
Appendix Ⅳ Circular of the People's Bank of China on Implementing
the Circular of Ministry of Foreign Affairs on Implementing
Relevant Resolutions of UN Security Council
AppendixⅤ China Money Laundering Risk Assessment Report
Statistics
Statistics Ⅳ ML/TF cases Prosecuted by the People's
Procuratorates（2003-2010）
Statistics Ⅴ ML-Related Case Convicted by the People's
Courts（2010）
Boxes
BoxⅠ．1 Summary of the FATF activities in 2010
BoxⅠ．2 Summary of the EAG activities in 2010
BoxⅠ．3 Summary of the APG activities in2010
BoxⅡ．1 Campaign of Combating On-Line Gambling Crimes
Tables
TableⅢ．1 STRs received from financial institutions in2010
Table Ⅲ．2 ML Related Convictions by the people's courts assisted
by the PBC in 2010
Figures
FigureⅡ．1 Breakdown of On．Site Inspected Banking Financial
Institutions
FigureⅡ．2 Penalty against Banking Financial Institutions（2005-20 1
0）
FigureⅡ．3 Breakdown of On-Site Inspected Securities and Futures
Institutions
FigureⅡ．4 Penalty against the Securities and Futures
Institutions
FigureⅡ．5 Penalty against Insurance Institutions
FigureⅢ．1 Regional Distribution of Suspicious Clues
Figure Ⅲ．2 Cases Opened and Investigated by Investigation Agencies
Based
On the PBC's Referrals
Figure Ⅲ．3 Regional Distribution of ML Related Cases Investigated
and
Uncovered with the Assistance of the PBC
Figure Ⅲ．4 Types of the Predicated Offences of ML Cases
Investigated
with the Assistance of the PBC
Figure Ⅲ．5 Types of the Predicated Offences of ML Cases
Uncovered
with the Assistance of the PBC
IV．Financial institutions，which suspect that a client is on the sanction list but not be sureabout it，shall immediately adopt appropriate transaction restriction measures，and the headoffice of the financial institution or an institution designated by it shall apply to the Head Officeofthe People’S Bank ofChina for verification and confirmation within the same day． If a financial institution applies for verification and confirmation，the Head Office ofthe People’S Bank of China shall notify the results of the verification and confirmation tothe financial institution within 1 5 workdays upon receiving the application．If there is a needto extend the deadline of the verification and confirmation，the Head Office of the People’SBank of China shall notify the financial institution before the deadline expires．If it is verifiedthat the client is not on the sanction list，the financial institution shall immediately terminatethe transaction restriction measures from the day of receiving the verification notice．If thefinancial institution does not receive any notice from the Head Office of the People’S Bank ofChina within the said 1 5 workdays or when the extended deadline expires，it shall terminate thetransaction restriction measures from the day after the expiry date． V If financial institutions adopt transaction restriction measures，they shall notify theclients in an appropriate way，except that Ministry of Foreign Affairs，the People’S Bank ofChina，the financial regulators or judicial organs have confidentiality requirements． VI．If financial institutions adopt transaction restriction measures and do not apply to theHead Office ofthe People’S Bank ofChina for verification and confirmation，but the client ofthefinancial institution has dissidence，the client may apply via the financial institution to the HeadOffice of the People’S Bank of China for verification and confirmation；if financial institutionsadopt transaction restriction measures and the People’S Bank of China has verified andconfirmed，but the client of the financial institution still has dissidence，the client may directlyapply to the Head Office of the People’S Bank of China for verification and confirmation．If it isverified and confirmed that the client is not on the sanction list，the Head Office of the People’SBank of China shall notify the financial institution to terminate the transaction restrictionmeasures immediately．The orocedure of verification and confirmation shall be carried outpursuant to relevant provisions ofArticle IV of the Circular． VII．If the client of financial institutions needs to conduct fund receipt and payment orother financial transactions due to basic living expenses or special reasons，the client or thefinancial institutions may apply to the People’S Bank of China．If the claim is proved true，thePeople’S Bank of China shall notify the financial institutions that they can conduct financialtransactions limited to specified use，amount and account． VIII．If there are changes to the sanction list of individuals and entities subject toenforcement notified by Ministry of Foreign Affairs according to UNSCR 1 267 andUNSCRl373 and relayed by financial regulators（including annulling the sanction list，addingnames to the sanction list or deleting names from the sanction list），financial institutions shallupdate the information elements of individuals and entities in relevant business systems in time．If a financial institution believes that some clients are no longer on the sanction list，it mayterminate the transaction restriction measures，and the head office of the financial institutionor an institution designated by it shall report relevant information to the Head Office of thePeople’S Bank of China within the same day．If the financial institution is not sure whether theclient is still on the sanction list，it can apply to the Head Office of the People’S Bank of Chinafor verification and confirmation，and the procedure of verification and confirmation shall becarried out according to relevant provisions ofArticle IV of the Circular． IX．If financial institutions，after adopting transaction restriction measures，believe that thecase belongs to the circumstances provided in Article 84 of the Criminal Procedure Law of thePeople's Republic of China，they shall report to the local public security organs，cooperate withpublic security organs in putting the case on file for investigation according to law，and assistpublic security organs in taking such measures as inquiry，detention，distrainment，and assetfreezing，etc． X．Upon receiving relevant overseas government authorities’request for freezing assetsor providing client information which is related to UNSCRl267 and UNSCRl373，financialinstitutions shall ask them to contact diplomatic service and must not adopt any measureswithout prior authorization． ……
