COMMISSION BANCAIRE DE L'AFRIQUE CENTRALE (COBAC)

INSTRUCTION COBAC I-2006/01 ON THE INFORMATION FRAMEWORK FOR ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING

Preamble

• Vu the CEMAC Regulation 01/03/CEMAC-UMAC on the prevention and repression of money laundering and terrorist financing in Central Africa;
• Vu the COBAC Regulation R-2005/01 on the due diligence of obligated establishments regarding anti-money laundering and terrorist financing in Central Africa;
• Vu the COBAC Instruction I-99/03 implementing the Collection, Processing and Restitution system for banks and financial institutions of the Regulated States (CERBER);

Article 1 – Article 1 of COBAC Instruction I-99/03 is amended as follows: after the words « to the preparation of regulatory statements », read « on a monthly, quarterly or semi-annual basis » instead of « on a monthly or quarterly basis ».

Article 2 – The elements attached to this instruction are inserted into the CERBER collection, processing and restitution system for banks and financial institutions of the Regulated States, attached to COBAC Instruction I-99/03. These include:

• files F1621, F1622, F1623 and F1625 (Annex 1), for the specifications of files transmitted to the COBAC General Secretariat;
• statements DEC 1621 and DEC 1625 (Annex 2), for the models of regulatory statements.

Article 3 – The information communicated on files F1621, F1622, F1623 and F1625 is finalized on June 30 and December 31 of each civil year. They may be generated from the questionnaire provided to obligated establishments by the COBAC General Secretariat within the framework of the "ASTROLAB" program for Supervision, Regulation and Anti-Money Laundering Treatment.

Article 4 – The files are prepared under the responsibility of the persons mentioned in Article 19 of the annex to the Convention of January 17, 1992 on the harmonization of banking regulation in Central Africa. They are attached to CERBER submissions made on August 31 (for files finalized June 30) and February 28/29 (for files finalized December 31). They are addressed to the COBAC General Secretariat no later than September 15 and March 15 of each year, respectively. The first submission will cover information as of June 30, 2006. Exceptionally, the file must be attached to the July 31, 2006 CERBER submission and executed no later than August 15.

Signed in Yaoundé, on [Date].

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F1621: LIST OF ANIF AND COBAC CORRESPONDENTS

Frequency: Banks (semi-annual), Financial institutions (semi-annual) | Corresponding Statement: DEC 1621 Structure of Data Records:

Field	Size	Mandatory?	Description
1. Title (Monsieur/Madame/Mademoiselle)	N 1	Yes	« 1 » for Monsieur, « 2 » for Madame, « 3 » for Mademoiselle
2. Surname	C Var	Yes
3. First name(s)	C Var	Yes
4. Position/Function	C Var	Yes
5. Date of appointment	D 10	Yes
6. Telephone number	N Var	Yes
7. Fax number	N Var	Yes

Content of each data record: This file contains the identities of the ANIF (National Financial Investigation Agency) and COBAC correspondents active as of the finalization date. Each record corresponds to one correspondent's identity. The file must contain as many records as there are designated ANIF and COBAC correspondents within the reporting establishment. Fields 2 and 3 contain the surname and first name(s) of persons designated in accordance with Article 42 of COBAC Regulation R-2005/01 as of the finalization date. Field 4 contains the position held within the reporting establishment by the ANIF/COBAC correspondent. Field 5 contains the appointment date to the corresponding function. Fields 6 and 7 contain the telephone and fax numbers allowing direct contact with the correspondents within the establishment.

F1622: LIST OF SUBSIDIARIES AND BRANCHES OUTSIDE CEMAC

Frequency: Semi-annual | Corresponding Statement: DEC 1621 Structure of Data Records:

Field	Size	Mandatory?	Description
1. Establishment ID	C 5	Yes
2. Country code	C 3	Yes
3. Status	C 1	Yes
4. Date	D 10	Yes
5. File type (*)	C 5	Yes	« F » for subsidiary, « S » for branch

Content: Covers subsidiaries and branches of the reporting establishment located outside CEMAC. Field 1 contains the subsidiary/branch name. Field 2 indicates the implantation type code. Field 3 contains the country of implantation.

F1623: STATISTICS

Frequency: Semi-annual | Corresponding Statement: DEC 1621 Structure of Data Records:

Field	Size	Mandatory?	Description
1. Establishment ID	C 5	Yes
2. Country code	C 3	Yes
3. Status	C 1	No
4. Date	D 10	Yes
5. File type (*)	C 5	Yes	Type equals F1622
6. Postal code	Var	Yes
7. Number (Count)	Nombre	Yes
8. Amount (Montant)	Montant	Yes

Content: Provides statistics on declarations recorded and staff training provided during the last completed semester. Field 1 receives the code for the information type. Field 2 indicates the number of declarations or training actions carried out during the last semester.

F1625: INFORMATION ON THE IN-FORCE FRAMEWORK

Frequency: Semi-annual | Corresponding Statement: DEC 1625 Structure of Data Records:

Field	Size	Mandatory?	Description
1. Establishment ID	C 5	Yes
2. Country code	C 3	Yes
3. Status	C 1	Yes
4. Date	D 10	Yes
5. File type (*)	C 5	Yes

Content of accounting data records: Provides information on internal procedures and the functioning of the preventive framework adopted by the reporting establishment for AML/CFT. Field 1 contains the reference of each question from the "ASTROLAB" questionnaire. Field 2 translates the response formulated in the questionnaire for the question associated with the postal code in Field 1. Field 3 contains, where applicable, the comment formulated for the question associated with the postal code in Field 1. (Note: Value « 0 » = Non, « 1 » = Oui, « 2 » = Sans objet/SO)

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DEC 1621 - GENERAL INFORMATION ON AML/CFT FRAMEWORK

Provides general information on the preventive framework. Contains 3 panels: Panel 1 - ANIF and COBAC Correspondents: Contains identities of active correspondents. Seven columns: Title (Monsieur/Madame/Mademoiselle), Surname, First name(s), Position/Function, Appointment date, Telephone number, Fax number. Panel 2 - Subsidiaries and Branches outside CEMAC: Lists subsidiaries/branches located outside CEMAC under the reporting establishment's control. Three columns: Name, Implantation type code (F/S), Country of implantation. Panel 3 - ANIF Declarations and Staff Training: Provides statistics on recorded declarations and staff training during the last semester. Four columns: Postal code, Nature of information, Number of declarations/training actions, Total amount/execution delay.

(Table data codes 001-543 listed as in original)

DEC 1625 - INFORMATION ON THE IN-FORCE FRAMEWORK

Presentation: Describes internal procedures and functioning of the preventive framework adopted for AML/CFT. Structure: Each line covers information on internal procedures and framework functioning. Columns: Postal code, Question (Yes/No/SO), Comment. A single « 1 » appears per line indicating the response.

(Detailed questionnaire table translated, covering codes 110 to II.5, including client identification, occasional clients, information retention/updates, business relationship entry (acceptance, PPE management, non-resident clients, recommended clients, established establishments), with references to COBAC R-2005/01 and CEMAC 01/03 regulations.)