Resolution No. 18 of August 26, 2009 - Revoked

Published on 17/09/2020 14:39 Modified on 16/12/2020 15:35

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Provides for the procedures to be observed by legal entities that effect, directly or indirectly, the distribution of money or any movable or immovable property through the exploitation of lotteries as provided for in Decree-Law No. 204, of February 27, 1967.

The President of the Financial Activities Control Council – COAF, using the attribution conferred upon him by item IV of art. 9 of the Statute approved by Decree No. 2,799, of October 8, 1998, makes public that the Plenary of the Council, in a session held on April 29, 2009, based on § 1° of art. 14 of Law No. 9,613, of March 3, 1998, resolved:

Section I

Preliminary Provisions

Art. 1° With the objective of preventing and combating the crimes of "money laundering" or concealment of assets, rights, and values, as established in Law No. 9,613, of March 3, 1998, regulated by Decree No. 2,799, of October 8, 1998, legal entities that effect, directly or indirectly, the distribution of money or any movable or immovable property, through the exploitation of lottery, supported by Decree-Law No. 204/67, shall observe the provisions contained in this Resolution.

Section II

Registration with COAF

Art. 2° The legal entities mentioned in art. 1° shall register and keep their registration updated with COAF, through an electronic form available at the address http://www.coaf.gov.br, providing the following information:

I - corporate name (trade name) and fantasy name;

II - number of registration in the National Registry of Legal Entities – CNPJ;

III - complete address (street, complement, neighborhood, city, Federation Unit and Postal Addressing Code - CEP), including electronic and phones; and

IV - identification of the administrator (partner or director) responsible for compliance with the norms provided for in this Resolution.

Sole Paragraph. In cases where the acceptance of bets and/or payment of prizes is made through decentralized units, including lottery houses and similar ones, the central unit is responsible for keeping records of information related to the decentralized units.

Section III

Maintenance of Records

Art. 3° The legal entities mentioned in art. 1° shall keep a record of any delivery or payment of a prize in which the winner is identified.

Art. 4° The identification shall contain the following information:

I – for the prize winner(s):

a) full name;

b) identification document number, issuing body name, and issuance date or passport or civil card data, if foreigner;

c) number of registration in the Individual Taxpayer Registry – CPF; and

d) complete residential address (street, complement, neighborhood, city, Federation Unit and Postal Addressing Code - CEP), including electronic, and phones.

II – for the payment of the winning ticket or bet:

a) type or lottery modality;

b) number and date of the contest;

c) date of prize payment;

d) prize value; and

e) description of the prize, if in money or goods and the form of payment.

III – for the unit responsible for accepting the bet:

a) corporate name (trade name) and fantasy name;

b) number of registration in the National Registry of Legal Entities – CNPJ;

c) name and number of registration in the Individual Taxpayer Registry – CPF – of its responsible person(s), permittee(s), partner(s) and/or legal representative(s); and

d) complete address (street, complement, neighborhood, city, Federation Unit and Postal Addressing Code - CEP), including electronic and phones.

IV – for the unit responsible for paying the prize:

a) corporate name (trade name) and fantasy name;

b) number of registration in the National Registry of Legal Entities – CNPJ; and

c) complete address (street, complement, neighborhood, city, Federation Unit and Postal Addressing Code - CEP), including electronic, and phones.

Section IV

Operations

Art. 5° The legal entities mentioned in art. 1° will pay special attention to prizes or proposals for operations that may constitute indications of the crimes provided for in Law No. 9,613, of 1998, or relate to them.

Section V

Communications to COAF

Art. 6° The legal entities mentioned in art. 1° shall communicate to COAF, within a period of twenty-four hours, abstaining from informing those involved of such fact, any prize or proposal for operation:

I – referred to in art. 5°; or

II – provided for in the Annex to this Resolution.

Sole Paragraph. The legal entities obliged under the terms of this Resolution that, during the calendar semester, have not made communications in the manner of the caput, shall declare to COAF the non-occurrence of operations or situations mentioned in this article, within 30 days after the end of the respective semester.

Art. 7° Communications to COAF made in good faith, as provided for in § 2° of art. 11 of Law No. 9,613, of 1998, will not entail civil or administrative liability.

Art. 8° Communications shall be forwarded through an electronic form available at the address http://www.coaf.gov.br, or, in the event of impossibility, by any other means that preserves the confidentiality of the information.

Section VI

General and Final Provisions

Art. 9° The legal entities mentioned in art. 1° shall develop and implement internal control procedures to detect operations that may present indications of the crimes dealt with in Law No. 9,613, of 1998.

Art. 10. The records provided for in this Resolution shall be kept by the legal entities mentioned in art. 1° for a minimum period of five years, from the delivery and/or payment of the prize.

Art. 11. The legal entities mentioned in art. 1° shall, under the terms of item V of art. 8 of Decree No. 2,799, of October 8, 1998, comply, at any time, with information requests formulated by COAF.

Sole Paragraph: The information provided to COAF shall be classified as confidential under the terms of § 1° of art. 23 of Law No. 8,159, of January 8, 1991.

Art.12. To the legal entities mentioned in art. 1°, as well as to their administrators, who fail to comply with the obligations of this Resolution, the sanctions provided for in art. 12 of Law No. 9,613, of 1998, in the manner provided for in Decree No. 2,799, of 1998, and in the Ordinance of the Minister of State of Finance No. 330, of December 18, 1998, shall be applied, cumulatively or not, by COAF.

Art.13. The President of COAF is authorized to issue complementary instructions to this Resolution, especially regarding the provisions contained in Section V – Communications to COAF.

Art.14. The provisions of COAF Resolution No. 3, of June 2, 1999, do not apply to the legal entities mentioned in art. 1° of this Resolution.

Art.15 Resolution COAF No. 17, of May 13, 2009, is revoked.

Art.16. This Resolution enters into force on March 1, 2010.

Brasília, August 26, 2009.

Antonio Gustavo Rodrigues
PRESIDENT

Annex

List of Operations

1. Payment of any prize in which the winner is identified.

2. Payment of a prize that falls under items I to V of art. 1° of COAF Resolution No. 15, of March 28, 2007.

3. Payment of a prize to a politically exposed person, defined in art. 1° of COAF Resolution No. 16, of March 28, 2007.

4. Sales of tickets or acceptance of bets by decentralized unit, by product and in consolidated form, in accumulated amount and/or frequency considered unjustified by the internal control system referred to in art. 9° of this Resolution.

5. Payments of prizes by decentralized unit, by product and in consolidated form, in accumulated amount and/or frequency considered unjustified by the internal control system referred to in art. 9° of this Resolution, regarding:

1. locality;
2. frequency;
3. quantity of prizes;
4. value; and/or
5. other relevant parameters considered.

6. Other situations, including proposals, that by their characteristics, regarding the parties involved, values, form of realization and instruments used, may configure hypothesis of crimes provided for in Law No. 9,613, of March 3, 1998, or relate to them.