Resolution No. 3 of June 2, 1999

Published on 17/09/2020 14:43 Modified on 05/01/2021 10:15

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Provides for the procedures to be observed by entities that carry out, directly or indirectly, the distribution of money or any movable or immovable assets, by lottery or similar method.

The President of the Financial Activities Control Council - COAF, using the attribution conferred by item IV of art. 90 of the Council's Statute, approved by Decree No. 2,799, of October 8, 1998, makes public that the Plenary of the Council, in a session held on June 1, 1999, based on § 10 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, entities that carry out, directly or indirectly, the distribution of money or any movable or immovable assets by lottery or similar method shall observe the provisions contained in this Resolution.

Sole Paragraph. Entities that carry out the activities related in the caput of this article on a permanent or occasional basis, as a main or accessory activity, cumulatively or not, in their various modalities, fall under the provisions of this Resolution.

Section II

Identification of Winners and Maintenance of Records

Art. 2° The entities mentioned in art. 1° shall identify all prize winners and maintain a record of any delivery and/or payment of a prize with a value equal to or greater than R$ 10,000.00 (ten thousand reais).

Art. 3º The record must include the type of prize, the description of the asset, the value, the date of delivery and/or payment, and, at a minimum, the following information about the prize winner:
I - name;
II - identification document number and name of the issuing authority or passport or civil ID data, if foreign; and III - registration number in the Individual Taxpayer Registry - CPF.

Section III

Suspicious Operations

Art. 4º The entities mentioned in art. 1° shall pay special attention to prizes or distributions that, according to the Annex of this Resolution, may constitute indications of the crimes provided for in Law No. 9,613, of 1998, or related to them.

Section IV

Communications to COAF

Art. 5° The entities mentioned in art. 1° shall communicate to COAF within twenty-four hours, refraining from informing the winners of such act, any delivery and/or payment of prizes, assets, and values that may configure the hypotheses provided for in art. 4° of this Resolution.

Art. 6° Communications to COAF made in good faith, as provided in § 2° of art. 11 of Law No. 9,613, of 1998, shall not entail civil or administrative liability.

Art. 7º The information mentioned in art. 5° may be sent via electronic process.

Section V

General and Final Provisions

Art. 8° The records provided for in this Resolution shall be preserved by the entities mentioned in art. 1° for a minimum period of five years, from the delivery and/or payment of the prize.

Art. 9º The entities mentioned in art. 1° shall comply, at any time, with information requests made by COAF regarding winners, types of games, and prizes.

Art. 10. The entities mentioned in art. 1° shall indicate to COAF, prior to the start of the effects of this Resolution, the name and qualification of the person responsible for compliance with the obligations hereby established.

Art. 11. To the entities mentioned in art. 1°, as well as to their administrators, who fail to comply with the obligations provided for in this Resolution, the sanctions provided for in art. 12 of Law No. 9,613, of 1998, in the form of Decree No. 2,799, of 1998, and the Ordinance of the Minister of State for Finance No. 330, of December 18, 1998, shall be applied, cumulatively or not, by COAF.

Art. 12. COAF will make available, prior to the start of the effects of this Resolution, an Internet address for receiving information.

Art. 13. The Presidency of the Council is authorized to issue complementary instructions to this Resolution, especially with regard to the provisions contained in Section IV - Communications to COAF.

Art. 14. This Resolution enters into force on the date of its publication, producing effects from August 1, 1999.

ANNEX

List of Suspicious Operations

1. Sudden and continued increase in the revenue of a certain product, in the same locality or establishment (especially products with a higher probability of winning), followed by an increase in the incidence of prizes in that same locality or establishment.

2. Payment of three or more prizes of value equal to or greater than 800 (eight hundred) UFIR to the bearer of the same CPF within a period of twelve months.

3. Sudden incidence of high-value bets on a certain type of game, with the probability of closing the possible combinations.

4. Other prizes that, due to their characteristics, with regard to involved parties, values, method of realization, and instruments used, may configure the hypothesis of crimes provided for in Law No. 9,613, of March 3, 1998, or related to them.

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