Resolution No. 30, of May 4, 2018

Published on 09/16/2020 00:57 Modified on 12/07/2020 10:52

Provides for the procedures to be observed by natural or legal persons who act in the promotion, intermediation, commercialization, agency or negotiation of transfer rights of athletes or artists.

The President of the Council for the Control of Financial Activities – COAF, exercising the authority conferred by item IV of art. 9 of the Statute approved by Decree No. 2,799 of October 8, 1998, makes public that the Council Plenary, based on art. 7, items II, V and VI of the said Statute, in a session held on April 25, 2018, based on § 1 of art. 14 of Law No. 9,613 of March 3, 1998, resolved:

Section I

Scope

Art. 1 The present Resolution aims to establish procedures and general standards for the prevention of money laundering and terrorist financing, subject to compliance by natural or legal persons who act in the promotion, intermediation, commercialization, agency or negotiation of transfer rights of athletes or artists.

Art. 2 The persons referred to in art. 1 must monitor the operations carried out and assess the existence of suspicion in proposals and/or operations with their clients, giving special attention to those that are unusual or that, by their characteristics—regarding the parties involved, amounts, manner of execution, purpose, complexity, instruments used or lack of economic or legal basis—may constitute serious indications of the crimes provided for in Law No. 9,613 of 1998, or related to them.

Section II

Client and Other Parties Registration

Art. 3 The persons referred to in art. 1 must identify their clients and keep their registrations and those of other parties involved in the operations they carry out, including representatives and attorneys, which must contain, at minimum:

I – if natural person:

• a) full name;
• b) registration number in the Individual Taxpayer Registry – CPF;
• c) identification document number and name of the issuing authority or, if foreign, passport data or civil ID;
• d) full address;

II – if legal entity:

• a) corporate name and trade name;
• b) registration number in the National Registry of Legal Entities – CNPJ;
• c) full address;
• d) full name, CPF registration number and identification document number and name of the issuing authority or, if foreign, passport data or civil ID, of its representative(s);
• e) identification of ultimate beneficiaries, here considered, for the purposes of this norm, the natural persons who actually own or control the client legal entity or who have power to induce, influence, use or benefit from that legal entity.

Paragraph sole. When it is not possible to identify the ultimate beneficiary, the persons referred to in art. 1 must give special attention to the operation, evaluating the convenience of carrying it out or establishing or maintaining the business relationship.

Section III

Operation Recording

Art. 4 The persons referred to in art. 1 must keep a record of all operations they carry out, which must contain, at minimum:

I. identification of the client, the athlete or artist and other parties involved;
II. description of the operation performed, specifying, including, the services rendered;
III. value of the operation performed and of the services rendered;
IV. date of execution of the operation;
V. payment method; and
VI. means of payment.

Section IV

Communications to COAF

Art. 5 The operations and proposals of operations listed below must be reported to COAF, regardless of analysis or any other consideration:

I – any operation that involves payment or receipt in cash of an amount equal to or greater than R$ 30,000.00 (thirty thousand reais) or equivalent in another currency; and II – other situations designated by act of the President of COAF.

Art. 6 In addition to the provisions of art. 5, any operations that, considering the parties and other involved, the amounts, mode of execution and means and form of payment, or lack of economic or legal basis, may constitute serious indications of the crimes provided for in Law No. 9,613 of 1998, or related to them, must be reported to COAF.

Art. 7 The communications referred to in arts. 5 and 6 must be made electronically on the COAF website, at www.coaf.fazenda.gov.br, according to the instructions defined there.

Paragraph sole. The information provided to COAF is protected by confidentiality.

Section V

Storage and Preservation of Records and Documents

Art. 8 The persons referred to in art. 1 must keep the registrations and records referred to in arts. 3 and 4 for at least 5 (five) years, counted from the completion of the operation.

Section VI

Final Provisions

Art. 9 The persons referred to in art. 1 must register and keep their registration updated on the COAF website, in the manner provided in art. 10, IV, of Law No. 9,613 of 1998, and COAF Circular Letter No. 1, of 12/01/2014.

Art. 10 Good‑faith communications made as provided in art. 11 of Law No. 9,613 of 1998 shall not give rise to civil or administrative liability.

Art. 11 The persons referred to in art. 1, as well as their administrators, who fail to comply with the obligations of this Resolution, are subject to the sanctions provided in art. 12 of Law No. 9,613 of 1998.

Art. 12 The persons referred to in art. 1 must comply with requests formulated by COAF in the periodicity, form and conditions established by it, being obliged to preserve, under the law, the confidentiality of the information provided.

Art. 13 The President of COAF is authorized to issue complementary instructions for the compliance of this Resolution.

Art. 14 This Resolution enters into force within 90 days from the date of its publication.

ANTONIO CARLOS FERREIRA DE SOUSA

*This content does not replace that published in the certified version (pdf).