Resolution No. 31, June 7, 2019 — Procedures for natural and legal persons regulated by COAF, pursuant to §1 art. 14 of Law No. 9,613 (1998), to comply with sanctions under Law No. 13,810 (2019)

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Provides for the procedures to be observed by natural and legal persons regulated by COAF, pursuant to §1 of art. 14 of Law No. 9,613 of March 3, 1998, for compliance with sanctions imposed under Law No. 13,810 of March 8, 2019; and for the communications referred to in art. 11 of Law No. 9,613 of March 3, 1998, related to terrorism and its financing.

Published on 09/16/2020 00:57 Modified on 03/12/2021 20:26

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Provides for the procedures to be observed by natural and legal persons regulated by COAF, pursuant to §1 of art. 14 of Law No. 9,613 of March 3, 1998, for compliance with sanctions imposed under Law No. 13,810 of March 8, 2019; and for the communications referred to in art. 11 of Law No. 9,613 of March 3, 1998, related to terrorism and its financing.

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. 9,663 of January 1, 2019, and considering the provisions of Decree No. 5,640 of December 26, 2005, which promulgated the International Convention for the Suppression of the Financing of Terrorism, adopted by the United Nations General Assembly on December 9, 1999, and Law No. 13,810 of March 8, 2019, which provides for the compliance with sanctions imposed by United Nations Security Council (UNSC) resolutions, makes public that the Council Plenary, in a session held on May 8 and 9, 2019, based on §1 of art. 14 of Law No. 9,613 of March 3, 1998, resolved:

Art. 1º This Resolution establishes guidelines to be observed by natural and legal persons that carry out the activities listed in article 9 of Law No. 9,613 of March 3, 1998, and that are subject to COAF regulation, in compliance with Law No. 13,810 of March 8, 2019, which provides for the immediate application of sanctions, including the unavailability of assets, imposed by United Nations Security Council (UNSC) resolutions, or by designations of its sanctions committees, by request of a foreign central authority, and by possible national designations of persons investigated or accused of terrorism, its financing, or related acts.

§1º The guidelines established in this Resolution are complementary to the other COAF norms.

§2º It is prohibited for the persons referred to in the caput to violate, by action or omission, sanctions imposed by UNSC resolutions or by designations of its sanctions committees, for the benefit of natural persons, legal persons, or sanctioned entities, including to make assets available, directly or indirectly, in favor of those persons or entities.

Art. 2º The persons referred to in Art. 1º must:

I – implement procedures and internal controls for the identification, among their clients, of natural persons, legal persons or entities subject to the sanctions addressed by Law No. 13,810 of 2019; and

II – adopt employee training actions for the execution of the measures instituted by this norm.

Art. 3º In compliance with the sanctions addressed in Art. 1º, the persons mentioned therein shall, without delay and without prior notice to the sanctioned parties, in the manner provided by Law No. 13,810 of 2019, effect the unavailability of assets of direct or indirect ownership of natural persons, legal persons or entities subject to those sanctions.

§1º The following must be immediately communicated to COAF and to the Ministry of Justice and Public Security:

I – the unavailability of assets referred to in the caput and any attempts to transfer the assets; and

II – the existence of assets subject to the sanctions and any reasons that constitute an impediment to the non‑adoption of the unavailability of assets, if applicable.

§2º The judicial decision that orders the total or partial release of assets (that were) unavailable shall also be communicated immediately to COAF.

Art. 4º The persons referred to in Art. 1º, in observance of the provisions of art. 11, item I, of Law No. 9,613, 1998, must notify COAF, without delay and without prior notice to the sanctioned parties, regardless of the amount, the operations carried out, the services provided, or proposals for their execution, that:

I – involve persons who perpetuate or intend to perpetrate terrorist acts or who participate in or facilitate their commission, as well as entities owned or controlled, directly or indirectly, by those persons, as well as persons and entities acting on their behalf or under their command;

II – may constitute serious indications of acts of financing terrorism, as provided for in the International Convention for the Suppression of the Financing of Terrorism, incorporated into the national legal order by Decree No. 5,640 of December 26, 2005;

III – may constitute serious indications of the crimes provided for in Law No. 13,260 of March 16, 2016.

Art. 5º The communications referred to in Arts. 3º and 4º must be made electronically through COAF’s website.

Sole paragraph. The information provided to COAF shall be protected by confidentiality.

Art. 6º The persons referred to in Art. 1º, as well as their administrators, who fail to comply with the obligations of this Resolution shall be subject to the sanctions provided in art. 12 of Law No. 9,613, 1998, as stipulated in Decree No. 9,663 of January 1, 2019.

Art. 7º COAF shall indicate on its internet site access to the list of persons subject to the sanctions addressed by Law No. 13,810 of 2019.

Art. 8º This Resolution enters into force on the date of its publication.

ROBERTO LEONEL DE OLIVEIRA LIMA

Publicado do DOU nº 111, de 11 de junho de 2019, Seção 1 *