Resolution SBS No. 9809-2011: Approval of the Transaction Register (ROP) and Suspicious Transaction Report (STR) Format Models for Obligated Subjects Without Specific AML/CFT Regulations

Los Laureles Nº 214 - Lima 27 - Peru Tel.: (511) 6309000 Fax: (511) 6309239 Lima, September 13, 2011 Superintendent Resolution No. 9809-2011 The Superintendent of Banks, Insurance and Private Pension Fund Administrators

CONSIDERING:

That, by Law No. 27693 and its modifying norms, the Financial Intelligence Unit of Peru (UIF-Peru) was created, responsible for receiving, analyzing, processing, evaluating, and transmitting information for the detection of money laundering and terrorist financing, for which purpose the list of obligated subjects to inform it about operations that appear suspicious was established;

That, by Law No. 29038, the incorporation of UIF-Peru into the Superintendent of Banks, Insurance and Private Pension Fund Administrators (SBS) as a specialized unit was ordered, so that the SBS, in addition to its own functions, has assumed the competencies, attributions, and functions that corresponded to said institution, also specifying the list of obligated subjects to inform, to whom it corresponds to implement a System for the Prevention of Money Laundering and Terrorist Financing, which involves, among other aspects, designating a Compliance Officer duly accredited before UIF-Peru;

That, according to what is established in article 9 of Law No. 27693 and its modifying norms, in accordance with numeral 6.1 of article 6 of the Regulations of the Law creating UIF-Peru, approved by Supreme Decree No. 018-2006-JUS, the obligated subjects to inform must register, through manual or computerized systems, the individual operations carried out by their usual or occasional clients for amounts equal to or greater than US$ 10,000.00 or its equivalent in national currency, and the operations that together equal or exceed US$ 50,000.00 or its equivalent in national currency, carried out by or for the benefit of the same person, in a calendar month, for the concepts detailed in said norms or other operations that the supervisory body of the obligated subject has established by motivated resolution;

That, likewise and according to what is established in article 11 of Law No. 27693 and its modifying norms, concorded with article 11 of the Regulations of Law No. 27693, the obligated subjects to inform must pay special attention to suspicious operations carried out or attempted to be carried out, and must communicate to UIF-Peru the suspicious operations they detect in the course of their activities, regardless of the amounts involved, within 30 calendar days counted from the date on which said operations were detected;

That, Law No. 27693, its modifying and regulatory norms, have expressly established the minimum content of the Transaction Register and the Suspicious Transaction Report and the manner in which they must be kept and, if applicable, communicated to UIF-Peru, so that this obligation is fully in force and, therefore, does not depend on any sectoral norm;

That, the obligated subjects to inform that do not have specific norms applicable to their sector, in matters of prevention of money laundering and terrorist financing, lack formats that help them comply with the obligations indicated above, relating to the registration of operations and, if applicable, the reporting of suspicious transactions;

That, in this context, it is necessary to provide to the obligated subjects to inform that do not have specific norms applicable to their sector, in matters of prevention of money laundering and terrorist financing, format models for the Transaction Register and the Suspicious Transaction Report, thereby assisting in compliance with the obligations established in Law No. 27693, its modifying and regulatory norms, until their supervisory body issues the corresponding norm in matters of prevention of money laundering and terrorist financing;

Being in accordance with the opinion of the Financial Intelligence Unit of Peru and the Adjunct Superintendent of Legal Advice;

In exercise of the attributions conferred by Law No. 29038 and Law No. 26702, in concordance with Law No. 27693 and its modifying norms, and according to the exception conditions established in numeral 3.2 of article 14 of Supreme Decree No. 001-2009-JUS;

RESOLVES:

Article First.- Approve the "Format Model of the Transaction Register (ROP)" for the obligated subjects to inform to UIF-Peru that do not have specific norms applicable to their sector, in matters of prevention of money laundering and terrorist financing, in accordance with what is provided by article 9 of Law No. 27693 and its modifying norms, and articles 6 and 7 of the Regulations of Law No. 27693, which forms an integral part of this Resolution as Annex No. 1, and will be published on the electronic portal of the Superintendent of Banks, Insurance and Private Pension Fund Administrators (www.sbs.gob.pe), in accordance with what is provided by Supreme Decree No. 001-2009-JUS.

Article Second.- Approve the "Format Model of the Suspicious Transaction Report (STR)" for the obligated subjects to inform to UIF-Peru that do not have specific norms applicable to their sector, in matters of prevention of money laundering and terrorist financing, in accordance with what is provided by article 11 of Law No. 27693 and its modifying norms, and article 12 of the Regulations of Law No. 27693, which forms an integral part of this Resolution as Annex No. 2, and will be published on the electronic portal of the Superintendent of Banks, Insurance and Private Pension Fund Administrators (www.sbs.gob.pe), in accordance with what is provided by Supreme Decree No. 001-2009-JUS.

Los Laureles Nº 214 - Lima 27 - Peru Tel.: (511) 6309000 Fax: (511) 6309239

Article Third.- Any obligated subject to inform to UIF-Peru referred to in article 3 of Law No. 29038 must communicate to UIF-Peru and its supervisory body the designation of its Compliance Officer within a maximum period of fifteen (15) calendar days from the date of designation, in accordance with what is provided in article 10 of Law No. 27693 and its modifying norms and article 19 of the Regulations of Law No. 27693, approved by Supreme Decree No. 018-2006-JUS.

Article Fourth.- This Resolution will enter into force the day after its publication in the Official Gazette El Peruano.

Register, communicate, and publish.

DANIEL SCHYDLOWSKY ROSENBERG
Superintendent of Banks, Insurance and Private Pension Fund Administrators