Rule for Completing Reports and Presenting Information for Illicit Income Legalization and Terrorist Financing Risk Supervision in Brokerage Companies

The order №48/04 of the President of the National Bank of Georgia May 5, 2016 Tbilisi On the approval of the rule for completing reports and presenting information for the legalization of illicit income of the brokerage company and terrorist financing risk supervision Pursuant to the requirements of the paragraph 3rd of the article 48th, subparagraph “e” of the
article 52nd of the Organic Law of Georgia “On the National Bank of Georgia” and subparagraph “a”
of the article 4th of the Law of Georgia “Law of Georgia "On Facilitating the Prevention of Illicit Income Legalization” paragraph 1st of the same law, I hereby order:
Article 1. (27.06.2018 N122/04)
The rule for completing reports and presenting information for the legalization of illicit income of the brokerage company and terrorist financing risk supervision shall be approved.
Article 2
This order shall take effect immediately upon publication.
The President of the National Bank of Georgia Koba Gvenetadze The rule for completing reports and presenting information for the legalization of illicit income of the brokerage company and terrorist financing risk supervision
Article 1. Purpose and scope of the rule

1. The rule for completing reports and presenting information for the legalization of illicit
   income of the brokerage company and terrorist financing risk supervision (hereinafter referred to as the “Rule”) includes the principles of filling in the separate columns of the "Report of legalization of illicit income of the brokerage company and terrorist financing risk supervision" (hereinafter referred to as – “the report”) provided for in Annex No. 1 of this order, which require explanation as well as the manner of presentation of additional information to be provided by brokerage companies.
2. The purpose of remote supervision of the risk of legalization of illicit income and terrorist
   financing (Hereinafter referred to as – “Remote Supervision”) is to assess the risks of legalization of illicit income and terrorism financing in a particular brokerage company in accordance with the rules established by the National Bank of Georgia (Hereinafter referred to as “National Bank of Georgia”), as well as, the adequacy of the internal control system of the brokerage company and taking into account the abovementioned appropriate supervisory measures should be taken.
3. In order to carry out remote supervision, the brokerage companies operating in Georgia
   provide the National Bank with the information required by this rule in the prescribed form and within the time limits.

Article 2. Definition of terms
For the purposes of this rule, the terms have the following meanings:
a) Entity– Both a resident and a non-resident natural or legal person, as well as an organizational formation provided for by the legislation of Georgia, which is not a legal entity; b) Resident natural person – a natural person who is a citizen of Georgia, as well as an individual entrepreneur; c) Non-resident natural person – a natural person who is a citizen of a foreign country, as well as a natural person without citizenship and a citizen of a foreign country who is registered as an individual entrepreneur in Georgia; d) Resident legal entity – legal entity, as well as any kind of organizational formation, created in accordance with the legislation of Georgia; e) Non-resident legal entity – legal entity, as well as any type of organizational formation, created in accordance with the legislation of a foreign country; f) Registered -created – in case of legal entity, having citizenship – in case of natural person; g) Client – any person who applies to the brokerage company for the services provided by the legislation of Georgia and/or uses the aforementioned services based on the latter's main activity; h) Securities market intermediary – a legal entity that carries out the activities provided for in Article 23 of the Law of Georgia "On Securities Market", except for those intermediaries that only carry out nominal ownership or only keep assets. i) Offshore zone – countries and territories defined by Annex No. 2; (27.06.2018 N122/04) j) An operation (transaction) carried out without identification – an operation (transaction) with a volume below the thresholds (1500/3000) provided for by legislation, during the implementation of which the person's name, surname, residency and unique identification number (personal number, and in the absence of it - document number) are not established. If the abovementioned identification data is obtained in a remote form without direct contact with the client and at the same time is not verified in an appropriate manner, the operation (transaction) is also considered carried out without identification. (27.06.2018 N122/04)

Article 3. General provisions
1. The main columns of the reporting forms are filled by the brokerage companies, and some
of them are protected and filled automatically based on the information filled by the brokerage companies.
2. The reporting form shall accurately and completely include the requested information
according to the reporting period defined by the first paragraph of Article 21 of this rule.
3. Report shall include transactions (operations) carried out for the benefit of clients and by
the instructions of clients. In addition, the report shall not reflect the movement of assets between the accounts/sub-accounts of one client in the brokerage company. Information about transactions made in foreign currency is recorded in national currency at the official exchange rate established by the National Bank on the date of execution of the transaction. The value of securities is also recorded in national currency.
4. The date of execution of the transaction is the date of transfer/receipt of funds related to
the transaction from/to the client's account in the brokerage company, in the case of transactions related to securities without cash settlement in the brokerage company, the date of transfer/receipt of securities from/to the client's account in the brokerage company, in the case of transactions related to securities without cash settlement in the brokerage company, the date of transfer/receipt of securities from/to the client's account in the brokerage company, and if the transaction is not related to the movement of neither cash nor securities in the brokerage company, the date of execution of the transaction document.
5. When reflecting information about the volume of transactions, the following is indicated:
(a) Turnover (credit and debit turnovers, summed up in absolute values), of the relevant assets (of funds or securities) carried out on the client's brokerage account on the date of execution of the transaction or (b) Amounts (value) specified in the transaction documents, which are not related to the movement of cash and/or securities in the brokerage company. In the case of transactions related to securities without cash settlement (including exchange of securities, depositing-transfer), the information is reflected in the monetary expression at the price fixed by the transaction, if this is confirmed by the transaction documents, or in the absence of such documents, for securities admitted to the exchange - by the last closing price published by the exchange, and in all other cases by the nominal value.
6. If cash flows are fixed to the client's account in the brokerage company on the basis of
transaction, then the report reflects information only about the actual turnover of cash to the client's account. If, only securities are moved to the client's account in the brokerage company on the basis of the transaction, then the report reflects information only about the actual turnover of securities to the client's account. If neither cash nor securities movement is made to the client's account in the brokerage company on the basis of the transaction, then the information about the volume of the transaction is reflected in the report according to the transaction document.

7. The report does not include information about budget payments, "split", "reverse-split" and
conversion of securities, as well as about the commission received from the client in exchange for the services provided by the brokerage company, except for the fee for providing consulting services.
8. The repetition of the data in the subfactors in the report forms is not allowed, except for
the cases stipulated by clauses 22 and 23 of Article 12 of this rule.
9. The information on blocking/mortgaging of assets on the brokerage accounts of clients is
not reflected in the report forms.
10. When carrying out operations between the clients of the brokerage company, the
information is reflected in the perspective of both of them.
101. If the risk level of the client has been changed several times during the reporting period,
it is recorded in the report according to the risk category assigned at the end of the reporting period. (27.06.2018 N122/04)
11. In the event that the client has the citizenship of another country along with the
citizenship of Georgia, he/she is recorded in the report as a citizen of another country, and if in both cases, he/she is a citizen of a foreign country - as a citizen of the country that carries more risk in terms of legalization of illicit income and terrorism financing.
Article 4. Forms of report
The report includes the following forms:
a) Information about the brokerage company (form No. 1); b) Information about the structure of the client base (form No. 2); c) Information about products/transactions (form No. 3); d) Information about the transactions carried out according to the geographical area (form No. 4); e) Information about the clients' residency and transactions carried out by them (form No. 5); f) Information about clients' residency (form No. 6); g) Information about clients identified based on a third party (form No. 7); h) Information about clients with high-risk activities and risk-bearing clients with various signs (form No. 8); i) Information about intermediaries (form No. 9); j) Statistical information about the reports sent to the financial monitoring service (form No. 10); k) Information on reports sent with suspicious status according to clients' residency (form N11). (27.06.2018 N122/04) k1) Information on reports sent with suspicious status according to products/transactions (form N11-1). (27.06.2018 N122/04)

l) Information on sanctioned clients and suspended transactions (form No. 12); m) Information on the state of implementation of the recommendations of the National Bank of Georgia (form No. 13); n) Information about suspicious zones (form No. 14); o) Information about risk-bearing products (form No. 15).
Article 5. Information on brokerage company (form №1)
1. The reporting form includes the name of the brokerage company, the information on
Members of the Supervisory Board, owner(s) of a significant share (10% and more), beneficial owner(s), director(s), person responsible for monitoring, branches and subsidiaries (financial institutions) located in Georgia and outside of Georgia, representative offices located outside Georgia, as well as the date of the last inspection (on-site inspection) and evaluation of the National Bank. (27.06.2018 N122/04).
2. When reflecting information about members of the Supervisory Board, owners of a
significant share, beneficial owners, directors, the person responsible for monitoring, identification data is indicated (in the case of a natural person, name, surname, personal number and citizenship, and in the case of a legal entity -Firm name, identification code and registration country).
3. If there are branches outside Georgia, their number and location are indicated (list of
countries).
4. If there are subsidiaries (financial institutions) and representative offices outside of
Georgia, their names and locations are indicated (list of countries).
5. The form also reflects infrmation according to the data available at the end of the reporting
period.
Article 6. Information on the structure of the client base (form No. 2)
1. The reporting form consists of factors and sub-factors. According to risk levels and other
characteristics, the form should reflect information about the number of clients and the volume of transactions carried out in the reporting period.
2. In order to fill out the reporting form, brokerage companies shall provide a classification
of clients according to risk levels.
3. The reporting form includes the full quantitative indicator of legal and natural persons
being in a business relationship with the brokerage company for the reporting period, regardless of whether the person made a transaction during the reporting period or not. The form also includes information on persons with whom business relations were terminated during the reporting period.

Article 7. Information about products/transactions (form №3)
1. The reporting form reflects information on the number and volume of certain categories
of transactions (operations) carried out by clients.
2. The total turnover data reflects the information about the transactions carried out by the
instructions of clients and for their benefit (including the transactions specified in the form).
3. When reflecting data on consulting services, the number of transactions on the basis of
which consulting services were provided is indicated in the number of transactions column, and the total amount of remuneration received by the brokerage company in exchange for the services - in the volume column.
4. When reflecting information on the management of investment portfolios, the column of
the number of transactions indicates the number of transactions on the basis of which investment portfolios were transferred to the brokerage company for management, and in the volume column, the total (market or, in the absence of such, nominal) value of these investment portfolios (which was recorded at the time of transfer to management).
5. Transactions carried out by cash-settlement include amounts deposited/withdrawn in cash
by clients to/from the cashier’s office of the brokerage company, as well as, to/from the nominal holder account of the brokerage firm.
6. The form reflects only the information about the transactions carried out on the
instructions of the non-resident nominal owner.
7. The sub-factor "Non-exchange transactions" reflects information on exchange and
granting of securities, as well as securities purchase and sale transactions, which was not carried out on the stock exchange defined by the Law of Georgia on "Securities Market", as well as on a licensed/authorized exchange or an alternative trading platform in the USA, Canada, Japan, Australia, Scandinavian countries, EU member states (except Malta, Luxembourg and Cyprus) and the United Kingdom (except ('British Overseas Territories').
8. If the product/transaction provided by any of the sub-factors is at the same time a non￾exchange transaction, the information is reflected differently, only in the corresponding sub-factor.
9. Information on products/transactions given in the reporting form shall include only data
on transactions carried out by/for the benefit of identified clients, while information on transactions carried out without identification of the client is recorded differently, in the corresponding sub￾factor.
Article 8. Information about the transactions carried out according to the geographical area (form
No. 4)
1. The reporting form reflects the information on the operations of depositing/transferring of
both identified and non-identified transactions/assets (both money and securities) carried out by and for the benefit of the customer according to the countries,
2. Information on transactions according to the countries is reflected according to the location (in
case of sum of money) of the recipient's/sender’s serving banking institution, and in the case of securities, according to the location of the recipient's/sender's serving institution.
3. The column – “Countries/territories, which are not separated out” reflects information in
detail about transactions carried out through the territories of those countries, the list of which is not given in the form (indicating the name and code of the country/territory).

4. The form additionally shall reflect the information about the transactions carried out inside
the country and outside the country without identification of the client in a differentiated manner.
5. The form does not reflect information about the amounts deposited for trading with the
central depository and the movement of securities.
Article 9. Information about clients' residency and transactions carried out by them (form No.
5)
1. Reporting form shall reflect information only about those clients who made transactions
during the reporting period according to the residency.
2. The reporting form includes a quantitative indicator of clients and information on the
number and volume of transactions carried out by/for their benefit. The form also includes information on persons with whom business relations were terminated during the reporting period.
3. Column “other” shall reflect detailed information about persons registered in those
countries/territories the list of which is not given in the form (indicating the name and code of the country/territory).
4. Regardless of the threshold amount established by the legislation regarding identification,
if the brokerage company has the client's identification data, the information shall be reflected in the same form according to the residency.
Article 10. Information about client’s residency (Form №6)
1. The reporting form reflects the information about the clients who are in a business
relationship with the brokerage company during the reporting period according to residency, regardless of whether the transaction was carried out by them/for their benefit during the reporting period. The form also reflects information about those clients who have terminated business relations with the brokerage company during the reporting period.
2. Column “other” shall reflect detailed information about persons registered in those
countries/territories the list of which is not given in the form (indicating the name and code of the country/territory).

3. Regardless of the threshold amount established by the legislation regarding identification,
if the brokerage company has the client's identification data, the information shall be reflected in the same form according to the residency.
Article 11. Information about clients identified based on a third party (form No. 7)
1. The form shall include the information about those clients, whose identification was
carried out in accordance with the paragraph 11, of the Article 6 of the Law of Georgia "On Facilitating the Prevention of Illicit Income Legalization" (including clients identified through resident third parties/intermediaries).
2. The form shall include the data of that organization (the name of the country of registration
shall be identical to the name given in the list of countries established by the relevant reporting forms), which the brokerage company relied on when identifying the person, as well as the number of clients identified in this form and data on the performed turnovers.
3. The quantitative indicator of customers is reflected in full, regardless of whether the
customer made a transaction during the reporting period. The form also includes information about clients who have terminated relations with the brokerage company during the reporting period.
Article 12. Information about clients with high-risk activities and risk-bearing clients with
various signs (form No. 8)
1. The reporting form includes information on the number and volume of transactions of
clients with high-risk activities, as well as risk-bearing clients with various signs.
2. The quantitative indicator of individuals is reflected in full, regardless of whether the client
made a transaction during the reporting period. The form also includes information about clients who have terminated relations with the brokerage company during the reporting period.
3. (27.06.2018 N122/04) Professional service providers include persons engaged in consulting,
marketing and other similar professional activities, in addition to persons engaged in legal, accounting and auditing activities. (27.06.2018 N122/04)
4. (27.06.2018 N122/04) Persons engaged in gambling activities include companies the activities
of which are related to the sale of lottery tickets, the operation of gambling machines, the operation of virtual gambling websites, bookmaking and betting activities, and the operation of casinos (including "Floating casinos"). (27.06.2018 N122/04)
5. Activities related to precious metals, precious stones and their products, antiques and
works of art, it also includes auctioneers, pawnbroker, jewelry, antiques and art stores.
6. The reporting form does not reflect information about artists and auction organizers
defined by the Law of Georgia "On Enforcement Proceedings".
7. The form does not include information about companies created with the state's shared
participation, the activities of which are the production and/or trade of weapons, ammunition, military equipment and transport (of parts), nuclear reactor materials, except for companies created with the shared participation of states determined as non-cooperative, cautionary or offshore zones. (27.06.2018 N122/04)
8. The information about the customers, whose activity is trade and/or production of
chemical substances, does not include companies producing and/or selling household chemical products.
9. The sports clubs specified in the form include football, basketball and other similar types
of clubs, except for sports and health complexes.

10. The form includes information about non-resident investment funds and companies.
(27.06.2018 N122/04)
11. Removed (27.06.2018 N122/04)
12. The form includes information about holding companies the main activities of which is
managing or controlling the activities of other enterprises.
13. (27.06.2018 N122/04) The form includes information about non-resident asset management
companies that manage and invest clients’ funds (including pension savings). (27.06.2018 N122/04
14. The form includes information about the trust service provider companies that act as a
fiduciary, agent or trustee for the interests of a natural or legal person in order to administer, manage and further transfer assets to the beneficiary. (27.06.2018 N122/04);
141. Companies with a trust legal relationship include persons, in the ownership or
management structure of which we have such a legal arrangement (for example., trust, fideicomiso, treuhand, fiducie)), where the settlor, trustee, beneficiary, and/or other persons (protector, etc.) are stated. (27.06.2018 N122/04).
15. (27.06.2018 N122/04) The form includes information about companies the main activity of
which is related to trading with binary options on foreign currency or other trading instruments (Forex and binary options companies, etc.). (27.06.2018 N122/04)
16. Removed (27.06.2018 N122/04)
17. The volume of transactions of those persons, about whom reports were sent to the
Financial Monitoring Service of Georgia with a suspicious status, reflects the total volume of both the transaction sent with suspicious status and the transactions carried out by the client during the reporting period.
18. In the event that the parties involved in the transaction in the report sent to the Financial
Monitoring Service of Georgia with a suspicious status are several clients at the same time, quantitative indicators include all of them and the total volume of transaction sent with a suspicious status, as well as transactions carried out by them during the reporting period.
19. In the case of sending a report to the Financial Monitoring Service of Georgia with a
suspicious status of a transaction attempt, the transaction volume will reflect both the amount of this particular transaction and the total volume of transactions carried out by the client(s) participating in the transaction during the reporting period.
20. In the forms, companies are considered to have a complex ownership structure,
determining the beneficial owners of which requires a vertical study of two or more legal entities. A branch and/or representative office of an enterprise is not considered a legal entity. (27.06.2018 N122/04)
201. Customers whose beneficial owner is a person registered in the
Noteworthy/Offshore/Non-Cooperative Zones do not include customers registered in such zones. (27.06.2018 N122/04)
21. The brokerage company shall include information in the form on clients determined by
it to be high risk according to the activities, if the criteria differ from the list given in the form.
22. If the client is at the same time a risk-bearer with several signs provided for in the form,
the information is reflected in only one of the factors. Exceptions are the factors "persons about whom report was sent to the Financial Monitoring Service of Georgia with a suspicious status", "companies with a complex ownership structure" and "persons whose beneficial owners are registered in noteworthy/offshore non-cooperative zones", in which the data repetition provided by the factors are allowed. (27.06.2018 N122/04) For example, if a professional service provider is at the same time with a complex ownership structure, information is reflected in both factors. (27.06.2018 N122/04)

23. If the client's characteristics simultaneously correspond to the factors "Persons about whom
report was sent to the Financial Monitoring Service of Georgia with a suspicious status", "Persons whose beneficial owners are registered in the noteworthy/off-shore/non-cooperative zones" and "Companies with a complex ownership structure", the information is recorded in all three factors. (27.06.2018 N122/04)
Article 13. Information about intermediaries (Form №9)
1. The form includes information about securities market intermediaries in business
relationship during the reporting period, regardless of whether the transaction was carried out through them and/or on their instruction during the reporting period, the form also reflects information about the intermediaries with whom the business relationship was terminated during the reporting period. (27.06.2018 N122/04)
2. The form shall include the name of the intermediary, the country of registration (the name of
the country of registration must be identical to the name given in the list of countries established by the relevant reporting forms), the date of establishment of business relationship and the volume of transactions related to the intermediary.
Article 14. Statistical information on reports sent to the Financial Monitoring Service (form
No. 10)
1. The reporting form includes statistical information on reports sent to the Financial
Monitoring Service of Georgia in accordance with Article 9 of the Law of Georgia "On Facilitating the Prevention of Illicit Income Legalization”.
2. Information about reports sent with a suspicious status is reflected differently, indicating
the reason for sending the report with a suspicious status.
3. In the event that the report on operations above the limit subject to monitoring determined
by the legislation is sent with several signs at the same time, the information in the form is reflected according to one of the signs.
Article 15. Information on reports sent with suspicious status according to clients' residence
(form N11) (27.06.2018 N122/04)
1. The reporting form includes additional information on reports sent to the Financial
Monitoring Service of Georgia with suspicious status in accordance with Article 9 of the Law of Georgia "On Facilitating the Prevention of Illicit Income Legalization”.
2. In order to fill out the form, the brokerage company shall ensure sorting of information
given in reports sent with suspicious status according to the residency of the clients participating in the transaction and the status of the transaction ("Terrorism Financing," "Other").
3. If the parties to the transaction are clients of the brokerage company, the form reflects
information about all of them (in accordance with residency).
4. If "other" is marked in the status column, the basis for assigning this status shall be recorded
in the additional information, and the data shall be recorded in separate columns in accordance with the basis.
Article 151. Information on reports sent with suspicious status according to
products/transactions (form N11-1) (27.06.2018 N122/04)

1. The reporting form includes additional information on reports sent to the Financial
Monitoring Service of Georgia with suspicious status in accordance with Article 9 of the Law of Georgia "On Facilitating the Prevention of Illicit Income Legalization
2. In order to fill out the form, the brokerage company shall ensure sorting of information
given in reports sent with suspicious status according to types of products/transactions (purchase of securities, consulting services, etc.) and transaction status ("Terrorism financing," "Other").
3. If in a transaction sent to the Financial Monitoring Service of Georgia with suspicious
status, several products are used simultaneously by the parties participating in the transaction, information about each of them is reflected in the form.
4. If "other" is marked in the status column, the basis for assigning this status shall be recorded in the
additional information, and the data shall be recorded in separate columns in accordance with the basis.
Article 16. Information on sanctioned clients and suspended transactions (form No. 12)
1. The form includes the information about the number and residency of those clients whose
property was confiscated in accordance with the court decision based on the petition of the government commission working on the issues of implementation of the resolutions of the UN Security Council during the reporting period.
2. The form also includes information on the number and residency of those clients, the
execution of whose transactions was suspended based on the written instruction of the Financial Monitoring Service of Georgia during the reporting period.
3. The column "Other", shall include information about persons registered in those
countries/territories, the list of which is not given in the form (indicating the name and code of the country/territory).
Article 17. Information on the state of implementation of the recommendations of the National
Bank of Georgia (form No. 13)
1. The reporting form includes the recommendations determined as a result of both on-site
inspection and remote supervision of the National Bank of Georgia and the status of their implementation.
2. The reporting form shall include each recommendation, the established implementation
period, the implementation status, the measures taken and the implementation date.
3. In order to fulfill each recommendation, the information on the implemented measures
described in the form should clearly reflect the measures taken by the brokerage company.
Article 18. Information on suspicious zones (Form №14)
1. The reporting form reflects the country or part of the country's territory, which was
considered by the brokerage company to have a weak control mechanism for the legalization of illicit income (by indicating the country code).
2. The reporting form shall contain information on the date of classification of the country
or a part of the country's territory as a suspicious zone about the basis and source, considering which it was considered as a suspicious area.
3. If a country/part of the country's territory, which is included in the list of countries specified in the
relevant reporting forms, is considered a suspicious area, the name in the form should be indicated identically to the name in the list.

Article 19. Information about risk-bearing products (form No. 15)
1. The reporting form reflects information only about those products, as well as means of providing
services (channel), which were considered by the brokerage company to carry a high risk in terms of legalization of illicit income and financing of terrorism (taking into account the initial risk), regardless of whether the abovementioned product (delivery channel) was introduced in the reporting period or not.
2. The information specified in the reporting form shall clearly reflect the description of the
product/delivery channel, the risks related to the legalization of illicit income and the financing of terrorism, and the measures determined by the brokerage company to mitigate the risks.
3. The form also reflects information about the volume of transactions carried out through the product
turnover/delivery channel. (27.06.2018 N122/04)
Article 20. Additional information to be presented by the brokerage company.
1. In addition to the reporting provided for in Annex No. 1 of this order, for the purpose of
remote evaluation of the control system, the brokerage company shall submit to the National Bank all the policy-procedures and software descriptions of the brokerage company developed in order to facilitate the legalization of illicit income and the prevention of terrorism financing.
2. The information provided by the first paragraph of this article is presented according to
the reporting period defined by Article 21 of this rule, except for the cases defined by paragraph 3 of the same article.
3. Policy-procedures and software descriptions do not need to be presented repeatedly
according to reporting periods, unless there are any changes in it, and in case of changes, only updated information is sent.
4. Other additional information can be requested from the brokerage companies based on the
relevant request of the National Bank.
5. The information specified in the first and fourth paragraphs of this article can be requested
in the form of a questionnaire, the form of which is determined by the National Bank.
Article 21. Deadlines for submission of reports and additional information
1. The brokerage company submits the report to the National Bank for the following dates:
a) Reporting of the first half of the year (January - June) - no later than July 31 of the current year; b) Reporting of the second half-year (July - December) - no later than January 31 of the year following the reporting period.
2. The policy-procedures and the description of the software provided by Article 20 of this
rule shall be submitted by the brokerage company together with the report.
3. In order to schedule an on-site inspection of a specific brokerage company, taking into
account changes in the management and/or ownership structure of the brokerage company, as well as other circumstances, it is possible to request reports and/or additional information ahead of time. However, the different frequency and intensity of reporting/information requests may be determined by the level of risk of legalization of illicit income of the brokerage company and terrorist financing.
4. In order to establish the authenticity of the reports submitted to the National Bank, the
brokerage company is obliged to have an accounting system that ensures the reconstruction of the data reflected in the reports (27.06.2018 N122/04)

Article 22. Rules for submitting reports and additional information (27.06.2018 N122/04)

1. In accordance with the rule approved by the relevant order of the President of the National
   Bank, the brokerage company, within the terms specified in the first paragraph of Article 21 of this rule, uploads the report certified by electronic/digital signature to the "AML/CFT remote supervision portal" (hereinafter referred to as - the portal).
2. The reporting form is posted on portal.
3. The report is prepared in MSExcel format. Violation of the reporting format and formulas
   posted on the portal is not allowed.
4. The brokerage company shall also submit to the National Bank, through the
   "correspondence" functionality of the portal, the information provided for in Article 20 of this rule within the terms specified in the first paragraph of Article 21 of this rule.
5. In order to facilitate the legalization of illicit income and the prevention of terrorism
   financing provided for in Article 20 of this rule, the policy-procedures existing in the brokerage company, as well as the changes made in the policy-procedures, are presented to the National Bank in the Georgian language, in the form of an officially signed and scanned document. If the original document is drawn up in a foreign language, the document translated into Georgian shall be submitted together with the signed and scanned document.
6. In the case of submitting the information provided for in paragraph 5 of the Article 20 of
   this rule by means of a questionnaire, the questionnaire shall be verified with an electronic/digital signature.
7. In case of interruption of the functioning of the portal, for reasons independent of registrar,
   in accordance with the requirements of this article, the reporting and/or the information provided for in Article 20 of this rule is delivered to the National Bank by complying with the requirements of this article in electronic form at the following address: aml.offsite@nbg.gov.ge.
   Article 23. Other provisions
   Information about clients with high-risk activities and risk-bearing clients with various signs (form No. 8) provided in the report should be presented in the report of the first half of 2017.
   Annex N1. (27.06.2018 N122/04)
   Reporting on legalization of illicit income and terrorism financing risk supervision of brokerage companies Form N1. Information about brokerage company Name of the brokerage company Members of the supervisory board The owner(s) of a significant share Beneficial Owner Person(s) Director(s) Person responsible for monitoring implementation/contact information Branches in Georgia Branches located outside Georgia Representatives located outside Georgia Subsidiary enterprises (financial institutions) in Georgia Subsidiary enterprises (financial institutions) located outside Georgia The date of the last inspection carried out by the National Bank of Georgia

The assessment given as a result of the last inspection carried out by the National Bank of Georgia Form N2. Information about the structure of the client base Client base Number of persons Volume of transactions Total - - High-risk customers - - A natural person - resident A resident legal entity Non-resident natural person Non-resident legal entity

Medium-risk customers -
-
A natural person - resident
A resident legal entity
Non-resident natural person
Non-resident legal entity
Low-risk customers -
-
A natural person - resident
A resident legal entity
Non-resident natural person
Non-resident legal entity
Form N3. Information about products/transactions Products/transactions Number of transactions Volume of transactions

Total turnover
A transaction executed with securities on the representative Consultation service Investment portfolio management A transaction carried out in the form of cash A transaction carried out on behalf of the nominal owner A transaction made on a trading platform with a financial instrument Non-exchange transaction A transaction carried out without identification Form N4. Information about transactions carried out according to geographical area Transactions carried out without identification Depositing Transferring Number of transactions Volume of transactions Number of transactions Volume of transactions Total - - - - Inside country Outside country List of the countries Code of the country Depositing Transferring Number of transactions Volume of transactions Number of transacti ons Volume of transactions

Total
-
-
-
-
Australia AU
Austria AT
Afghanistan AF
Azerbaijan AZ
Åland Islands AX
Albania AL
Algeria DZ
American Samoa AS
Anguilla AI
Angola AO
Andorra AD
Antarctica AQ
Antigua and Barbuda AG
United Arab Emirates AE
Argentina AR
Aruba AW
United States US
New Zealand NZ
New Caledonia NC
Bangladesh BD
Barbados BB
The Bahamas BS
Bahrain BH
Belarus BY
Belgium BE
Belize BZ
Benin BJ
Bermuda BM
Bolivia BO
Bosnia and Herzegovina BA
Botswana BW
Brazil BR
British Indian Ocean Territory
IO
Brunei Darussalam BN
Bouvet Island BV
Bulgaria BG
Burkina Faso BF
Burundi BI
Bhutan BT
Gabon GA
United Kingdom GB
Guyana GY
The Gambia GM
Ghana GH
Germany DE
Guernsey GG
Guadeloupe GP
Guatemala GT
Guinea GN
Guinea
-Bissau GW
Gibraltar GI
Grenada GD
Greenland GL
Guam GU
Denmark DK
Western Sahara EH
Dominica DM
Dominican Republic DO

Egypt EG
Ethiopia ET
Ecuador EC
Equatorial Guinea GQ
Iraq IQ
Eritrea ER
Spain ES
Estonia EE
Vanuatu VU
Vatican City VA
Venezuela VE
Vietnam VN
U.S. Virgin Islands VI
British Virgin Islands VG
Zambia ZM
Zimbabwe ZW
Turkey TR
Turkmenistan TM
Jamaica JM
Japan JP
Yemen YE
India IN
Indonesia ID
Jordan JO
Iran IR
Ireland IE
Iceland IS
Israel IL
Italy IT
Cabo Verde CV
Cayman Islands KY
Cambodia KH
Cameroon CM
Canada CA
Caribbean Netherlands BQ
Kenya KE
Cyprus CY
Kiribati KI
Colombia CO
Comoros KM
Congo CG
Democratic Republic of the Congo CD
South Korea KR
North Korea
KP
Costa Rica CR
Côte d'Ivoire CI
Cuba CU
Cook Islands CK
Curaçao CW
Lao People's Democratic Republic
LA
Latvia LV
Lesotho LS
Lebanon LB
Liberia LR
Libya LY
Lithuania LT
Liechtenstein LI
Luxembourg LU
Madagascar MG

Mauritius MU
Mauritania MR
Macao MO
North Macedonia MK
Malawi MW
Malaysia MY
Maldives MV
Mali ML
Malta MT
Morocco MA
Martinique MQ
Marshall Islands MH
Mayotte YT
Isle of Man IM
Mexico MX
Myanmar MM
Federated States of Micronesia FM
Mozambique MZ
Moldova MD
Monaco MC
Montserrat MS
Montenegro ME
Mongolia MN
Namibia NA
Nauru NR
Naples NP
Niger NE
Nigeria NG
Netherlands NL
Nicaragua NI
Niue NU
Norway NO
Norfolk Island NF
Oman OM
Pakistan PK
Palau PW
Palestine PS
Panama PA
Papua New Guinea PG
Paraguay PY
Peru PE
Pitcairn Islands PN
Poland PL
Portugal PT
Puerto Rico PR
Réunion RE
Rwanda RW
Romania RO
Russia RU
Greece GR
El Salvador SV
Samoa WS
South Africa ZA
South Sudan SS
South Georgia and the South Sandwich
Islands GS
San Marino SM
Saudi Arabia SA
Sao Tome and Principe ST
France FR
French Guiana GF

French Polynesia PF
French Southern and Antarctic Lands TF
Seychelles SC
Saint Barthélemy BL
Senegal SN
Collectivity of Saint Martin MF
Saint Helena SH
Saint Vincent and the Grenadines VC
Federation of Saint Kitts and Nevis KN
Saint Lucia LC
Saint Pierre and Miquelon PM
Serbia RS
Eswatini SZ
Svalbard and Jan Mayen SJ
Sierra Leone SL
Singapore SG
Sint Maarten
SX
Syria SY
Slovakia SK
Slovenia SI
Solomon Islands SB
Somalia SO
Armenia AM
Sudan SD
Suriname SR
Taiwan, Province of China TW
Thailand TH
Tanzania TZ
Tajikistan TJ
Turks and Caicos Islands TC
Timor-Leste TL
Togo TG
Tokelau TK
Tonga TO
Trinidad and Tobago TT
Tuvalu TV
Tunisia TN
Uganda UG
Uzbekistan UZ
Ukraine UA
Hungary HU
Wallis and Futuna WF
Uruguay UY
Faroe Islands FO
Philippines PH
Finland FI
Fiji FJ
Falkland Islands (Islas Malvinas)
FK
Cocos (Keeling) Islands CC
Kuwait KW
Kazakhstan KZ
Qatar QA
Kyrgyzstan KG
United States Minor Outlying
Islands UM
Sweden SE
Switzerland CH
Christmas Island CX

Sri Lanka LK
Chad TD
Czechia CZ
Chile CL
China CN
Northern Mariana Islands MP
Central African Republic CF
Croatia HR
Jersey JE
Djibouti DJ
Haiti HT
Heard Island and McDonald Islands
HM
Honduras HN
Hong Kong HK
Georgia GE
Countries/territories, which are not separated out - - - - List:
Form N5. Information about the residency of clients and transactions carried out by them Registration countries Code of the country Legal entities Natural persons Legal entities Natural Number of persons transactions Volume of transactions Number of transactions Volume of transacti ons Total - - - -

• -
  Australia AU
  Austria AT
  Afghanistan AF
  Azerbaijan AZ
  Åland Islands AX
  Albania AL
  Algeria DZ
  American Samoa AS
  Anguilla AI
  Angola AO
  Andorra AD
  Antarctica AQ
  Antigua and Barbuda AG
  United Arab Emirates
  AE
  Argentina AR
  Aruba AW
  United States of America US
  New Zealand NZ
  New Caledonia NC
  Bangladesh BD
  Barbados BB
  Bahamas BS
  Bahrain BH
  Belarus BY
  Belgium BE
  Belize BZ
  Benin BJ
  Bermuda BM
  Bolivia BO
  Bosnia and Herzegovina BA
  Botswana BW

Brazil BR
British Indian Ocean
Territory IO
Brunei Darussalam BN
Bouvet Island BV
Bulgaria BG
Burkina Faso BF
Burundi BI
Bhutan BT
Gabon GA
United Kingdom of Great
Britain and Northern Ireland
GB
Guyana GY
Gambia GM
Ghana GH
Germany DE
Guernsey GG
Guadeloupe GP
Guatemala GT
Guinea GN
Guinea-Bissau GW
Gibraltar GI
Grenada GD
Greenland GL
Guam GU
Denmark DK
Western Sahara EH
Dominica DM
Dominican Republic
DO
Egypt EG
Ethiopia ET
Ecuador EC
Equatorial Guinea GQ
Iraq IQ
Eritrea ER
Spain ES
Estonia EE
Vanuatu VU
Holy See
VA
Venezuela VE
Vietnam VN
Virgin Islands (U.S.)
VI
Virgin Islands (British)
VG
Zambia ZM
Zimbabwe ZW
Turkey TR
Turkmenistan TM
Jamaica JM
Japan JP
Yemen YE
India IN
Indonesia ID
Jordan JO
Iran (Islamic Republic of)
IR
Ireland IE
Iceland IS
Israel IL

Italy IT
Cabo Verde CV
Cayman Islands KY
Cambodia KH
Cameroon CM
Canada CA
Bonaire, Sint Eustatius and
Saba BQ
Kenya KE
Cyprus CY
Kiribati KI
Columbia CO
Comoros KM
Congo CG
Congo (the Democratic
Republic of the) CD
Korea KR
Korea (the Democratic
People's Republic of) KP
Costa Rica CR
Côte d'Ivoire CI
Cuba CU
Cook Islands CK
Curaçao CW
Lao People's Democratic
Republic LA
Latvia LV
Lesotho LS
Lebanon LB
Liberia LR
Libya LY
Lithuania LT
Liechtenstein LI
Luxembourg LU
Madagascar MG
Mauritius MU
Mauritania MR
Macao MO
Republic of North Macedonia MK
Malawi MW
Malaysia MY
Maldives MV
Mali ML
Malta MT
Morocco MA
Martinique MQ
Marshall Islands MH
Mayotte YT
Isle of Man IM
Mexico MX
Myanmar MM
Micronesia (Federated States of) FM
Mozambique MZ
Moldova MD
Monaco MC
Montserrat MS
Montenegro ME
Mongolia MN

Namibia NA
Nauru NR
Nepal NP
Niger NE
Nigeria NG
Netherlands NL
Nicaragua NI
Niue NU
Norway NO
Norfolk Island NF
Oman OM
Pakistan PK
Palau PW
State of Palestine PS
Panama PA
Papua New Guinea PG
Paraguay PY
Peru PE
Pitcairn PN
Poland PL
Portugal PT
Puerto Rico PR
Réunion RE
Rwanda RW
Romania RO
Russian Federation RU
Greece GR
El Salvador SV
Samoa WS
South Africa ZA
South Sudan SS
South Georgia and the South
Sandwich Islands GS
San Marino SM
Saudi Arabia SA
Sao Tome and Principe ST
France FR
French Guiana GF
French Polynesia PF
French Southern
Territories TF
Seychelles SC
Saint Barthélemy BL
Senegal SN
Saint Martin (French part)
MF
Saint Helena SH
Saint Vincent and the
Grenadines VC
Saint Kitts and Nevis KN
Saint Lucia LC
Saint Pierre and Miquelon PM
Serbia RS
Eswatini SZ
Svalbard and Jan Mayen SJ
Sierra Leone SL
Singapore SG
Sint Maarten (Dutch part)
SX

Syrian Arab Republic
SY
Slovakia SK
Slovenia SI
Solomon Islands SB
Somalia SO
Armenia AM
Sudan SD
Suriname SR
Taiwan (Province of China)
TW
Thailand TH
Tanzania, United Republic of
TZ
Tajikistan TJ
Turks and Caicos
Islands TC
Timor-Leste TL
Togo TG
Tokelau TK
Tonga TO
Trinidad and Tobago TT
Tuvalu TV
Tunisia TN
Uganda UG
Uzbekistan UZ
Ukraine UA
Hungary HU
Wallis and Futuna WF
Uruguay UY
Faroe Islands FO
Philippines PH
Finland FI
Fiji FJ
Falkland Islands (Islas
Malvinas) FK
Cocos (Keeling) Islands
CC
Kuwait KW
Kazakhstan KZ
Qatar QA
Kyrgyzstan KG
United States Minor Outlying
Islands UM
Sweden SE
Switzerland CH
Christmas Island CX
Sri Lanka LK
Chad TD
Czechia CZ
Chile CL
China CN
Northern Mariana
Islands MP
Central African Republic CF
Croatia HR
Jersey JE
Djibouti DJ

Haiti HT
Heard Island and McDonald
Islands HM
Honduras
Hong Kong
HN
HK
Georgia GE
Stateless persons
Countries/territories, which are not separated out - - - -

• -
  List:
  Form N6. Information about the residency of the client Registrations countries Country code Legal entities Natural persons Total - - Australia AU Austria AT Afghanistan AF Azerbaijan AZ Åland Islands AX Albania AL Algeria DZ American Samoa AS Anguilla AI Angola AO Andorra AD Antarctica AQ Antigua and Barbuda AG United Arab Emirates AE Argentina AR

Aruba AW
United States of America US
New Zealand NZ
New Caledonia NC
Bangladesh BD
Barbados BB
Bahamas BS
Bahrain BH
Belarus BY
Belgium BE
Belize BZ
Benin BJ
Bermuda BM
Bolivia BO
Bosnia and Herzegovina BA
Botswana BW
Brazil BR
British Indian Ocean Territory IO
Brunei Darussalam BN
Bouvet Island BV
Bulgaria BG
Burkina Faso BF
Burundi BI
Bhutan BT
Gabon GA
United Kingdom of Great Britain and Northern Ireland GB Guyana GY Gambia GM Ghana GH Germany DE Guernsey GG Guadeloupe GP Guatemala GT Guinea GN Guinea-Bissau GW Gibraltar GI Grenada GD Greenland GL Guam GU Denmark DK Western Sahara EH Dominica DM Dominican Republic DO Egypt EG Ethiopia ET

Ecuador EC
Equatorial Guinea GQ
Iraq IQ
Eritrea ER
Spain ES
Estonia EE
Vanuatu VU
Holy See VA
Venezuela VE
Viet Nam VN
Virgin Islands (U.S.) VI
Virgin Islands (British) VG
Zambia ZM
Zimbabwe ZW
Turkey TR
Turkmenistan TM
Jamaica JM
Japan JP
Yemen YE
India IN
Indonesia ID
Jordan JO
Iran (Islamic Republic of) IR
Ireland IE
Iceland IS
Israel IL
Italy IT
Cabo Verde CV
Cayman Islands KY
Cambodia KH
Cameroon CM
Canada CA
Bonaire, Sint Eustatius and Saba BQ
Kenya KE
Cyprus CY
Kiribati KI
Colombia CO
Comoros KM
Congo CG
Congo (the Democratic Republic of the) CD
Korea (the Republic of) KR
Korea (the Democratic People's Republic of) KP Costa Rica CR Côte d'Ivoire CI Cuba CU

Cook Islands CK
Curaçao CW
Lao People's Democratic Republic LA
Latvia LV
Lesotho LS
Lebanon LB
Liberia LR
Libya LY
Lithuania LT
Liechtenstein LI
Luxembourg LU
Madagascar MG
Mauritius MU
Mauritania MR
Macao MO
Republic of North Macedonia MK
Malawi MW
Malaysia MY
Maldives MV
Mali ML
Malta MT
Morocco MA
Martinique MQ
Marshall Islands MH
Mayotte YT
Isle of Man IM
Mexico MX
Myanmar MM
Micronesia (Federated States of) FM
Mozambique MZ
Moldova MD
Monaco MC
Montserrat MS
Montenegro ME
Mongolia MN
Namibia NA
Nauru NR
Nepal NP
Niger NE
Nigeria NG
Netherlands NL
Nicaragua NI
Niue NU
Norway NO
Norfolk Island NF

Oman OM
Pakistan PK
Palau PW
Palestine, State of PS
Panama PA
Papua New Guinea PG
Paraguay PY
Peru PE
Pitcairn PN
Poland PL
Portugal PT
Puerto Rico PR
Réunion RE
Rwanda RW
Romania RO
Russian Federation RU
Greece GR
El Salvador SV
Samoa WS
South Africa ZA
South Sudan SS
South Georgia and the South Sandwich Islands GS San Marino SM Saudi Arabia SA Sao Tome and Principe ST France FR French Guiana GF French Polynesia PF French Southern Territories TF Seychelles SC Saint Barthélemy BL Senegal SN Saint Martin (French part) MF Saint Helena, Ascension and Tristan da Cunha SH Saint Vincent and the Grenadines VC Saint Kitts and Nevis KN Saint Lucia LC Saint Pierre and Miquelon PM Serbia RS Eswatini SZ Svalbard and Jan Mayen SJ Sierra Leone SL Singapore SG Sint Maarten (Dutch part) SX Syrian Arab Republic SY

Slovakia SK
Slovenia SI
Solomon Islands SB
Somalia SO
Armenia AM
Sudan SD
Suriname SR
Taiwan (Province of China) TW
Thailand TH
Tanzania, United Republic of TZ
Tajikistan TJ
Turks and Caicos Islands TC
Timor-Leste TL
Togo TG
Tokelau TK
Tonga TO
Trinidad and Tobago TT
Tuvalu TV
Tunisia TN
Uganda UG
Uzbekistan UZ
Ukraine UA
Hungary HU
Wallis and Futuna WF
Uruguay UY
Faroe Islands FO
Philippines PH
Finland FI
Fiji FJ
Falkland Islands (Islas Malvinas) FK
Cocos (Keeling) Islands CC
Kuwait KW
Kazakhstan KZ
Qatar QA
Kyrgyzstan KG
United States Minor Outlying Islands UM
Sweden SE
Switzerland CH
Christmas Island CX
Sri Lanka LK
Chad TD
Czechia CZ
Chile CL
China CN
Northern Mariana Islands MP

Central African Republic CF
Croatia HR
Jersey JE
Djibouti DJ
Haiti HT
Heard Island and McDonald Islands HM
Honduras HN
Hong Kong HK
Georgia GE
Stateless persons
Countries/territories, which are not separated out - - List:
Form N7. Information about customers identified on the basis of a third party Name of the organization country Country code Number of persons Number of transactions Volume of transactions Total Sum total - - -

Form N8. Information about clients with high-risk activities and risk-bearing clients with various signs Clients Number of persons Volume of transactions Total data - - Total - - Professional service providers Persons carrying out gambling activities Persons carrying out activities related to precious metals, precious stones and their products, antiques and works of art Persons related to the production and/or trade of weapons and ammunition, military equipment and transport (parts). Persons related to the production and/or trade of chemical substances Persons related to the production and/or trade of nuclear reactor materials Sports clubs Investment funds/companies Holding companies Asset management companies Companies providing trust services Companies with a trust-legal relationship Real estate agents Binary options trading companies Politically active persons Total - - Persons about whom reports have been sent to the Financial Monitoring Service with a suspicious status Companies with complex ownership structures Persons whose beneficiary owners are registered in worthy of attention/offshore/non-cooperative zones Other high-risk customers - -

Form N9. Information about intermediaries
Name Country Country code
Date of establishment of business relationship Volume of transactions

Form N10. Statistical information about reports sent to the Financial Monitoring Service Reports sent to Financial Monitoring Service Number of reports Total - Suspicious - Financing of terrorism Others Above the limit - A transaction executed with securities on the representative A transaction implemented by a suspicious financial institution A transaction with securities carried out by a person being in noteworthy and suspicious zone and registered (including the registered branch of such a legal entity in Georgia) and/or a transaction made using a bank account of a bank operating in such zone Transaction carried out by cash Form N11. Information about reports sent with a suspicious status according to the residency of customers Status Residency Country code Number of persons Additional information

Form N11-1. Information about reports sent with suspicious status according to product/transaction

status
Name of the product/transaction
Number of cases Additional information

Form N12. Information about sanctioned customers and suspended transactions

Registration countries Country codes
Number of persons whose propert y was seized
The number of persons whose transactions have been suspended Total - - Australia AU Austria AT Afghanistan AF Azerbaijan AZ Åland Islands AX Albania AL Algeria DZ American Samoa AS Anguilla AI Angola AO Andorra AD

Antarctica AQ
Antigua and Barbuda AG
United Arab Emirates AE
Argentina AR
Aruba AW
United States of America US
New Zealand NZ
New Caledonia NC
Bangladesh BD
Barbados BB
Bahamas BS
Bahrain BH
Belarus BY
Belgium BE
Belize BZ
Benin BJ
Bermuda BM
Bolivia BO
Bosnia and Herzegovina BA
Botswana BW
Brazil BR
British Indian Ocean Territory IO
Brunei Darussalam BN
Bouvet Island BV
Bulgaria BG
Burkina Faso BF
Burundi BI
Bhutan BT
Gabon GA
United Kingdom of Great Britain and Northern Ireland GB Guyana GY Gambia GM Ghana GH Germany DE Guernsey GG Guadeloupe GP Guatemala GT Guinea GN Guinea-Bissau GW Gibraltar GI Grenada GD Greenland GL Guam GU Denmark DK Western Sahara EH Dominica DM Dominican Republic DO Egypt EG Ethiopia ET Ecuador EC Equatorial Guinea GQ Iraq IQ Eritrea ER Spain ES Estonia EE Vanuatu VU Holy See VA Venezuela VE Vietnam VN Virgin Islands (U.S.) VI Virgin Islands (British) VG

Zambia ZM
Zimbabwe ZW
Turkey TR
Turkmenistan TM
Jamaica JM
Japan JP
Yemen YE
India IN
Indonesia ID
Jordan JO
Iran (Islamic Republic of) IR
Ireland IE
Iceland IS
Israel IL
Italy IT
Cabo Verde CV
Cayman Islands KY
Cambodia KH
Cameroon CM
Canada CA
Bonaire, Sint Eustatius and Saba BQ
Kenya KE
Cyprus CY
Kiribati KI
Colombia CO
Comoros KM
Congo CG
Congo (the Democratic Republic of the) CD
Korea (the Republic of) KR
Korea (the Democratic People's Republic of) KP Costa Rica CR Côte d'Ivoire CI Cuba CU Cook Islands CK Curaçao CW Lao People's Democratic Republic LA Latvia LV Lesotho LS Lebanon LB Liberia LR Libya LY Lithuania LT Liechtenstein LI Luxembourg LU Madagascar MG Mauritius MU Mauritania MR Macao MO Macedonia MK Malawi MW Malaysia MY Maldives MV Mali ML Malta MT Morocco MA Martinique MQ Marshall Islands MH Mayotte YT Isle of Man IM Mexico MX Myanmar MM

Micronesia (Federated States of) FM
Mozambique MZ
Moldova MD
Monaco MC
Montserrat MS
Montenegro ME
Mongolia MN
Namibia NA
Nauru NR
Nepal NP
Niger NE
Nigeria NG
Netherlands NL
Nicaragua NI
Niue NU
Norway NO
Norfolk Island NF
Oman OM
Pakistan PK
Palau PW
Palestine PS
Panama PA
Papua New Guinea PG
Paraguay PY
Peru PE
Pitcairn PN
Poland PL
Portugal PT
Puerto Rico PR
Réunion RE
Rwanda RW
Romania RO
Russian Federation RU
Greece GR
El Salvador SV
Samoa WS
South Africa ZA
South Sudan SS
South Georgia and the South Sandwich Islands
GS
San Marino SM
Saudi Arabia SA
Sao Tome and Principe ST
France FR
French Guiana GF
French Polynesia PF
French Southern Territories TF
Seychelles SC
Saint Barthélemy BL
Senegal SN
Saint Martin (French part) MF
Saint Helena SH
Saint Vincent and the Grenadines VC
Saint Kitts and Nevis KN
Saint Lucia LC
Saint Pierre and Miquelon PM
Serbia RS
Eswatini SZ
Svalbard and Jan Mayen SJ
Sierra Leone SL
Singapore SG

Sint Maarten (Dutch part) SX
Syrian Arab Republic SY
Slovakia SK
Slovenia SI
Solomon Islands SB
Somalia SO
Armenia AM
Sudan SD
Suriname SR
Taiwan (Province of China) TW
Thailand TH
United Republic of Tanzania TZ
Tajikistan TJ
Turks and Caicos Islands TC
Timor-Leste TL
Togo TG
Tokelau TK
Tonga TO
Trinidad and Tobago TT
Tuvalu TV
Tunisia TN
Uganda UG
Uzbekistan UZ
Ukraine UA
Hungary HU
Wallis and Futuna WF
Uruguay UY
Faroe Islands FO
Philippines PH
Finland FI
Fiji FJ
Falkland Islands (Islas Malvinas) FK
Cocos (Keeling) Islands CC
Kuwait KW
Kazakhstan KZ
Qatar QA
Kyrgyzstan KG
United States Minor Outlying Islands
UM
Sweden SE
Switzerland CH
Christmas Island CX
Sri Lanka LK
Chad TD
Czechia CZ
Chile CL
China CN
Northern Mariana Islands MP
Central African Republic CF
Croatia HR
Jersey JE
Djibouti DJ
Haiti HT
Heard Island and McDonald Islands HM
Honduras HN
Hong Kong HK
Georgia GE
Stateless persons
Countries/territories, which are not separated out - -

List:
Form N13. Information about the state of implementation of the recommendations of the National Bank of Georgia Recommendation The term of performance established by the National Bank of Georgia Performance condition (Status) Conducted measures Performance date Form N14. Information on suspicious zones Zone lists Country codes Date of entry into the zone list Grounds for considering the zone suspicious

Form N15. Information about risk-bearing products

Product name

Product description
Money laundering and terrorist financing risk factors

Risk reduction measures

Product turn over
Annex N2. (27.06.2018 N122/04)
Offshore zones
Cyprus CY
United Arab Emirates AE
Ireland IE
Kuwait KW
Philippines PH

Lebanon LB
Switzerland CH
Oman OM
Malta MT
Malaysia MY
Luxembourg LU
Bahrain BH
Aruba AW
Maldives MV
Macao MO
Uruguay UY
Morocco MA
Jamaica JM
Curaçao CW
Tuvalu TV
Chile CL
Fiji FJ
Hing Kong HK
Nicaragua NI
Costa Rica CR
Nauru NR
Botswana BW
Angola AO
Andora AD
Barbados BB
Bahamas BS
Belize BZ
Bermuda BM
Brunei Darussalam BN
Guernsey GG
Guatemala GT
Gibraltar GI
Grenada GD
Virgin Islands (U.S.) VI
Virgin Islands (British) VG
Cook Islands CK
Liechtenstein LI
Mauritius MU
Marshall Islands MH
Isle of Man IM
Micronesia (Federated States of) FM
Monaco MC
Montserrat MS
Niue NU
Palau PW
Panama PA
Puerto Rico PR
Samoa WS
French Polynesia PF
Saint Lucia LC
Sint Maarten (Dutch part) SX
Jersey JE
Djibouti DJ