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加拿大反洗钱举措大多未奏效  

2015-09-27 20:43:57|  分类: 反洗钱舆情监测 |  标签: |举报 |字号 订阅

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加拿大反洗钱举措大多未奏效
2015-08-10 道琼斯风险合规

http://mp.weixin.qq.com/s?__biz=MjM5NjgyMDg4OQ==&mid=207144304&idx=1&sn=e0b32e337b69f82e7514e2fbf7472fdc&scene=1&srcid=7F3Z3QxAAuCubmMM3ixR&key=dffc561732c226514c5532ef7c2c25dbb6a0774b8e9fa3c16a9968c071aa62e4ce8ca6432537e435de4dc49f5eed4d57&ascene=1&uin=MTgyMDEyNzgwNQ%3D%3D&devicetype=Windows+7&version=6102002a&pass_ticket=0fBjXamtX%2FSuNGQ3%2Boyy3xx%2BUagy2LvErCMlQt93ZcpEiclPsYNzoNmp2mOetsr3


 

《华尔街日报》(The Wall Street Journal)得到的一份文件显示,加拿大金融机构监管署(Office of the Superintendent of Financial Institutions, 简称OSFI)发现,针对该国银行实施的反洗钱控制措施在很多情况下都未能奏效。
依据加拿大《信息公开法》(Access to Information Act)公布的一份OSFI文件显示,该监管机构2009-2014年的记录显示,针对该国银行开展的反洗钱控制共失有72次未能奏效。
为了避免透露涉事银行的名称,这份文件经过了大幅修改。诸如控制措施未能奏效的日期及具体情况等其他细节也未包含在该文件内。是否有银行因这些事件而受过处罚也不清楚。
加拿大金融机构监管署拒绝透露更多细节,称法律规定要对这类信息保密。


By Rita Trichur and Alistair MacDonald
版权所有(c)2015道琼斯公司


英文原文:


Canadian Banks’ Money-Laundering Controls Failed
Canada’s top banking regulator has found that money-laundering controls at the country’s banks failed on numerous occasions, according to a document obtained by The Wall Street Journal.
Between 2009 and 2014, the Office of the Superintendent of Financial Institutions logged 72 failures of anti-money-laundering controls at the country’s banks, according to an OSFI document released under the Canadian Access to Information Act.
The document was heavily redacted to exclude the names of the banks. Other details, such as the dates of the failures and specifics about those instances, weren’t included. It also isn’t clear whether any of the banks ever faced penalties related to the episodes.
OSFI declined to disclose any further details, saying it is required by law to keep such information confidential.
“We have identified issues related to financial institutions’ ability to identify high-risk customers, apply enhanced scrutiny to them and their activities, and provide effective auditing of their programs,” said spokesman Colin Palmer in an emailed statement.
Canada has been facing growing pressure to step up efforts to fight money laundering, in line with efforts of regulators and law-enforcement agencies globally. In 2013, the U.S. State Department named Canada and the U.S. as countries of “primary concern” when it comes to money laundering, highlighting currency transactions at financial institutions involving large sums of money from international narcotics trafficking as being problematic.
Concerns also remain about banks within the country. Canada’s Department of Finance last month rated the vulnerabilities of deposit-taking institutions as “high to very high” in a report.
“Deposit-taking financial institutions are well known to be used for the placement and layering stages of money laundering,” the report said. In addition to the use of bank accounts, wire transfers, foreign-currency exchanges, money launderers also conduct crimes through trust accounts, said the report, which was entitled “Assessment of Inherent Risks of Money Laundering and Terrorist Financing in Canada 2015.”
As regulators demand greater rigor on the part of banks against such activities, many banks, including HSBC Holdings PLC and Standard Chartered PLC, are pulling out of wealth-management businesses in some emerging markets where the risk of regulatory action is viewed as outweighing the opportunity.
Canada’s biggest bank, Royal Bank of Canada, moved to close down its Latin American and Caribbean wealth-management operation late last year. The bank made that decision, the Journal reported, after a string of investigations in different countries and a 2013 warning from a U.S. regulator that RBC’s anti-money-laundering controls were unsatisfactory.
RBC has said it works within the legal and regulatory framework of every country in which it operates.
“We have extensive controls in place and uphold principles, policies and procedures to ensure the integrity of our business and that we retain the trust of our clients. RBC has a strong record of global regulatory compliance, including” anti-money-laundering, a bank spokeswoman said in an email.
Ottawa has previously said it plans to strengthen the country’s anti-money-laundering regime. Proposed amendments include tougher due-diligence requirements for customers who are so-called politically exposed persons.
In the banking industry, a politically exposed person is a term that is generally used to describe someone who has held a public role such as in government. Although the term usually applies to current and former politicians and their relatives, it may also apply to people who head international organizations.
“The Government is committed to a strong and comprehensive regime that is at the forefront of the global fight against money laundering and terrorist financing. Canada’s regime ranks in the top tier internationally,” said a spokeswoman for the Department of Finance in an email.
By Rita Trichur and Alistair MacDonald


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