STATSADVOKATEN FOR SÆRLIG

ØKONOMISK OG INTERNATIONAL

KRIMINALITET

KAMPMANNSGADE 1

1604 KØBENHAVN V

TELEFON 72 68 90 00 FAX 45 15 01 19

E-mail: [email protected] Web: www. anklagemyndigheden. dk Web: www. hvidvask. dk

Hvidvask XML

Ver. 4.0

Content 1. Summary ...... 4 2. Conventions used in this document ...... 5 3. Description of XML Nodes ...... 6

3.1 Node ”report” ...... 6 3.1.1 Subnode report _indicators ...... 8 3.2 Node transaction ...... 9

3.3 Node Activity ...... 12 3.4.1 Node t_from_my_client...... 13 3.4.2 Node t_from ...... 15

3.5.1 Node t_to_my_client ...... 16 3.5.2 Node t_to ...... 17 3.6 Subnode goods_services ...... 18

4. Description of Common Types used in the Schema...... 20 4.1.1 Type t_account_my_client ...... 20 4.1.2 Type t_account ...... 23

4.2.1 Type t_entity_my_client ...... 26 4.2.2 Type t_entity...... 29 4.3.1 Type t_person_my_client ...... 32

4.3.2 Type t_person ...... 35 4.4 Type t_address ...... 38 4.5 Type t_phone ...... 39

4.6 Type t_foreign_currency ...... 40 4.7 Type t_person_identification ...... 41 4.8 Type t_party ...... 42

4.9 Type report_party_type ...... 44 5. Enumeration ...... 45 5.1 Submission type ...... 45

5.2 Funds type ...... 45 5.3 Account type...... 45

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5.4 Account status type ...... 46 5.5 Identifier type ...... 46 5.6 Conduction Type ...... 46

5.7 Transaction Item Status ...... 46 5.8 Report Code ...... 47 5.9 Contact Type ...... 47

5.10 Communication Type ...... 47 5.11 Entity Legal Form Type ...... 48 5.12 Transaction Item Type ...... 48

5.13 ...... 48 5.14 Country Codes ...... 54 5.15 Account Person Role ...... 61

5.16 Entity Person Role ...... 61 5.17 Party Role ...... 61 5.18 Report Indicators ...... 62

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1. Summary

The purpose of this specifications document is to provide both the reporting entities and reporting per- sons with the requirements and conditions for creating compatible XML files using the provided XML- Schema for the different supported report types.

A report file contains the following information which can be represented in the goAML Client after uploading and verifying the XML file.

Basic information about the report. Where does the money come from. Who conducted the transaction. Where does the money go to. Was the transaction related to a property transfer Who reported the transaction(s) (Optional) What was the reason for the report and which actions have been taken (Optional) In multi-party transactions, list of all involved parties and their respective roles in the transac- tions.

An XML report is linked to one Reporting Entity but may contain multiple transactions. An uploaded report can be from ONE report type.

This document will provide a reference to the schema, nodes and types as well as the lookup tables for enumeration values. (e.g. Country Codes)

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2. Conventions used in this document

The following conventions are used in this document:

Required field

Required, 1 to N values

Optional field

Optional sub node

Required sub node

Optional, but one of the two nodes should be

provided

Integer A 32 bit value A date and time value in the following format: Date time YYYY-MM-DDTHH:MM:SS

Sequence to sub nodes

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3. Description of XML Nodes 3.1 Node ”report” Basic information about Reporting Entity, reporting date and type of report. It can contain multiple transactions.

Figure 1: Overview node report

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Name Description Length Req. Example rentity_id Reporting Entity Integer Y The number is provided number defined by >= 1 by the FIU on request. FIU rentity_branch Branch of current re- 255 N Hvidovre porting entity. submission_code Type of submission Enumeration Y See 5.1 Submission type report_code Type of transaction Enumeration Y (STR/CTR) entity_reference Optional reference to 255 N STR Rep 392 the report, used by reporting entity fiu_ref_number Optional ref. number 255 N to be used as com- munication channel between the FIU and the Reporting Entity submission_date Submission date and Datetime Y 2006-03-25T11:55:00 time cur- Local code Fixed value Y DKK rency_code_local “DKK” “DKK” reporting_person Full details of the re- Type N port‟s reporting per- “t_person” son Location Describes location of Type N the reported report “t_address” reason Why the report was 4000 N reported action Describes action re- 4000 N lated to the report transaction Transaction informa- type See 3.2 node ”transac- tion transaction Y tion” activity Involved subjects type (one of See 3.3 Node activity and items list linked activity them) directly to report. report_indicators List of indicators for Type “indi- 0..many See 3.11 subnode re- the current reports cator” port_indicators Table 1: Details node report

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3.1.1 Subnode report _indicators

Figure 2: Overview subnode report_indicators

Name Description Length Req. Example indicator Some classification for Enumeration Y See 5.18 Report Indicators the report Table 2: Details subnode report_indicators

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3.2 Node transaction

Figure 3: Overview node transaction

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Name Description Length/ Req. Example Format transactionnum- Unique transaction 50 Y 20084711 ber number Inter- Reporting Entity in- 50 N BRNCH01_0001 nal_ref_number ternal transaction reference number transac- Branch/Location 255 N Branch 001 tion_location where the transaction took place transac- Free text field to de- 4000 N tion_description scribe the purpose of the transaction or reference text date_transaction Date and time of the DateTime Y 2006-03-25T11:55:00 transaction teller Who conducted the 50 N ID88933345 transaction authorized Who authorized the 20 N ID00033345 transaction late_deposit Late deposit indica- Boolean N True tor date_posting Date of posting (if DateTime N 2006-03-24T19:55:00 different from date of transaction) value_date Value date DateTime N 2006-03-27T00:00:00 transmode_code How the transaction Enumeration Y See 5.6 Conduction Type was conducted trans- Description if trans- 50 N - mode_comment mode_code is “O” (Other) amount_local The value of the Decimal Y 15899.56 transaction in local currency Transaction could be either a bi-party transaction with clear From and To sides, or a multi-party transaction with unlimited list of subjects (Persons, Accounts and Entities) where each has a role in the transaction rather than a clear from or to side. Bi-party t_from_my_ Specifies where the Subnode Y See t_from_my_client client money came from

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t_from Specifies where the Subnode Y See t_from money came from t_to_my_ Specifies where the Subnode Y See t_to_my_client client money went. t_to Specifies where the Subnode Y See t_to money went. Multi-party party Describes the in- Type Y See t_party volved party details “t_party” goods_services The goods/services Subnode N See goods_services linked to the transac- goods_ tion services comments Generic comments 4000 N field Table 3: Details node transction

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3.3 Node Activity Reports can include an activity node to represent an event where a list of subjects and goods are related directly to the report without the need of a transaction.

Figure 4: Overview node activity

Name Description Length/format Req. Example report_parties Represents a collection of Y involved subjects an in- volved subject with it‟s de- tails report_party Represents a single in- Type re- Y See re- volved subject with its de- port_party_type port_party_ty tails. At least one party pe should be included. goods_service The standard Subnode N See goods_services node avail- goods_services goods_servic able in previous schemas es

Table 4: Details node activity

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3.4.1 Node t_from_my_client

This node should be provided if the source side of the transaction is a client of the reporting entity. Source of the transaction. Can be either a person, an account or an entity.

Figure 5: Overview node t_from_my_client

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Name Description Length/format Req. Example from_funds_code Type of funds used Enumeration Y See 5.2 Funds Type in initiating transac- tion from_foreign_curre If the transaction is type N See ncy conducted in foreign t_foreign_currency t_foreign_currency currency, then spec- ify the foreign cur- rency details. t_conductor The person perform- type N See ing the transaction. t_person_my_client t_person_my_client from_account Subnode that holds type See account information t_account_my_clie t_account_my_client nt Y from_person Subnode that holds Type See (one of “from person” in- t_person_my_client t_person_my_client them formation. only) from_entity Subnode that holds Type See “from entity” infor- t_entity_my_client t_entity_my_client mation. from_country Country where trans- Enumeration Y See 5.14 Country action was initiated. Codes Table 5: Details node t_from_my_client

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3.4.2 Node t_from

Figure 6: Overview node t_from

Name Description Length/format Req. Example from_funds_code Type of funds used Enumeration Y See 5.2 Funds Type in initiating transac- tion from_foreign_curre If the transaction is type N See ncy conducted in foreign t_foreign_currency t_foreign_currency currency, then spec- ify the foreign cur- rency details. t_conductor The person perform- type N See ing the transaction. t_person t_person from_account Subnode that holds type t_account See account information t_account Y from_person Subnode that holds Type t_person See (one “from person” in- t_person of formation. them from_entity Subnode that holds Type t_entity See only) “from entity” infor- t_entity mation. from_country Country where trans- Enumeration Y See 5.14 Country action was initiated. Codes Table 6: Details node t_from

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3.5.1 Node t_to_my_client

Figure 7: node t_to_my_client

Name Description Length/format Req. Example to_funds_code Type of funds used Enumeration Y See 5.2 Funds Type in initiating transac- tion to_foreign_currenc If the transaction is type N See y conducted in foreign t_foreign_currency t_foreign_currency currency, then spec- ify the foreign cur- rency details. to_account Subnode that holds type See account information t_account_my_clie t_account_my_client nt Y to_person Subnode that holds Type See (one of “to person” informa- t_person_my_client t_person_my_client them tion. only) to_entity Subnode that holds Type See “to entity” informa- t_entity_my_client t_entity_my_client tion. to_country Target country of the Enumeration Y See 5.14 Country transaction. Codes Table 7: Details node t_to_my_client

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3.5.2 Node t_to

Figure 8: Overview node t_to

Name Description Length/format Req. Example to_funds_code Type of funds used Enumeration Y See 5.2 Funds Type in initiating transac- tion to_foreign_currenc If the transaction is type N See y conducted in foreign t_foreign_currency t_foreign_currency currency, then spec- ify the foreign cur- rency details. to_account Subnode that holds type t_account See account information t_person to_person Subnode that holds Type t_person Y See “to person” informa- (one of t_account tion. them to_entity Subnode that holds Type t_entity only) See “to entity” informa- t_person tion. to_country Target country of the Enumeration Y See transaction. t_entity See 5.14 Country Codes Table 8: Details node t_to

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3.6 Subnode goods_services

Figure 9: Overview subnode goods_services

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Name Description Length/format Req. Example item_type Lookup code de- Enumeration Y See 5.12 Transaction scribes the item type Item Type item_make Item Maker 255 N In case of Car for exam- ple, BMW description Text 4000 N Apartment building previ- Name of previous 500 John Smith N ously_registered_t owner o pres- Name of current 500 N Jane Smith ently_registered_to owner estimated_value Estimated value of Decimal 250000.00 N the property status_code Status code Enumeration See 5.7 Transaction N Item Status status_comments Status Comments 500 N disposed_value effective value for Decimal 500000.00 N property transfer currency_code used to report service Enumeration N See 5.13 Currencies conducted in foreign currency size Size of the property – Decimal 150.00 N in unit specified in node size_uom size_uom Unit of measurement 250 Square meters N address Address of the prop- type t_address See t_address N erty registration_date Official registration Date Time 2001-12-17T09:30:47 N date registra- Official registration 500 Car VIN Number N tion_number number identifica- Any number that can 255 Car Plate Number N tion_number identify the item Table 9: Details subnode goods_services

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4. Description of Common Types used in the Schema 4.1.1 Type t_account_my_client

Figure 10: Overview type t_account_my_client

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Name Description Length/format Req. Example institution_name The name of the in- 255 Bank of … stitution Y institution_code Institution code 50 Danish bank registra- Y tion no. swift SWIFT code accord- 11 (one of ing to ISO 9362 them) non_banking_instit A flag to cover cases Boolean Investment company N ution where the account belongs to non- banking institution Branch Branch code or name 255 ABX12 N account Account number 50 Y 31032027088 currency_code Currency the account Enumeration N See 5.13 Currencies is kept in account_name This is a free text 255 N Private savings ac- field used to “Label” count the account, for ex- ample a saving book account with ano- nymous owner, or an Entity account dedi- cated to Invoices, etc. iban IBAN 34 N DK60101001234567 8901 client_number Client number 30 N 31032027088 personal_account_ Account Type Enumeration N See 5.3 Account type Type t_entity If Business account Type t_entity_ N See my_client t_entity_my_client signatory Person(s) with access Subnode (can re- N to the account. peated to specify multiple signato- ries. type t_person_my_clie nt is_primary Identifies the primary fixed = 1 N account holder. Only

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one signatory may be Has to be „true‟ marked as when node is set. is_primary. t_person Subnode holding de- type See tailed information t_person_my_clie t_person_my_client Y about the signatory. nt (only if Mandatory for signa- signa- tories in the XML tory is report. re- role the role of current Enumeration See 5.15 Account ported) signatory with the Person Role account. report. opened Date account opened Date Time N 2003-01- 25T00:00:00 closed Date account closed Date Time N 2006-03- 25T00:00:00 balance The account balance Decimal N 5000.50 after the transaction was conducted. date_balance A date to specify the Date N* Mandatory if the bal- date of the reported ance is reported balance. status_code Account status when Enumeration N See 5.4 Account transaction was initi- Status ated beneficiary Ultimate beneficiary 50 N Ella Machera of the account beneficiary_ Any special remark 255 N comment on the beneficiary comments Generic comments 4000 N elements Table 10: Details type t_account_my_client

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4.1.2 Type t_account

Figure 11: Overview type t_account

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Name Description Length/format Req. Example Institution_name The name of the in- 255 Bank of … stitution N institution_code Institution code 50 Danish bank registra- Y tion no. swift SWIFT code accord- 11 (one of ing to ISO 9362 them) Non_banking_insti A flag to cover cases Boolean Investment company N tution where the account belongs to non- banking institution Branch Branch code or name 255 ABX12 N account Account number 50 Y 31032027088 currency_code Currency the account Enumeration N See 5.13 Currencies is kept in account_name This is a free text 255 N Private savings ac- field used to “Label” count the account; for ex- ample a saving book account with ano- nymous owner, or an Entity account dedi- cated to Invoices, etc. iban IBAN 34 N DK60101001234567 8901 client_number Client number 30 N 31032027088 personal_account_ Account Type Enumeration N See 5.3 Account type Type t_entity If Business account type N See t_entity t_entity signatory Person(s) with access Subnode (can re- N to the account. peated to specify multiple signato- ries. type t_person_my_clie nt is_primary Identifies the primary fixed = 1 N account holder. Only

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one signatory may be Has to be „true‟ marked as when node is set. is_primary. t_person Subnode holding de- type See t_person tailed information t_person about the signatory. Y Mandatory for signa- (only if tories in the XML signa- report. tory is role the role of current Enumeration re- See 5.15 Account signatory with the ported) Person Role account. report. opened Date account opened DateTime N 2003-01- 25T00:00:00 closed Date account closed DateTime N 2006-03- 25T00:00:00 balance The account balance Decimal N 5000.50 after the transaction was conducted. date_balance A date to specify the Date N* Mandatory if the bal- date of the reported ance is reported balance. status_code Account status when Enumeration N See 5.4 Account transaction was initi- Status ated beneficiary Ultimate beneficiary 50 N Ella Machera of the account beneficiary_ Any special remark 255 N comment on the beneficiary comments Generic comments 4000 N elements Table 11:Details type t_account

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4.2.1 Type t_entity_my_client

Figure 12: Overview type t_entity_my_client

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Name Description Length/format Req. Example Name Name of Entity 255 Y DoeComp

Commercial_name The “traded as” 255 N name of the entity Incorporation_ The legal form of the Enumeration N See 5.11 Entity Legal legal_form entity Form Type incorporation_ The registration 50 N number number of the en- tity/"company". business Business area of the 255 N Free text describing entity business e.g. IT Ser- vices,Imports, Export etc. Phones A Holder node for a N 1..many Phones Phone One occurrence of Type “t_phone” N See t_phone phone node Addresses A Holder node for a Y 1..many Addresses Address One occurrence of Type “t_address” Y See t_address address node Email Email address email_address (255) N [email protected] url Entity web address 255 N www.entity.com incorporation_state Name of the State 255 N - incorporation_ Country Enumeration Y See 5.14 Country country_code Codes director_id Individuals author- type N See ized t_person_my_client t_person_my_client (Subnode can be re- peated for multiple persons) Role to describe the role Enumeration N See 5.16 Entity Per- of the subject in the son Role entity. incorporation_date Incorporation regis- Date N tration date business_closed Boolean to indicate if Boolean N

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the company is closed down date_business_ If entity is closed Date N closed then specify close date if any. tax_number The entity tax num- 100 N ber tax_registeration_ Registration number 100 N number of the entity by the Tax auth. Comments Generic comments 4000 N field Table 12: Details type t_entity_my_client

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4.2.2 Type t_entity

Figure 13: Overview type t_entity Page 29 of 63

Name Description Length/format Req. Example Name Name of Entity 255 Y DoeComp

Commercial_name The “traded as” 255 N name of the entity Incorporation_ The legal form of the Type “legal_ N Ltd., GmbH, legal_form entity form_type” incorporation_ The registration 50 N number number of the en- tity/"company". business Business area of the 255 N Free text describing entity business e.g. IT Ser- vices,Imports, Export etc. phones A Holder node for a N 1..many Phones phone One occurrence of Type “t_phone” N See t_phone phone node addresses A Holder node for a N 1..many Addresses address One occurrence of Type “t_address” N See t_address address node email Email address email_address (255) N [email protected] url Entity web address 255 N www.entity.com incorporation_state Name of the State 255 N - incorporation_ Country Enumeration N See 5.14 Country country_code Codes director_id Individuals author- type t_person N See t_person ized (Subnode can be re- peated for multiple persons) role to describe the role type entity_ N See 5.16 Entity Per- of the subject in the person_role_type son Role entity. incorporation_date Incorporation regis- Date N tration date business_closed Boolean to indicate if Boolean N the company is

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closed down date_business_ If entity is closed Date N closed then specify close date if any. tax_number The entity tax num- 100 N ber tax_registeration_ The registration 100 N number number of the entity by the Tax authori- ties comments Generic comments 4000 N field Table 13: Details type t_entity

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4.3.1 Type t_person_my_client The structure of this type is similar to that of type t_person, with some added restrictions i.e. some nodes which are not mandatory in t_person may be mandatory in t_person_my_client These restrictions are defined by the local FIU

Figure 14: Overview type t_person_my_client

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Name Description Length/format Req. Example gender Gender Enumeration N M or F title Title 30 N Dr. first_name First name 100 Y Elyas middle_name Middle name 100 N X. prefix Prefix name 100 N Van, Von,… last_name Last name 100 Y Machera birthdate Birth date DateTime Y 1953-01- 25T00:00:00 birth_place Place of birth 255 N Vienna mothers_name In Denmark this field 100 N can be used for for- mer name alias Alias Name, Known 100 N as, ..etc ssn Danish CPR no. 10 N 10 numbers, without ”-”. passport_number Passport No. 25 N Passport number passport_country Passport issue coun- 25 N Passport country try (Can be reported on- ly when there is a passport number) id_ number Any additional iden- 25 N Additional identifica- tification number ra- tion number ther then CPR and passport nationality1 Country of National- Enumeration N See 5.14 Country ity (1) Codes nationality2 Country of National- Enumeration N See 5.14 Country ity (2) Codes nationality3 Country of National- Enumeration N See 5.14 Country ity (3) Codes residence Country of residence Enumeration N See 5.14 Country Codes phones A Holder node for a N 1..many Phones phone One occurrence of Type “t_phone” N See t_phone phone node

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addresses A Holder node for a Y 1..many Addresses address One occurrence of Type t_address Y See t_address address node email Email address Type email_address N [email protected] (255) occupation Occupation 255 N Financial Analyst employer_name Employer‟s name 255 N FIU employer_ Employer‟s address type t_address N See t_address address_id employer_ Employer‟s phone type t_phone N See t_phone phone_id identification Subnode(s) for iden- type N See tification documents t_person_identificati t_person_identificati on on (This subnode can be repeated to specify multiple identifica- tion documents) deceased A Boolean to indi- Boolean N cated if person has passed away deceased_date If deceased, then RE Date N can report deceased date if known as well tax_number The person tax num- 100 N ber tax_reg_number The person tax reg. 100 N number by tax auth. source_of_wealth Free text description 255 N of the person source of wealth comments Generic comments 4000 N field Table 14: Details type t_person_my_client

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4.3.2 Type t_person

Table 15: Details type t_person

Figure 15: Overview type t_person

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Name Description Length/format Req. Example gender Gender Enumeration N M or F title Title 30 N Dr. first_name First name 100 Y Elyas middle_name Middle name 100 N X. prefix Prefix name 100 N Van, Von,… last_name Last name 100 Y Machera birthdate Birth date DateTime N 1953-01- 25T00:00:00 birth_place Place of birth 255 N Vienna mothers_name In Denmark this field 100 N can be used for for- mer name alias Alias Name, Known 100 N as, ..etc ssn Danish CPR no. 10 N 10 numbers, without ”-”. passport_number Passport No. 25 N Passport num to be used as unification rule passport_country Passport issue coun- 25 N try (Can be reported on- ly when there is a passport number) id_ number Any additional iden- 25 N Additional identifica- tification number ra- tion number ther then CPR and passport nationality1 Country of National- Enumeration N See 5.14 Country ity (1) Codes nationality2 Country of National- Enumeration N See 5.14 Country ity (2) Codes nationality3 Country of National- Enumeration N See 5.14 Country ity (3) Codes residence Country of residence Enumeration N See 5.14 Country Codes phones A Holder node for a N 1..many Phones phone One occurrence of Type “t_phone” N See t_phone

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phone node addresses A Holder node for a N 1..many Addresses address One occurrence of Type t_address N See t_address address node email Email address Type email_address N [email protected] (255) occupation Occupation 255 N Financial Analyst employer_name Employer‟s name 255 N FIU employer_ Employer‟s address type t_address N See t_address address_id employer_ Employer‟s phone type t_phone N See t_phone phone_id identification Subnode(s) for iden- type N See tification documents t_person_identificati t_person_identificati on on (This subnode can be repeated to specify multiple identifica- tion documents) tax_number The person tax num- 100 N ber tax_reg_number The person tax reg. 100 N number by tax auth. source_of_wealth Free text description 255 N of the person source of wealth comments Generic comments 4000 N field Table 15: Details type t_person

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4.4 Type t_address

Figure 16: Overview type t_address

Name Description Length/format Req. Example address_type The contact type of Enumeration Y See 5.9 Contact Type the address address Street name and 100 Y - house number town Name of 255 N Town/district/.. as part of a City city City 255 Y - zip Zip Code 10 N A-1220 country_code Country Enumeration Y See 5.14 Country Codes state State 255 N

Table 16: Details type t_address

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4.5 Type t_phone

Figure 17: Overview type t_phone

Name Description Length/format Req. Example tph_contact_type The contact type of Enumeration Y See 5.9 Contact Type the Phone tph_communicatio The comm.. type of Enumeration N See 5.10 Communi- n_type the Phone cation Type tph_country_prefix Country phone code 4 N 0043 tph_number Phone number 50 6655778 Y tph_extension Phone‟s extension 10 N 7789

Table 17: Details type t_phhone

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4.6 Type t_foreign_currency

Figure 18: Overview type t_foreign_currency

Name Description Length/format Req. Example foreign_currency_code Currency Code ac- Enumeration Y See 5.13 Currencies cording to ISO 4217 foreign_amount Transaction amount Decimal Y 1300.50 in foreign currency foreign_exchange_rate Exchange rate which Decimal Y 1.45 has been used for transaction Table 18: Details type t_foreign_currency

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4.7 Type t_person_identification

Figure 19: Overview type t_person_identification

Name Description Length/format Req. Example type Document type Enumeration Y See 5.1 Identifier Type number ID of the identifica- 255 AT08154711 Y tion document issue_date Identification docu- DateTime N 2001-12- ment issue date 17T09:30:47 expiry_date Identification docu- DateTime N 2012-01- ment expiry date 01T00:00:00 issued_by Name of Authority 255 N Interior Ministry New in Schema 3.1 issued the document issue_country Country where the Enumeration Y See 5.14 Country document was issued Codes Table 19: Details type t_person_identification

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4.8 Type t_party

Figure 20: Overview type report_party_type

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Name Description Length/format Req. Example role Subject role in the Enumeration Y Buyer, Seller,.. transaction Person Involved Person Type “t_person” See t_person person_my_client Involved Person Type See “t_person_my_c t_person_my_client lient” account Involved Account Type Y See t_account “t_account” (one account_my_client Involved Account Type “t_ ac- of See count_my_client them) t_account_my_client ” entity Involved Entity Type “t_ entity” See t_entity entity_my_client Involved Entity Type “t_ enti- See ty_my_client” t_entity_my_client funds_code Type of funds used Enumeration N See 5.2 Funds Type in initiating transac- tion funds_comment Description, if 255 N - funds_code is “O” (Other). foreign_currency If the transaction is type N See conducted in foreign t_foreign_ t_foreign_currency currency, then speci- currency fy the foreign cur- rency details. country Country of the trans- Enumeration Y See 5.14 Country action Codes significance The significance of Integer N 0 - 10 the subject in the re- port comments Generic comments 4000 N element Table 20: Details type report_party_type

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4.9 Type report_party_type

Figure 21: Overview type report_party_type

Name Description Length/format Req. Example person Represents an in- t_person type See t_person volved person node Y account Represents an in- t_account type (one of See t_account volved account them entity Represents an in- t_entity type only) See t_entity volved entity significance The significance of Integer N 0 - 10 the subject in the re- port reason Why the subject is 4000 N involved in the cur- rent report comments Generic comments 4000 N element Table 21: Details type report_party_type

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5. Enumeration 5.1 Submission type

Value Description E Electronically M Manually Table 22: submission type

5.2 Funds type

Value Description A Account B Pension Agreement C Insurance Policy D Casino Chips E Credit or Debit Card J Securities K Cash I Real estate J Securities K Cash O Other P Cheque Table 23: Funds type

5.3 Account type

Value Description A Business B Personal C Savings D Trust Account E Society F Investment Account G Payment Card O Other Table 24: Account type

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5.4 Account status type

Value Description A Active B Inactive C Dormant D Closed Table 25: Account status type

5.5 Identifier type

Value Description A Driver's license B National Identity Card C Passport D Residence Permit O Other Table 26: Identifier type

5.6 Conduction Type

Value Description A Payment, withdrawal or deposit D Courier (not used by reporting entities, only stakeholders) F Currency Exchange H Transfer O Other X Rejected or Not Processed Transaction - Unknown Table 27: Conduction Type

5.7 Transaction Item Status

Value Description A Bought B Sold C Let

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D Hired E Exchanged F Donated G Destroyed H Other - Unknown Table 28: Transaction Item Status

5.8 Report Code

Value Description STR Suspicious Transaction Report SAR Suspicious Activity Report TFR Terror Financing Report AIF Additional Information File – Can be used for example to get full disclosure of transac- tions of an account for a period of time. Table 29: Report Code

5.9 Contact Type

Value Description A Private B Business O Other - Unknown Table 30: Contact Type

5.10 Communication Type

Value Description A Other F Fax L Landline Phone M Mobile Phone P Pager S IP-phone

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- Unknown Table 31: Communication Type

5.11 Entity Legal Form Type

Value Description A Limited (e.g. ApS and A/S) B Personal (e.g. “enkeltmandsvirksomhed”) C Combination (e.g. P/S and K/S) D Society E Trust F Branch of Foreign Company O Other - Unknown Table 31: Contact Type

5.12 Transaction Item Type

Value Description A Airplane B Ship/boat C Art E Precious Stone F Furniture G Precious Metal J Jewellery P Property V Vehicle W Weapon O Other - Unknown Table 32: Transaction Item Type

5.13 Currencies World Currencies (and their abbreviations) listed by ISO 4217 ADP Andorran Peseta (no longer in use)

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AED United Arab Emirates Dirham AFA Afghani ALL Leek AMD Dram ANG Netherlands Antilles Guilder AOK Kwanza AON New Kwanza ARA Austral ARP Argentinean Peso ARS Argentinean Nuevo Peso ATS Schilling (no longer in use) AUD Australian Dollar AWG Aruban Guilder AZM Azerbaijani Manat BAM Convertible Mark BBD Barbados Dollar BDT Taka BEC Convertible Belgian (no longer in use) BEF (also known as Frank - no longer in use) BEL Financial Belgian Franc (no longer in use) BGL Lev BHD Bahraini BIF Burundi Franc BMD Bermudian Dollar BND Brunei Dollar BOB Boliviano BOP Bolivian Peso BRC Cruzeiro BRL Real BRR Cruzeiro Real BSD Bahamian Dollar BTN Ngultrum BUK Replaced by MMK BWP Pula BYR Belarussian Rouble BZD Belize Dollar CAD Canadian Dollar CDF CDZ New Zaïre CHF

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CLF Unidades de Fomento CLP Chilean Peso CNY Yuan Renminbi COP Colombian Peso CRC Costa Rican Colón CSK Koruna of former Czechoslovakia. Now replaced by CZK (Czech Koruna) and SKK (Slovak Koruna) CUP Cuban Peso CVE Escudo Caboverdiano CYP Cypriot Pound CZK Czech Koruna DDM Former East German Mark, DEM subsequently in use DEM (no longer in use) DJF Djibouti Franc DKK Danish Krone DOP Dominican Republic Peso DZD ECS Sucre (no longer in use) EEK Kroon EGP Egyptian Pound ERN Eritrean Nakfa ESA Spanish Peseta, Account A (no longer in use) ESB Spanish Peseta, Account B (no longer in use) ESP Spanish Peseta (no longer in use) ETB Ethiopian Birr EUR Euro FIM Markka (no longer in use) FJD Fiji Dollar FKP Falkland Pound FRF (no longer in use) GBP Pound Sterling (United Kingdom Pound) GEL Lari GHC Cedi GIP Gibraltar Pound GMD Dalasi GNS Syli (also known as Guinea Franc) GQE Ekwele GRD Greek Drachma (no longer in use) GTQ Quetzal GWP Guinea-Bissau Peso

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GYD Guyana Dollar HKD Hong Kong Dollar HNL Lempira HRD Croatian Dinar HRK HTG Gourde HUF Forint IDR Rupiah IEP Punt (no longer in use) ILS Shekel INR Indian Rupee IQD IRR ISK Icelandic Króna ITL (no longer in use) JMD Jamaican Dollar JOD JPY Yen KES Kenyan Shilling KGS Kyrgyzstani Som KHR Riel KMF KPW Democratic People's Republic of Korean Won KRW Republic of Korean Won KWD KYD Cayman Islands Dollar KZT Tenge LAK Kip LBP Lebanese Pound LKR Sri Lankan Rupee LRD Liberian Dollar LSL Loti LSM Maloti LTL Litas LUF (no longer in use) LVL Lats LYD MAD Moroccan Dirham MDL Moldavian Leu MGF

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MKD Macedonian Dinar MLF Malian Franc MMK Kyat MNT Tugrik MOP Pataca MRO Ouguiya MTL Maltese Lira MTP Maltese Pound, replaced by Maltese Lira MUR Mauritius Rupee MVR Rufiyaa MWK Malawian Kwacha MXN Mexican New Peso (replacement for Mexican Peso) MXP Mexican Peso, replaced by Mexican New Peso MYR Ringgit (also known as Malaysian Dollar) MZM Metical NAD Namibian Dollar NGN Naira NIC Córdoba NLG Dutch Guilder (no longer in use) NOK Norwegian Krone NPR Nepalese Rupee NZD New Zealand Dollar OMR Omani Rial PAB Balboa PEI Inti PEN New Sol PES Sol (replaced by New Sol [PEN]) PGK Kina PHP Philippines Peso PKR Pakistani Rupee PLN New Zloty PLZ Zloty (replaced by New Zloty [PLN]) PTE Portuguese Escudo (no longer in use) PYG Guarani QAR Qatari Riyal ROL Romanian Leu RSD RUB Russian Federation Rouble (formerly RUR) RWF SAR Saudi Riyal

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SBD Solomon Islands Dollar SCR Seychelles Rupee SDD SDP Sudanese Pound SEK Swedish Krona SGD Singapore Dollar SHP St Helena Pound SIT Tolar SKK Slovak Koruna SLL Leone SOS Somali Shilling SRG Surinam Guilder STD Dobra SUR Union of Soviet Socialist Republics Rouble SVC El Salvadorian Colón SYP Syrian Pound SZL Lilangeni THB Baht TJR Tajik Rouble TMM Turkmenistani Manat TND TOP Pa'anga TPE Timorian Escudo TRL Turkish Lira TTD Trinidad and Tobago Dollar TWD Taiwan Dollar TZS Tanzanian Shilling UAH Hryvna UAK Karbovanet UGS Ugandan Shilling UKP Incorrectly used for GBP USD United States Dollar USN United States Dollar (Next day) USS United States Dollar (Same day) UYP Uruguayan Peso, replaced by Uruguayan New Peso (UYU) UYU Uruguayan New Peso UZS Uzbekistani Som VEB Bolivar VND Viet Nam Dông VUV Vatu

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WST Tala XAF Franc de la Communauté financière africaine XAU Gold XBA European Composite Unit XBB European Monetary Unit XBC European Unit of Account 9 XBD European Unit of Account 17 XCD East Caribbean Dollar XDR International Monetary Fund Special Drawing Rights XEU ECU (not an official currency, replaced by the Euro) XOF West African Franc XPF Franc des Comptoirs français du Pacifique YDD South Yemeni Dinar YER Yemeni Riyal YUD Yugoslavian New Dinar (no longer in use) ZAL Rand (financial) ZAR Rand ZMK Zambian Kwacha ZRZ Replaced by CDZ ZWD Zimbabwe Dollar Table 33: Currency Codes

5.14 Country Codes This list states the country names (official short names in English) in alphabetical order as given in ISO 3166-1 and the corresponding ISO 3166-1-alpha-2 code elements. Value Description AD ANDORRA AE UNITED ARAB EMIRATES AF AFGHANISTAN AG ANTIGUA AND BARBUDA AI ANGUILLA AL ALBANIA AM ARMENIA AN NETHERLANDS ANTILLES AO ANGOLA

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AQ ANTARCTICA AR ARGENTINA AS AMERICAN SAMOA AT AUSTRIA AU AUSTRALIA AW ARUBA AX ÅLAND ISLANDS AZ AZERBAIJAN BA BB BARBADOS BD BANGLADESH BE BELGIUM BF BURKINA FASO BG BULGARIA BH BAHRAIN BI BURUNDI BJ BENIN BM BERMUDA BN BRUNEI DARUSSALAM BO BOLIVIA BR BRAZIL BS BAHAMAS BT BHUTAN BU BURMA BV BOUVET ISLAND BW BOTSWANA BY BELARUS BZ BELIZE CA CANADA CC COCOS (KEELING) ISLANDS CD CONGO, THE DEMOCRATIC REPUBLIC OF THE CF CENTRAL AFRICAN REPUBLIC CG CONGO CH SWITZERLAND CI COTE D'IVOIRE CK COOK ISLANDS CL CHILE CM CAMEROON CN CHINA CO COLOMBIA

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CR COSTA RICA CS AND CU CUBA CV CAPE VERDE CX CHRISTMAS ISLAND CY CYPRUS CZ CZECH REPUBLIC DE GERMANY DJ DJIBOUTI DK DENMARK DM DOMINICA DO DOMINICAN REPUBLIC DZ ALGERIA EC ECUADOR EE ESTONIA EG EGYPT EH WESTERN SAHARA ER ERITREA ES SPAIN ET ETHIOPIA FI FINLAND FJ FIJI FK FALKLAND ISLANDS (MALVINAS) FM MICRONESIA, FEDERATED STATES OF FO FAROE ISLANDS FR FRANCE GA GABON GB UNITED KINGDOM GD GRENADA GE GEORGIA GF FRENCH GUIANA GG GUERNSEY GH GHANA GI GIBRALTAR GL GREENLAND GM GAMBIA GN GUINEA GP GUADELOUPE GQ EQUATORIAL GUINEA GR GREECE

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GS SOUTH GEORGIA AND THE SOUTH SANDWICH ISLANDS GT GUATEMALA GU GUAM GW GUINEA-BISSAU GY GUYANA HK HONG KONG HM HEARD ISLAND AND MCDONALD ISLANDS HN HONDURAS HR HT HAITI HU HUNGARY ID INDONESIA IE IRELAND IL ISRAEL IM ISLE OF MAN IN INDIA IO BRITISH INDIAN OCEAN TERRITORY IQ IRAQ IR IRAN, ISLAMIC REPUBLIC OF IS ICELAND IT ITALY JE JERSEY JM JAMAICA JO JORDAN JP JAPAN KE KENYA KG KYRGYZSTAN KH CAMBODIA KI KIRIBATI KM COMOROS KN SAINT KITTS AND NEVIS KP KOREA, DEMOCRATIC PEOPLE'S REPUBLIC OF KR KOREA, REPUBLIC OF KS KW KUWAIT KY CAYMAN ISLANDS KZ KAZAKHSTAN LA LAO PEOPLE'S DEMOCRATIC REPUBLIC LB LEBANON LC SAINT LUCIA

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LI LIECHTENSTEIN LK SRI LANKA LR LIBERIA LS LESOTHO LT LITHUANIA LU LUXEMBOURG LV LATVIA LY LIBYAN ARAB JAMAHIRIYA MA MOROCCO MC MONACO MD MOLDOVA, REPUBLIC OF ME MONTENEGRO MG MADAGASCAR MH MARSHALL ISLANDS MK MACEDONIA ML MALI MM MYANMAR MN MONGOLIA MO MACAO MP NORTHERN MARIANA ISLANDS MQ MARTINIQUE MR MAURITANIA MS MONTSERRAT MT MALTA MU MAURITIUS MV MALDIVES MW MALAWI MX MEXICO MY MALAYSIA MZ MOZAMBIQUE NA NAMIBIA NC NEW CALEDONIA NE NIGER NF NORFOLK ISLAND NG NIGERIA NI NICARAGUA NL NETHERLANDS NO NORWAY NP NEPAL NR NAURU

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NU NIUE NZ NEW ZEALAND OM OMAN PA PANAMA PE PERU PF FRENCH POLYNESIA PG PAPUA NEW GUINEA PH PHILIPPINES PK PAKISTAN PL POLAND PM SAINT PIERRE AND MIQUELON PN PITCAIRN PR PUERTO RICO PS PALESTINIAN TERRITORY, OCCUPIED PT PORTUGAL PW PALAU PY PARAGUAY QA QATAR RE REUNION RO ROMANIA RS SERBIA RU RUSSIAN FEDERATION RW RWANDA SA SAUDI ARABIA SB SOLOMON ISLANDS SC SEYCHELLES SD SUDAN SE SWEDEN SG SINGAPORE SH SAINT HELENA SI SJ SVALBARD AND JAN MAYEN SK SLOVAKIA SL SIERRA LEONE SM SAN MARINO SN SENEGAL SO SOMALIA SR SURINAME ST SAO TOME AND PRINCIPE SV EL SALVADOR

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SY SYRIAN ARAB REPUBLIC SZ SWAZILAND TC TURKS AND CAICOS ISLANDS TD CHAD TF FRENCH SOUTHERN TERRITORIES TG TOGO TH THAILAND TJ TAJIKISTAN TK TOKELAU TL TIMOR-LESTE TM TURKMENISTAN TN TUNISIA TO TONGA TP EAST TIMOR TR TURKEY TT TRINIDAD AND TOBAGO TV TUVALU TW TAIWAN, PROVINCE OF CHINA TZ TANZANIA, UNITED REPUBLIC OF UA UKRAINE UG UGANDA UM UNITED STATES MINOR OUTLYING ISLANDS US UNITED STATES UY URUGUAY UZ UZBEKISTAN VA HOLY SEE (VATICAN CITY STATE) VC SAINT VINCENT AND THE GRENADINES VE VENEZUELA VG VIRGIN ISLANDS, BRITISH VI VIRGIN ISLANDS, U.S. VN VIET NAM VU VANUATU WF WALLIS AND FUTUNA WS SAMOA YE YEMEN YT MAYOTTE YU YUGOSLAVIA ZA SOUTH AFRICA ZM ZAMBIA ZR ZAIRE

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ZW ZIMBABWE Table 34: Country Codes

5.15 Account Person Role

Value Description - Unknown A Account Holder B Authorized Signatory C Beneficiary O Other Table 35: Account Person Role 5.16 Entity Person Role

Value Description - Unknown A Director B Board Member C Owner D Authorized Signatory O Other Table 36: Entity Person Role

5.17 Party Role

Value Description - Unknown / Other A Payer / Sender B Beneficiary / Receiver C Conductor Table 37: Entity Person Role

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5.18 Report Indicators

Value Description A. Customer related indicators A01 Customer hesitates to give information A02 Customer refuses to give information A03 Customer seems nervous A04 Customer is usually difficult to get in contact with Imprecise address and the informed address does not correspond with the address stated A05 in the National Register A06 Frequent change of telephone numbers and use of omitted telephone numbers Unusual/frequent change of commitments for instance change from major to minor A07 banks A08 A change over time in personal attitude and a sudden aversion to receive interests A09 Customer is accompanied by and/or instructed by a third party Representative of a company/association seems uncertain or without any commercial ex- A10 perience A11 A complex company structure which apparently serves no logical purpose A12 Company/association has no clear or logical purpose B. Transaction related indicators B01 Irrational activity for instance in terms of risks and costs B02 Unnecessary participation of several links in connection with a transaction B03 Intentional loss for either the benefit of another person or in deviation of market prices B04 Complex financial construction which apparently serves no logical purpose B05 Unusual transaction for the customer segment B06 Unusual transaction for the customer B07 Unusual transaction B08 Deviating payment pattern B09 Transfer of money to many receivers B10 Receive money from many remitters B11 Large amounts B12 Unusual deposit in a bank box Fixed transactions of small amounts to third party such as for instance an association B13 which is not immediately identifiable through open sources Several payments to travelling agencies or flying companies for purchase of tickets - of- B14 ten to companies in conflicted areas B15 Purchase of unusual items

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C. Account related indicators C01 Unusual turnover on the account C02 The account remains unused for several weeks or months The account is only used for depositing of wages/social benefits which are withdrawn C03 immediately or shortly after the deposit Fixed payment agreements are cancelled and the account may be overdrawn to an atypi- C04 cally large extent D. Cash related indicators D01 Unusual cash withdrawal D02 Unusual cash deposit D03 Many cash withdrawals D04 Many cash deposits D05 Several cash deposits during a short period of time in different branches of the same bank D06 Personal deposit of small cash amounts into the account of a third party D07 Cash deposits which do not correspond to the income and life style of the account holder D08 Amounts deposited in cash are quickly transferred to a third party D09 Significant cash exchange D10 Unusual currency exchange D11 Exchange into big notes including foreign currency D12 Money smuggling E. Insurance and pension related indicators E01 Unusual insurance policy/pension agreement E02 Unusual reason for the insurance/pension E03 Unusual termination of either an insurance or pension agreement F. Terrorism and sanction related indicators F01 Hit on a terrorist or sanction list F02 Transactions in violation of international sanctions O. Other kinds of indicators O01 Other

Table 38: Report Indicators

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