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Earlier Report on Saudi Arabia's Measures to Combat Money

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Earlier Report on Saudi Arabia's Measures to Combat Money MIDDLE EAST & NORTH AFRICA FINANCIAL ACTION TASK FORCE FINANCIAL ACTION TASK FORCE Mutual Evaluation Report Anti-Money Laundering and Combating the Financing of Terrorism Kingdom of Saudi Arabia 25 June 2010 The Kingdom of Saudi Arabia is a member of the Middle East & North Africa Financial Action Task Force (MENAFATF). It is also a member of the Gulf Co-operation Council, which is a member of the Financial Action Task Force (FATF). The Mutual Evaluation of the Kingdom of Saudi Arabia was conducted as a joint exercise between the MENAFATF and the FATF. The Mutual Evaluation Report was considered and adopted by the MENAFATF at its plenary meeting in Yasmine Hammamet, Tunisia on 4 May 2010, and then by the FATF at its plenary in Amsterdam on 25 June 2010, which introduced limited changes to it. © 2010 FATF/OECD. All rights reserved. No reproduction or translation of this publication may be made without prior written permission. Requests for permission to further disseminate, reproduce or translate all or part of this publication should be made to the FATF Secretariat, 2 rue André Pascal 75775 Paris Cedex 16, France (fax +33 1 44 30 61 37 or e-mail: [email protected]) Mutual Evaluation Report of the Kingdom of Saudi Arabia TABLE OF CONTENTS PREFACE INFORMATION AND METHODOLOGY USED FOR THE EVALUATION OF THE KINGDOM OF SAUDI ARABIA .................................................................................................................. 5 EXECUTIVE SUMMARY ............................................................................................................................. 6 MUTUAL EVALUATION REPORT ........................................................................................................... 14 1. GENERAL .......................................................................................................................................... 14 1.1 General information on Saudi Arabia ........................................................................................ 14 1.2 General Situation of Money Laundering and Financing of Terrorism ...................................... 19 1.3 Overview of the Financial Sector and DNFBP.......................................................................... 20 1.4 Overview of commercial laws and mechanisms governing legal persons and arrangements ... 25 1.5 Overview of strategy to prevent money laundering and terrorist financing .............................. 26 2. LEGAL SYSTEM AND RELATED INSTITUTIONAL MEASURES ............................................ 30 2.1 Criminalisation of Money Laundering (R1 & 2) ....................................................................... 30 2.2 Criminalisation of Terrorist Financing (SRII) ........................................................................... 37 2.3 Confiscation, freezing and seizing of proceeds of crime (R3) .................................................. 41 2.4 Freezing of funds used for terrorist financing (SRIII) ............................................................... 45 2.5 The Financial Intelligence Unit and its functions (R26) ........................................................... 51 2.6 Law enforcement, prosecution and other competent authorities – the framework for the investigation and prosecution of offences, and for confiscation and freezing (R27 & 28) ....... 61 2.7 Cross Border Declaration or Disclosure (SRIX) ....................................................................... 67 3. PREVENTIVE MEASURES – FINANCIAL INSTITUTIONS ........................................................ 73 3.1 Risk of money laundering or terrorist financing........................................................................ 76 3.2 Customer due diligence, including enhanced or reduced measures (R5 to 8) ........................... 76 3.3 Third parties and introduced business (R9) ............................................................................... 99 3.4 Financial institution secrecy or confidentiality (R4) ............................................................... 102 3.5 Record keeping and wire transfer rules (R10 & SRVII) ......................................................... 103 3.6 Monitoring of transactions and relationships (R11 & 21) ....................................................... 109 3.7 Suspicious transaction reports and other reporting (R13-14, 19, 25 & SRIV) ........................ 116 3.8 Internal controls, compliance, audit and foreign branches (R15 & 22) ................................... 121 3.9 Shell banks (R18) .................................................................................................................... 126 3.10 The supervisory and oversight system - competent authorities and SROs Role, functions, duties and powers (including sanctions) (R23, 29, 17 & 25) .................................................. 127 3.11 Money or value transfer services (SRVI) ................................................................................ 146 4. PREVENTIVE MEASURES – DESIGNATED NON-FINANCIAL BUSINESSES AND PROFESSIONS ................................................................................................................................. 149 4.1 Customer due diligence and record-keeping (R12) ................................................................. 149 © 2010 FATF/OECD - 3 Mutual Evaluation Report of the Kingdom of Saudi Arabia 4.2 Suspicious transaction reporting (R16) ................................................................................... 155 4.3 Regulation, supervision and monitoring (R24-25) .................................................................. 159 4.4 Other non-financial businesses and professions and modern secure transaction techniques (R20) ....................................................................................................................................... 163 5. LEGAL PERSONS AND ARRANGEMENTS & NON-PROFIT ORGANISATIONS ................. 164 5.1 Legal Persons – Access to beneficial ownership and control information (R33) .................... 164 5.2 Legal Arrangements – Access to beneficial ownership and control information (R34) .......... 166 5.3 Non-profit organisations (SRVIII) .......................................................................................... 167 6. NATIONAL AND INTERNATIONAL COOPERATION.............................................................. 172 6.1 National cooperation and coordination (R31) ......................................................................... 172 6.2 The Conventions and UN Special Resolutions (R35 & SRI) .................................................. 174 6.3 Mutual Legal Assistance (R36-38, SRV) ................................................................................ 176 6.4 Extradition (R37, 39, SRV) ..................................................................................................... 182 6.5 Other Forms of International Cooperation (R40 & SRV) ....................................................... 185 7. OTHER ISSUES ............................................................................................................................... 191 7.1 Resources and statistics ........................................................................................................... 191 TABLES ...................................................................................................................................................... 193 ANNEXES .................................................................................................................................................. 214 4 - © 2010 FATF/OECD Mutual Evaluation Report of the Kingdom of Saudi Arabia PREFACE INFORMATION AND METHODOLOGY USED FOR THE EVALUATION OF THE KINGDOM OF SAUDI ARABIA 1. The evaluation of the anti-money laundering (AML) and combating the financing of terrorism (CFT) regime of the Kingdom of Saudi Arabia1 (KSA) was based on the Forty Recommendations 2003 and the Nine Special Recommendations on Terrorist Financing 2001 of the Financial Action Task Force (FATF), and was prepared using the AML/CFT Methodology 20042. The evaluation was based on the laws, regulations and other materials supplied by the KSA, and information obtained by the evaluation team during its on-site visit to the KSA from 1-11 March 2009, and subsequently. During the on-site the evaluation team met with officials and representatives of all relevant KSA government agencies and the private sector. A list of the bodies met is set out in the annexes to the mutual evaluation report. 2. This is a joint mutual evaluation by the Middle East and Northern Africa Financial Action Task and the Financial Action Task Force (FATF). The evaluation was conducted (مينافاتف ,Force (MENFATF by an evaluation team which consisted of experts from the MENAFATF and FATF in criminal law, law enforcement and regulatory issues. The team included Mr. Hussam Imam (Mutual Evaluation Officer of the MENAFATF Secretariat) and Mr. Richard Berkhout (Administrator of the FATF Secretariat), and further included the following assessors: Mr. Talal Alsayegh (Deputy Manger, On-Site Supervision Department, Central Bank of Kuwait, Kuwait) who participated as financial expert for the MENAFATF, Ms. Catherine Downard (Assistant Director for Global Affairs, Office of Terrorist Financing and Financial Crimes, Department of the Treasury, United States) who participated as financial expert for the FATF, Mr. Dick van den Ham (Head, Financial
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