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Estudio Del Caso Del Banco Riggs

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Estudio Del Caso Del Banco Riggs Senado de los Estados Unidos SUBCOMITÉ PERMANENTE DE INVESTIGACIONES Comité de Asuntos Gubernamentales Norm Coleman, Presidente Carl Levin, Miembro Destacado de la Minoría Blanqueo de Dinero y Corrupción en el Extranjero: Aplicación y Eficacia de la Patriot Act Estudio del Caso del Banco Riggs Informe Preparado por los Miembros de la Minoría (Demócrata) del Subcomité Permanente de Investigaciones Publicado Conjuntamente con la Sesión del Subcomité Permanente de Investigaciones del día 15 de julio de 2004 INDICE I. INTRODUCCIÓN..........................................................................................................4 II. RESUMEN....................................................................................................................5 III. CONCLUSIONES.......................................................................................................13 (1) Asesoría a Pinochet............................................................................................13 (2) Haciendo la Vista Gorda.....................................................................................13 (3) Programa AML Disfuncional..............................................................................13 (4) Fracaso del Sistema de Control en el Riggs....................................................13 (5) Conflicto de Intereses.........................................................................................14 (6) Aplicación Desigual del AML.............................................................................14 (7) Pagos Ocultos.....................................................................................................14 IV. LEY ACTUAL.............................................................................................................14 A. Principales Leyes contra el Blanqueo de Dinero.............................................14 B. Regulación y Control del Blanqueo de Dinero.................................................16 V. EL BANCO RIGGS.....................................................................................................18 A. La Riggs National Corporation y el Riggs Bank...............................................18 B. Augusto Pinochet................................................................................................25 Conclusiones (1).................................................................................................25 C. Guinea Ecuatorial................................................................................................45 Conclusiones (2).................................................................................................45 VI. DEFICIENCIAS DEL AML DEL RIGGS Y CONTROL INSUFICIENTE DE REGULADORES........................................................................................................77 A. Indiferencia del Riggs ante sus Obligaciones contra el Blanqueo de Dinero...................................................................................................................77 Conclusiones (3).................................................................................................77 B. Insuficiente Control de los Reguladores de las Deficiencias del AML..........83 Conclusiones (4).................................................................................................83 Conclusiones (5).................................................................................................83 (1) Resumen de las Inspecciones Realizadas al Riggs...................................86 (2) Análisis de los temas....................................................................................98 C. Supervisión del AML en general......................................................................106 Conclusiones (6)..............................................................................................106 VII. CORRUPCIÓN EN EL EXTRANJERO Y TRANSPARENCIA EN EL NEGOCIO DEL PETRÓLEO..............................................................................................................111 Conclusiones (7).....................................................................................................111 A. Empresas Petroleras en Guinea Ecuatorial....................................................113 B. Pagos de las Empresas Petroleras..................................................................113 (1) Pagos por Alquileres y Compra de Terrenos...........................................114 (2) Pagos por Servicios....................................................................................116 (3) Pagos para Mantener a las Misiones y Embajadas de Guinea Ecuatorial.....................................................................................................117 (4) Pagos para los Estudiantes Guineanos....................................................118 C. Empresas Mixtas...............................................................................................120 D. Iniciativas para Mejorar la Transparencia.......................................................122 E. Ley contra las Prácticas de Corrupción en el Extranjero..............................125 2 VIII. Recomendaciones..................................................................................................126 (1) Reforzar la Aplicación.......................................................................................126 (2) Tomar Acciones Reguladoras..........................................................................127 (3) Publicar Valoraciones Anuales del AML.........................................................127 (4) Reforzar las Restricciones Post-Empleo........................................................127 (5) Intercambio de Información Autorizada entre los Bancos............................127 (6) Mayor Transparencia........................................................................................127 3 Blanqueo de Dinero y Corrupción en el Extranjero: Aplicación y Efectividad de la Patriot Act Estudio del caso del Banco Riggs 14 de Julio de 2004 I. INTRODUCCIÓN: Entre 1999 y 2001, el Subcomité permanente de investigación del Comité de Asuntos Gubernamentales del Senado de Estados Unidos, a petición del senador Carl Levin, el miembro de mayor rango de la minoría demócrata, llevó a cabo una investigación detallada de las actividades relacionadas con el blanqueo de dinero en el sector de servicios financieros de los Estados Unidos. La investigación incluía un análisis detallado de las actividades de blanqueo de dinero en la banca privada, bancos corresponsales y la industria de valores. Se prepararon dos informes por parte de la minoría demócrata y tuvieron lugar dos sesiones de investigación del subcomité en noviembre de 1999 y en marzo de 20011. Este trabajo de investigación sirvió de base para muchas de las disposiciones del titulo III del Patriot Act de los Estados Unidos promulgado en Octubre de 2001 contra el blanqueo de dinero. Entre otras disposiciones fundamentales, el Patriot Act obliga a las instituciones financieras de los Estados Unidos a estar muy vigilantes cuando abran y gestionen cuentas de políticos extranjeros de un cierto relieve y considera que los actos de corrupción cometidos por estos políticos constituirían una base suficiente para que sean denunciadas por las fiscalías estadounidenses por blanqueo de dinero. En 2003 y a petición de nuevo del senador Levin, el Subcomité inició una investigación para valorar la aplicación y la efectividad de las principales disposiciones contra el blanqueo de dinero del Patriot Act, utilizando al banco Riggs como un caso de estudio. Los miembros de la Minoría se han basado para este informe en la investigación conjunta llevada a cabo por los miembros demócratas y republicanos del Subcomité. En el curso de esta investigación, el Subcomité citó a distintas personas y solicitó documentos. Los miembros del Subcomité revisaron mas de 100 1 Ver: “Private Banking and Money Laundering: A Case Study of Opportunities and Vulnerabilities,” Por S. Hrg. 106-428 (9 y 10 de noviembre de 1999), Informe de la Minoría en 872 (más abajo “Subcommittee Private Banking Hearings”), “El papel de los bancos corresponsales de EEUU en el blanqueo internacional de dinero”, S. Hrg. 107-84 (1, 2 y 6 de marzo de 2001), informe del personal en 273. 4 cajas, carpetas, y CDs electrónicos que contenían cientos de miles de paginas de documentos, incluidos extractos bancarios, documentos de apertura de cuentas, transferencias, correspondencia, correos electrónicos, contratos, actas de reuniones, documentos relacionados con cuentas bancarias especificas y transacciones, documentos de exámenes del banco, informes de auditorias, instrumentos legislativos, legales y súplicas. Los miembros del Subcomité también llevaron a cabo varias entrevistas con representantes de instituciones financieras, de la Oficina del Controlador de la Moneda (OCC), la Reserva Federal, compañías petroleras, expertos y otras personas con suficiente información. II. RESUMEN Las pruebas revisadas por los miembros del Subcomité demuestran que, al menos desde 1997, el banco Riggs hizo caso omiso a sus obligaciones para evitar el blanqueo de dinero (AML), mantuvo un programa AML disfuncional, a pesar de las frecuentes advertencias de los reguladores de la Oficina del Controlador de la Moneda (OCC), y permitió o, en algunos casos, facilitó de forma activa actividades financieras sospechosas. Las pruebas demuestran también que los inspectores federales fueron poco rigurosos
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