Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions)

120 Pages·2017·0.79 MB·English

《2017年打擊洗錢及恐怖分子資金籌集(金融機構) (修訂)條例草案》 Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions)
(Amendment) Bill 2017
C2102 C2103
《2017 年打擊洗錢及恐怖分子資金籌集 ( 金融機構 ) ( 修 Anti-Money Laundering and Counter-Terrorist Financing
訂 ) 條例草案》 (Financial Institutions) (Amendment) Bill 2017
目錄 Contents
條次 頁次 Clause Page
第1部 Part 1
導言 Preliminary
1. 簡稱及生效日期 ....................................................................C2120 1. Short title and commencement ..............................................C2121
2. 修訂成文法則 ........................................................................C2122 2. Enactments amended .............................................................C2123
第2部 Part 2
修訂《打擊洗錢及恐怖分子資金籌集(金融機構)條例》(第615章) Amendments to Anti-Money Laundering and Counter-Terrorist Financing
(Financial Institutions) Ordinance (Cap. 615)
3. 修訂詳題 ................................................................................C2124
3. Long title amended ................................................................C2125
4. 修訂第1條(簡稱) ...............................................................C2124
4. Section 1 amended (short title) ..............................................C2125
5. 修訂第4條(豁免承擔法律責任) ........................................C2126
5. Section 4 amended (immunity) ..............................................C2127
6. 修訂第5條(附表2就金融機構而具有效力) .....................C2126
6. Section 5 amended (Schedule 2 has effect with respect to
7. 加入第5A條 .........................................................................C2126
financial institutions) .............................................................C2127
5A. 附表2就指定非金融業人士而具有效力 ............C2126
7. Section 5A added ...................................................................C2127
8. 修訂第7條(有關當局可公布指引) ....................................C2130
5A. Schedule 2 has effect in relation to DNFBPs .......C2127
9. 修訂第9條(進入業務處所等作例行視察的權力) .............C2136
8. Section 7 amended (relevant authority may publish
guidelines) ..............................................................................C2131
9. Section 9 amended (power to enter business premises etc.
for routine inspection) ............................................................C2137
《2017年打擊洗錢及恐怖分子資金籌集(金融機構) (修訂)條例草案》 Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions)
(Amendment) Bill 2017
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條次 頁次 Clause Page
10. 修訂第10條(不遵從根據第9條施加的要求的罪行) ........C2140 10. Section 10 amended (offences for non-compliance with
requirements imposed under section 9) ..................................C2141
11. 修訂第11條(有關當局可委任調查員) ...............................C2142
11. Section 11 amended (relevant authorities may appoint
12. 修訂第12條(調查員要求交出紀錄或文件等的權力) ........C2144
investigators) ..........................................................................C2143
13. 修訂第13條(不遵從根據第12條施加的要求的罪行) ......C2146
12. Section 12 amended (powers of investigators to require
14. 修訂第24條(第5部的釋義) ..............................................C2148
production of records or documents etc.) ..............................C2145
15. 修訂第30條(牌照的批給) ..................................................C2148
13. Section 13 amended (offences for non-compliance with
16. 加入第39A條 .......................................................................C2150
requirements imposed under section 12) ................................C2147
39A. 持牌人有責任展示牌照正本 ...............................C2150
14. Section 24 amended (interpretation of Part 5).......................C2149
17. 修訂第43條(關長可採取紀律行動) ...................................C2150
15. Section 30 amended (grant of licence) ...................................C2149
18. 加入第5A部 .........................................................................C2150
16. Section 39A added .................................................................C2151
39A. Licensee’s duty to display original of licence .......C2151
17. Section 43 amended (Commissioner may take disciplinary
actions) ..................................................................................C2151
18. Part 5A added ........................................................................C2151
第5A部 Part 5A
對信託或公司服務提供者的規管 Regulation of Trust or Company Service Providers
第1分部——導言 Division 1—Preliminary
第1次分部——釋義及本部不適用的情況 Subdivision 1—Interpretation and Disapplication of this Part
53A. 第5A部的釋義 ....................................................C2152 53A. Interpretation of Part 5A .....................................C2153
53B. 不適用的情況 ......................................................C2156 53B. Disapplication ......................................................C2157
《2017年打擊洗錢及恐怖分子資金籌集(金融機構) (修訂)條例草案》 Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions)
(Amendment) Bill 2017
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條次 頁次 Clause Page
第2次分部——公司註冊處處長轉授職能及持牌人登記冊 Subdivision 2—Delegation by Registrar of Companies and Register
of Licensees
53C. 轉授職能 ..............................................................C2156
53C. Delegation of functions .......................................C2157
53D. 處長須備存持牌人登記冊 ...................................C2158
53D. Registrar to maintain register of licensees ...........C2159
53E. 核證複本及其證據價值 .......................................C2158
53E. Certified copies and their evidential value ...........C2159
第2分部——信託或公司服務提供者的領牌事宜 Division 2—Licensing of Trust or Company Service Providers
第1次分部——對經營信託或公司服務業務的限制 Subdivision 1—Restriction on Carrying on Trust or Company Service
Business
53F. 無牌經營信託或公司服務業務的罪行 ................C2162
53F. Offence of carrying on trust or company
service business without licence ............................C2163
第2次分部——牌照申請、批給牌照及牌照續期 Subdivision 2—Application for, Grant and Renewal of, Licence
53G. 牌照申請及批給牌照 ...........................................C2162 53G. Application for and grant of licence ....................C2163
53H. 僅在信納某人屬適當人選時方批給牌照 ............C2164 53H. Licence granted only if fit and proper test
satisfied.................................................................C2165
53I. 適當人選的評定準則 ...........................................C2166
53I. Fit and proper test ...............................................C2167
53J. 批給牌照的條件 ..................................................C2168
53J. Conditions when granting licence ........................C2169
53K. 牌照續期 ..............................................................C2170
53K. Renewal of licence ...............................................C2171
53L. 牌照續期的條件 ..................................................C2172
53L. Conditions when renewing licence .......................C2173
53M. 修改牌照條件 ......................................................C2174
53M. Amendment of conditions of licence ...................C2175
第3次分部——牌照的格式及有效期 Subdivision 3—Form and Validity Period of Licence
53N. 牌照的格式 ..........................................................C2174 53N. Form of licence ....................................................C2175
53O. 牌照的有效期 ......................................................C2176 53O. Validity period of licence .....................................C2177
《2017年打擊洗錢及恐怖分子資金籌集(金融機構) (修訂)條例草案》 Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions)
(Amendment) Bill 2017
C2108 C2109
條次 頁次 Clause Page
53P. 在若干事件發生時不再有效 ...............................C2178 53P. Cessation of validity when certain events
happen ..................................................................C2179
第4次分部——牌照的撤銷或暫時吊銷 Subdivision 4—Revocation or Suspension of Licence
53Q. 何時可撤銷或暫時吊銷牌照 ...............................C2178 53Q. When licence may be revoked or suspended ........C2179
53R. 撤銷或暫時吊銷牌照的程序 ...............................C2180 53R. Procedure for revoking or suspending licence ......C2181
第3分部——處長的批准 Division 3—Approvals by Registrar
53S. 須獲批准成為持牌人的最終擁有人 ....................C2182 53S. Approval required to become ultimate owner
of licensee ............................................................C2183
53T. 須獲批准成為持牌人的合夥人 ...........................C2184
53T. Approval required to become partner of
53U. 須獲批准成為持牌人的董事 ...............................C2186
licensee .................................................................C2185
53V. 如何申請批准 ......................................................C2188
53U. Approval required to become director of
licensee .................................................................C2187
53V. How to apply for approval ...................................C2189
第4分部——向處長具報 Division 4—Notifications to Registrar
53W. 具報詳情有所改變 ...............................................C2188 53W. Notification of changes in particulars ..................C2189
53X. 具報停業 ..............................................................C2190 53X. Notification of cessation of business ...................C2191
53Y. 如何作出具報 ......................................................C2190 53Y. How to give notifications .....................................C2191
第5分部——處長的紀律處分權力 Division 5—Registrar’s Disciplinary Powers
53Z. 處長採取紀律行動 ...............................................C2190 53Z. Disciplinary action by Registrar ...........................C2191
53ZA. 行使紀律處分權力的程序 ...................................C2194 53ZA. Procedure for exercising disciplinary powers ........C2195
53ZB. 施加罰款的指引 ..................................................C2196 53ZB. Guidelines for imposing pecuniary penalty ..........C2197
53ZC. 登記處以罰款的命令 ...........................................C2196 53ZC. Registration of pecuniary penalty order ..............C2197
《2017年打擊洗錢及恐怖分子資金籌集(金融機構) (修訂)條例草案》 Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions)
(Amendment) Bill 2017
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條次 頁次 Clause Page
53ZD. 紀律處分權力就法團董事適用的情況 ................C2198 53ZD. Application of disciplinary powers in respect
of directors of corporations .................................C2199
第6分部——進入處所的手令 Division 6—Warrants to Enter Premises
53ZE. 處長可委任獲授權人員 .......................................C2200 53ZE. Registrar may appoint authorized officers ...........C2201
53ZF. 裁判官的進入處所的手令 ...................................C2200 53ZF. Magistrate’s warrant to enter premises .................C2201
53ZG. 要求交出可閱讀形式材料的權力........................C2202 53ZG. Power to require production of material in
legible form ..........................................................C2203
第7分部——保密的規定 Division 7—Confidentiality Requirements
53ZH. 第7分部的釋義 ...................................................C2204 53ZH. Interpretation of Division 7 .................................C2205
53ZI. 保密 ......................................................................C2206 53ZI. Confidentiality .....................................................C2207
53ZJ. 指明人士可作獲准許的披露 ...............................C2208 53ZJ. Permitted disclosures by specified person ............C2209
53ZK. 處長可作獲准許的披露 .......................................C2210 53ZK. Permitted disclosures by Registrar .......................C2211
第8分部——雜項條文 Division 8—Miscellaneous
53ZL. 修訂附表3A ........................................................C2214 53ZL. Amendment of Schedule 3A ................................C2215
53ZM. 規例 ......................................................................C2216 53ZM. Regulations...........................................................C2217
53ZN. 提供虛假或具誤導性資料的罪行........................C2216 53ZN. Offence of providing false or misleading
information ..........................................................C2217
53ZO. 檢控時限 ..............................................................C2218
53ZO. Time limit for prosecution....................................C2219
53ZP. 關於認證及交付有關文書的規定........................C2218
53ZP. Requirements for authentication and delivery
of relevant instruments ........................................C2219
《2017年打擊洗錢及恐怖分子資金籌集(金融機構) (修訂)條例草案》 Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions)
(Amendment) Bill 2017
C2112 C2113
條次 頁次 Clause Page
第9分部——就信託或公司服務提供者訂立的過渡安排 Division 9—Transitional Arrangements for Trust or Company Service
Providers
53ZQ. 過渡安排 ..............................................................C2224
53ZQ. Transitional arrangements ....................................C2225
19. 修訂第6部標題(打擊洗錢及恐怖分子資金籌集(金融
機構)覆核審裁處) ...............................................................C2226 19. Part 6 heading amended (Anti-Money Laundering and
Counter-Terrorist Financing (Financial Institutions)
20. 修訂第54條(第6部的釋義) ..............................................C2226
Review Tribunal) ....................................................................C2227
21. 修訂第6部第2分部標題(打擊洗錢及恐怖分子資金籌
20. Section 54 amended (interpretation of Part 6).......................C2227
集(金融機構)覆核審裁處) .................................................C2230
21. Part 6, Division 2 heading amended (Anti-Money
22. 修訂第55條(審裁處的設立) ..............................................C2230
Laundering and Counter-Terrorist Financing (Financial
23. 修訂第77條(行政長官會同行政會議訂立規例) ...............C2230
Institutions) Review Tribunal) ...............................................C2231
24. 修訂第80條(有關當局發出通知) ......................................C2232
22. Section 55 amended (establishment of Tribunal) ...................C2231
25. 修訂附表1 (釋義) ................................................................C2234
23. Section 77 amended (regulations by Chief Executive in
26. 修訂附表2 (關於就客戶作盡職審查及備存紀錄的規
Council) .................................................................................C2231
定) .........................................................................................C2242
24. Section 80 amended (giving of notices by relevant
27. 加入附表3A ..........................................................................C2294
authorities) .............................................................................C2233
附表3A 關乎第5A部的費用 ...................................C2296
25. Schedule 1 amended (interpretation) .....................................C2235
28. 修訂附表4 (關於打擊洗錢及恐怖分子資金籌集(金融
26. Schedule 2 amended (requirements relating to customer
機構)覆核審裁處的條文)....................................................C2298
due diligence and record-keeping) ..........................................C2243
27. Schedule 3A added ................................................................C2295
Schedule 3A Fees in relation to Part 5A ..........................C2297
28. Schedule 4 amended (provisions relating to Anti-Money
Laundering and Counter-Terrorist Financing (Financial
Institutions) Review Tribunal) ...............................................C2299
《2017年打擊洗錢及恐怖分子資金籌集(金融機構) (修訂)條例草案》 Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions)
(Amendment) Bill 2017
C2114 C2115
條次 頁次 Clause Page
第3部 Part 3
修訂《規管條例》等及相應修訂 Amendments to Regulatory Ordinances etc. and Consequential Amendments
第1分部——修訂《規管條例》 Division 1—Amendments to Regulatory Ordinances
第1次分部——修訂《專業會計師條例》(第50章) Subdivision 1—Amendments to Professional Accountants Ordinance (Cap. 50)
29. 修訂第18B條(理事會發出指示的權力) ............................C2302 29. Section 18B amended (Council’s power to give
directions) ..............................................................................C2303
30. 修訂第34條(紀律條文) ......................................................C2302
30. Section 34 amended (disciplinary provisions) ........................C2303
31. 修訂第35B條(同意令) .......................................................C2306
31. Section 35B amended (consent order)....................................C2307
32. 修訂第41A條(紀律處分條文對事務所的適用) ................C2306
32. Section 41A amended (application of disciplinary
33. 修訂第42C條(調查委員會的委出) ....................................C2308
provisions to firms) ................................................................C2307
33. Section 42C amended (appointment of Investigation
Committee) ............................................................................C2309
第2次分部——修訂《法律執業者條例》(第159章) Subdivision 2—Amendments to Legal Practitioners Ordinance (Cap. 159)
34. 修訂第9A條(對律師、外地律師等行為操守的申訴) .......C2308 34. Section 9A amended (complaint about conduct of
solicitor, foreign lawyer, etc.) ..................................................C2309
第3次分部——修訂《地產代理條例》(第511章) Subdivision 3—Amendments to Estate Agents Ordinance (Cap. 511)
35. 修訂第2條(釋義) ...............................................................C2312 35. Section 2 amended (interpretation) ........................................C2313
36. 修訂第27條(暫時吊銷牌照或撤銷牌照) ...........................C2312 36. Section 27 amended (suspension or revocation of
37. 修訂第28條(調查) .............................................................C2314 licences) ..................................................................................C2313
38. 修訂第29條(投訴) .............................................................C2314 37. Section 28 amended (investigations) ......................................C2315
38. Section 29 amended (complaints) ..........................................C2315
《2017年打擊洗錢及恐怖分子資金籌集(金融機構) (修訂)條例草案》 Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions)
(Amendment) Bill 2017
C2116 C2117
條次 頁次 Clause Page
第2分部——修訂設立公司註冊處營運基金的立法局決議(第430章， Division 2—Amendment to Resolution of the Legislative Council Establishing
附屬法例B) Companies Registry Trading Fund (Cap. 430 sub. leg. B)
39. 修訂附表1 (藉營運基金提供的服務) .................................C2316 39. Schedule 1 amended (services to be provided by the
trading fund) ..........................................................................C2317
第3分部——相應修訂 Division 3—Consequential Amendments
第1次分部——修訂《保險業條例》(第41章) Subdivision 1—Amendment to Insurance Ordinance (Cap. 41)
40. 修訂第53A條(保密) ...........................................................C2316 40. Section 53A amended (secrecy) ..............................................C2317
第2次分部——修訂《郵政署條例》(第98章) Subdivision 2—Amendment to Post Office Ordinance (Cap. 98)
41. 修訂第7條(法律責任的豁免) ............................................C2318 41. Section 7 amended (exemption from liability) .......................C2319
第3次分部——修訂《銀行業條例》(第155章) Subdivision 3—Amendment to Banking Ordinance (Cap. 155)
42. 修訂第120條(公事保密) ....................................................C2318 42. Section 120 amended (official secrecy) ...................................C2319
第4次分部——修訂《證券及期貨條例》(第571章) Subdivision 4—Amendments to Securities and Futures Ordinance (Cap. 571)
43. 修訂第130條(存放紀錄或文件的處所的適合性) ..............C2318 43. Section 130 amended (suitability of premises for keeping
44. 修訂第180條(對中介人及其有聯繫實體的監管) ..............C2318 records or documents) ...........................................................C2319
45. 修訂第378條(保密等) ........................................................C2320 44. Section 180 amended (supervision of intermediaries and
their associated entities) .........................................................C2319
46. 修訂第381B條(由金融管理專員作出的披露) ...................C2320
45. Section 378 amended (preservation of secrecy, etc.) ..............C2321
47. 修訂附表1 (釋義及一般條文) .............................................C2320
46. Section 381B amended (disclosure by Monetary
Authority) ..............................................................................C2321
47. Schedule 1 amended (interpretation and general
provisions) ..............................................................................C2321
《2017年打擊洗錢及恐怖分子資金籌集(金融機構) (修訂)條例草案》 Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions)
(Amendment) Bill 2017
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條次 頁次 Clause Page
第5次分部——修訂《支付系統及儲值支付工具條例》(第584章) Subdivision 5—Amendments to Payment Systems and Stored Value Facilities
Ordinance (Cap. 584)
48. 修訂第50條(保密) .............................................................C2320
48. Section 50 amended (confidentiality) .....................................C2321
49. 修訂附表3 (最低準則) ........................................................C2320
49. Schedule 3 amended (minimum criteria) ................................C2321
《2017年打擊洗錢及恐怖分子資金籌集(金融機構) (修訂)條例草案》 Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions)
(Amendment) Bill 2017
第1部 Part 1
C2120 第1條 Clause 1 C2121
A BILL
本條例草案
To
旨在
修訂《打擊洗錢及恐怖分子資金籌集(金融機構)條例》，使就客户 Amend the Anti-Money Laundering and Counter-Terrorist Financing
作盡職審查及備存紀錄的規定，就律師及外地律師、會計師、 (Financial Institutions) Ordinance to apply customer due
地產代理及信託或公司服務提供者(統稱為指定非金融企業 diligence and record-keeping requirements to solicitors and
及行業人士)在進行若干交易的情況下而適用；為該目的而 foreign lawyers, accountants, estate agents and trust or
就信託或公司服務提供者設立規管制度及對其他界別的規管 company service providers (collectively called designated non-
條例作出修訂；以及對主體條例作出相關及雜項修訂及對其 financial businesses and professions) when they conduct certain
他條例作出相應修訂。 transactions; for that purpose to establish a regulatory regime
for trust or company service providers and to amend the
regulatory Ordinances of the other sectors; and to make related
and miscellaneous amendments to the principal Ordinance and
consequential amendments to other Ordinances.
由立法會制定。 Enacted by the Legislative Council.
第 1 部 Part 1
導言 Preliminary
1. 簡稱及生效日期 1. Short title and commencement
(1) 本條例可引稱為《2017年打擊洗錢及恐怖分子資金籌集 (1) This Ordinance may be cited as the Anti-Money
(金融機構) (修訂)條例》。 Laundering and Counter-Terrorist Financing (Financial
(2) 本條例自2018年3月1日起實施。 Institutions) (Amendment) Ordinance 2017.
(2) This Ordinance comes into operation on 1 March 2018.