DECISION OF THE HEAD OF THE INDONESIAN FINANCIAL ... · For public cognizance, hereby ordering the...

ELIPS II. 2/9/2006 of 3

DECISION OF THE HEAD OF THE INDONESIAN FINANCIAL TRANSACTION

REPORTS AND ANALYSIS CENTER

NUMBER: 2/6/KEP.PPATK/2003

CONCERNING

GUIDELINES ON THE PROCEDURE OF SUSPICIOUS FINANCIAL

TRANSACTION REPORTING FOR FINANCIAL DEALERS

THE HEAD OF THE INDONESIAN FINANCIAL TRANSACTION REPORTS

AND ANALYSIS CENTER

Considering: a. whereas the role of financial dealers is significant in

the prevention and eradication of money laundering

criminal acts among other things through the

submission of suspicious financial transactions;

b. whereas in order to create a uniform understanding

among financial dealers in reporting suspicious

financial transactions as well as producing precise,

correct, and accountable reports of suspicious

financial transactions;

c. whereas in connection therewith it is necessary to

issue guidelines on the procedure for suspicious

financial transactions reporting for financial dealers in

a Decision of the Head of Indonesian Financial

Transaction Reports and Analysis Center;

In view of: 1. Law Number 15 Year 2002 regarding Criminal Acts of

Money Laundering (State Gazette of the Republic of

Indonesia Year 2002 Number 30, Supplement to the

State Gazette of the Republic of Indonesia Number

4191) as amended by Law Number 25 Year 2003

(State Gazette of the Republic of Indonesia Year

2003 Number 108, Supplement to the State Gazette

of the Republic of Indonesia Number 4324);

ELIPS II. 2/9/2006 of 3

2. Decree of the President of the Republic of Indonesia

Number 201/M Year 2002;

HAS DECIDED:

To stipulate: DECISION OF THE HEAD OF THE INDONESIAN

FINANCIAL TRANSACTION REPORTS AND ANALYSIS

CENTER REGARDING GUIDELINES ON THE

PROCEDURE FOR SUSPICIOUS FINANCIAL

TRANSACTION REPORTING FOR FINANCIAL DEALERS.

Article 1

(1) These Guidelines shall be applicable to Financial Dealers in the form of

commercial banks, rural credit banks, securities companies, mutual fund

managers, custodians, insurance companies, pension funds, and

financing institutions.

(2) Financial dealers in reporting Suspicious Financial Transactions as

intended in paragraph (1) shall be obligated to refer to the Guidelines on

the Procedure for Suspicious Financial Transaction Reporting for

Financial Dealers as intended in the attachment to this Decision.

(3) Guidelines on the Procedure for Suspicious Financial Transaction

Reporting for Financial Dealers shall be an inseparable part of this

Decision.

Article 2

Guidelines on the Procedure for Suspicious Financial Transaction Reporting for

Financial Dealers shall be the guidelines that contain, among other things,

information to be reported, procedures for filling out Suspicious Financial

Transaction report form, time limit for submitting the report and the

consequences for not submitting the report, address of report submission,

reporting procedures, and confidentiality.

ELIPS II. 2/9/2006 of 3

Article 3

(1) The obligation of reporting Suspicious Financial Transactions for Financial

Dealers as intended in the article 1 paragraph (1) to the Indonesian

Financial Transaction Report and Analysis Center shall be effective as

from October 18, 2003.

(2) Suspicious Financial Transaction Reporting particularly for Financial

Dealers of commercial banks can be conducted manually as well as

electronically starting from October 18, 2003.

(3) Suspicious Financial Transaction Reporting particularly for Financial

Dealers of rural credit banks, securities companies, mutual fund

managers, custodians, insurance companies, pension funds, and

financing institutions must be conducted manually since October 18,

2003.

(4) Suspicious Financial Transaction Reporting for Financial Dealers as

intended in paragraph (3) may also be conducted electronically starting

from January 1, 2004.

Article 4

This decision shall come into effect as from the date of its stipulation.

For public cognizance, hereby ordering the announcement of this Decision of the

Head of the Indonesian Financial Transaction Reports and Analysis Center by

publishing it in the Official Gazette of the Republic of Indonesia.

Stipulated in: Jakarta

On: October 15, 2003

THE HEAD OF THE INDONESIAN FINANCIAL

TRANSACTION REPORTS AND ANALYSIS

CENTER

Sgd.

Dr. Yunus Husein

FIRST EDITION INDONESIAN FINANCIAL TRANSACTION REPORTS AND ANALYSIS CENTER (PPATK)

Guidelines on the Procedure for Suspicious Financial Transaction

Reporting for Financial Dealers

Guideline

IIIAttachment to the Decision of the Head of the Indonesian Financial Transaction Reports and Analysis Center Number 2/6/KEP.PPATK/2003

I N D O N E S I A N F I N A N C I A L T R A N S A C T I O N R E P O R T S A N D A N A L Y S I S C E N T E R ( P P A T K )

GUIDELINE III

Guidelines on the Procedure for Suspicious Financial Transaction Reporting for Financial Dealers

First Edition

Indonesian Financial Transaction Reports and Analysis Center (PPATK) E-mail: [email protected]

Tel: 62.21.3862579 • Fax: 62.21.3866337 Jakarta, 2003

Table of ContentsCHAPTER 1: INTRODUCTION................................................................. 1 CHAPTER 2: INFORMATION TO BE REPORTED ................................. 3 CHAPTER 3: PROCEDURES FOR FILLING OUT SUSPICIOUS FINANCIAL TRANSACTION REPORT FORM ........................................ 4

A. MANUAL REPORTING.............................................................. 4 B. ELECTRONIC REPORTING.................................................... 26

CHAPTER 4: REPORT SUBMISSION TIME LIMIT ............................... 27 CHAPTER 5: SUBMISSION ADDRESS ................................................. 29

A. MANUAL REPORTING............................................................ 29 B. ELECTRONIC REPORTING.................................................... 29

CHAPTER 6: REPORTING PROCEDURES........................................... 30

A. MANUAL REPORTING............................................................ 30 B. ELECTRONIC REPORTING.................................................... 30

CHAPTER 7: CONFIDENTIALITY .......................................................... 32 CHAPTER 8: MISCELLANEOUS ........................................................... 34 ATTACHMENT: SAMPLE OF SUSPICIOUS FINANCIAL TRANSACTION REPORT FORM USER GUIDE

G U I D E L I N E S O N T H E P R O C E D U R E F O R S U S P I C I O U S F I N A N C I A L T R A N S A C T I O N R E P O R T I N G F O R F I N A N C I A L D E A L E R S

1

CHAPTER 1: Introduction

With regard to the implementation of the duties of the Indonesian Financial Transaction Reports and Analysis Center (“PPATK”) as set forth in Law Number 15 Year 2002 concerning Criminal Acts of Money Laundering as amended by Law Number 25 Year 2003 (“TPPU Law”) particularly Article 26 sub-paragraph (c), it is stated that the duty of PPATK is to draw up guidelines regarding Suspicious Financial Transaction reporting procedures. The guidelines are further provided for in a decision of the Head of the PPATK (Article 13 paragraph 7 of TPPU Law). These guidelines are needed so that Suspicious Financial Transaction Report by Financial Dealers (PJK) can be conducted precisely, correctly and accountably, considering that the report is one of the main sources of information required in implementing PPATK’s duties. It is expected that the guidelines can also create a common understanding among PJK in reporting Suspicious Financial Transactions to the PPATK. PJK can submit Suspicious Financial Transaction Reports by applying the following methods: a. Manually, namely by sending a hard copy of Suspicious

Financial Transaction Reports in compliance with the sample of Suspicious Financial Transaction report form attached to these guidelines; or

b. Electronically, namely by submitting Suspicious Financial

Transaction Report on-line through the Internet by accessing PPATK’s server using user id and password determined by PPATK.

PJK intending to submit Suspicious Financial Transaction

Reports electronically, must first submit a “Request for Electronic Reporting” by e-mail to:

Chapter

1


2

[email protected] PPATK will provide user id, password, and server address for Suspicious Financial Transaction Report individually to each PJK. As long as PJK has not received any user id and password, Suspicious Financial Transaction Reports shall be submitted manually.


3

CHAPTER 2: INFORMATION TO BE REPORTED

Information to be reported by PJK in the Suspicious Financial Transaction Reports is described in a sample form of Suspicious Financial Transaction Reports (see ATTACHMENT). The information to be submitted either Manually or Electronically is the same and is based on the sample form of Suspicious Financial Transaction Reports.

Chapter

2


4

CHAPTER 3: Procedures for Filling Out Suspicious Financial Transaction Reporting Form A. Manual Reporting

1. DESCRIPTION ON THE FILLING OUT OF SUSPICIOUS FINANCIAL TRANSACTION REPORTING FORM FOR BANKS

Filling

Out No. Description

I. IDENTITY OF TRANSACTION ENACTORS A. Individual Account Holder Fill out No. 1 to 11, if the enactor is an Individual Account Holder

1. Full Name: Full Name of the Individual Account Holder as transaction enactor.

2. Nickname/Alias: Self-explanatory.

3. Sex: Self-explanatory.

4. Place and Date of Birth: Self-explanatory.

5. Nationality: Self-explanatory.

6. Full address of domicile (use of P.O. BOX not allowed): The latest domicile address of the account holder.

7. Telephone Number (can be more than one): Self-explanatory.

Chapter

3


5

Filling Out No.

Description

8. Occupation: Including occupation such as student, college student and housewife.

9. Office Address: For student/college student, fill out with the school/college address. For housewife, fill out with the relevant home address.

10. Taxpayer Registration Number (NPWP): Self-explanatory.

11. Proofs of Identity (can be more than one): Self-explanatory.

B. Corporate Account Holder Fill out No. 12 to 21, if the enactor is a Corporate Account Holder.

12. Name of Company: Self-explanatory.

13. Type of Legal Entity/other Entities: Examples of type of legal entity/other entities are Limited Liability Company (PT), Limited Partnership (CV), Firm, Commercial Business, Foundation, Cooperatives, Non-Government Organization (NGO), Political Party.

14. Domicile of Legal Entity/other Entities: Fill out the state of origin of such legal entity/other entities of account holder. For legal entity/other entities originating from Indonesia, it must be filled out with “Indonesia”.


16. Company’s address (P.O. BOX not allowed): Self-explanatory.


18. Main Business Line: In accordance with the main business line of the company.

19. Business License/other licenses from the competent authority: Fill out with the Type and Number of License in accordance with the Type and Number of the License owned by the company. Can be more than one.


6

Filling Out No.

Description

20. Names of the Company’s Executives: Fill out according to the latest company’s Articles of Association available at the Bank. Bank may add the number of form of the Company’s Executives according to its need.

21. Names of the Owner/Majority Shareholders: Fill out according to the latest company’s Articles of Association available at the Bank. Bank may add the number of form of the Owner/Majority Shareholders according to its need.

C. Beneficial Owner/Intermediary/Proxy/Walk-in Customer If suspicious financial transactions involve Beneficial

Owner/Intermediary/Attorney-in-Fact/Walk-in Customer. C.1. Individual Fill out No. 22 to 32 if Beneficial Owner/Intermediary/Proxy/Walk-

in Customer is an Individual. 22. Full Name:

Full name of the Beneficial Owner/Intermediary/Proxy/Walk-in Customer.

23. Nick name: Self-explanatory.




27. Full address of domicile (use of P.O. BOX not allowed): The latest domicile address and telephone number of the customer.


29. Occupation: Including occupation such as student, college student, and housewife.

30. Office Address: For student/college student, fill out with the school/college address.


7

Filling Out No.

Description

For housewife, fill out the concerned home address. 31. Taxpayer Registration Number (NPWP):

Self-explanatory. 32. Proofs of identity (can be more than one):

Self-explanatory. C.2. Corporate Fill out No. 33 to 42, if the Beneficial

Owner/Intermediary/Proxy/Walk-in Customer is a Company. 33. Name of Company:

Self-explanatory. 34. Type of Legal Entity/other Entities:

Examples of type of legal entity/other entities are Limited Liability Company (PT), Limited Partnership (CV), Firm, Commercial Business, Foundation, Cooperatives, Non-Government Organization (NGO), Political Party.

35. Domicile of Legal Entity/other Entities: Fill out with the country of origin of such legal entity/other entities of account holder. For legal entity/other entities originating from Indonesia, it must be filled out with “Indonesia”.

36. Taxpayer Registration Number (NPWP): Fill out with “Not obligated to possess Taxpayer Registration Number (NPWP)” if the customer is not obligated to possess Taxpayer Registration Number

37. Company’s Address (use of P.O. BOX not allowed): Self-explanatory.




41. Names of the Company’s Executives: Fill out according to the latest company’s Articles of


8

Filling Out No.

Description

Association available at the Bank. The Bank may add the number of form of the Company’s Executives according to its need.

42. Names of the Owner/Majority Shareholders: Fill out according to the latest company’s Articles of Association available at the Bank. The Bank may add the number of form of the Owner/Majority Shareholders according to its need.

II. DETAILS OF SUSPICIOUS FINANCIAL TRANSACTIONS 43. Type of Transactions: (for example: cash deposit,

withdrawal, money transfer, purchase of TC, etc.). If the Suspicious Financial Transactions consist of a series of several transactions, please describe them in Number 54.

44. Date of Transactions: The date of transactions that trigger the occurrence of suspicions or having the indication of Suspicious Financial Transaction. If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 54.

45. Value of Transactions (in Rupiah): The value (in Rupiah) of transactions that trigger the occurrence of suspicions or having the indication of Suspicious Financial Transaction. If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 54.

46. Payment Instruments used: For example: Check, Clearing Account Letter, Traveller’s Cheque or cash/bank-notes, and others. If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 54.

47. Does it use foreign currency? Select “Yes” or “No”.

48. Do such transactions use cash money? Select “Yes” or “No”.

49. Are they walk-in customers? Select “Yes” or “No”.

50. Accounts used for transactions: For example: Clearing Account, Savings Account, Time


9

Filling Out No.

Description

Deposit, and others. 51. Office of Reporting Bank where transactions occur:

Shall be the offices where Suspicious Financial Transactions occur.

52. Other Banks related to such transactions (if any): Other banks as fund sender or receiver. If Suspicious Financial Transaction involves several banks, please describe them in Number 54.

53. Third Party related to such transactions (if any): Names of third party transferring fund to or receiving fund from other bank. If Suspicious Financial Transaction involves several parties, please describe them in Number 54.

54. Details and description of the Suspicious Financial Transactions: Detailed description concerning the background, data of the enactor and transactions, as well as indicators and elements of Suspicious Financial Transaction that can be identified by bank. Including in this description are other matters related to the transaction of customer among other things customer purpose in opening account, customer profile, other PJK, other parties, and information concerning the parties conducting transactions in the name of customer.

55. Codes of Bank: In accordance with the code (sign) of the respective banks given by PPATK.

56. Names of Bank: Self-explanatory.

57. Names and signatures of Bank officials: Self-explanatory.


10

2. DESCRIPTION ON THE FILLING OUT OF SUSPICIOUS

FINANCIAL TRANSACTION REPORTING FORM FOR INSURANCE COMPANIES

Filling Out No.

Description

I. IDENTITY OF POLICYHOLDER A. Individual Policyholder

Fill out No. 1 to 11, if the enactor is an Individual Policyholder. 1. Full Name:

Full Name of the Individual Policyholder as transaction enactor.





6. Full address of domicile (use of P.O. BOX not allowed): The latest domicile address of the policyholder.



9. Office Address: For student/college student, fill out with the school/college address. For housewife, fill out with the concerned home address.


11. Proofs of Identity (can be more than one): Self-explanatory

B. Corporate Policyholder Fill out No. 12 to 21, if the enactor is a Corporate Policyholder.


11

Filling Out No.

Description



14. Domicile of Legal Entity/other Entities: Fill out with country of origin of such legal entity/other entities of account holder. For legal entity/other entities originating from Indonesia, it must be filled out with “Indonesia”.


16. Company’s address (P.O. BOX not allowed): Self-explanatory




20. Names of the Company’s Executives: Fill out according to the latest company’s Articles of Association available at the Insurance Company. The Insurance Company may add the number of form of the Company’s Executives according to its need.

21. Names of the Owners/Majority Shareholders: Fill out according to the latest company’s Articles of Association available at the Insurance Company. The Insurance Company may add the number of form of the Owners/Majority Shareholders according to its need.

C. Proxy Holder of Policy Shall be the authorized by the Policyholder to conduct a


12

Filling Out No.

Description

transaction that in this case is indicated as Suspicious Financial Transactions.

C.1. Proxy Holder of Individual Policy Fill out No. 22 to 32, if Proxy Holder of Policy is an Individual.

22. Full Name: Full Name of the Proxy Holder of Policy.





27. Full address of domicile (use of P.O. BOX not allowed): The latest domicile address of the proxy holder of policy.



30. Office Address: For student/college student, fill out with the school/college address. For housewife, fill out with the home address concerned.


32. Proofs of Identity (can be more than one): Self-explanatory.

C.2. Proxy Holder of Corporate Policy Fill out No. 33 to 42, if the Proxy Holder of Policy is a Company.


34. Type of Legal Entity/other Entities: Examples of type of legal entity/other entities are Limited Liability Company (PT), Limited Partnership (CV), Firm, Commercial Business, Foundation, Cooperatives, Non-


13

Filling Out No.

Description

Government Organization (NGO), Political Party. 35. Domicile of Legal Entity/other Entities:

Fill out with country of origin of such legal entity/other entities of account holder. For legal entity/other entities originating from Indonesia, it must be filled out with “Indonesia”.

36. Taxpayer Registration Number (NPWP): Fill out with “Not obligated to possess Taxpayer Registration Number (NPWP)”, for those who are not obligated to possess Taxpayer Registration Number.

37. Company’s address (P.O. BOX not allowed): Self-explanatory.




41. Names of the Company’s Executives: Fill out according to the latest company’s Articles of Association available at the Insurance Company. The Insurance Company may add the number of form of the Company’s Executives according to its need.

42. Names of the Owner/Majority Shareholders: Fill out according to the latest company’s Articles of Association available at the Insurance Company. The Insurance Company may add the number of form of the Owner/Majority Shareholders according to its need.

II. DETAILS OF SUSPICIOUS FINANCIAL TRANSACTIONS 43. Type of Insurance/Policy:

Self-explanatory. 44. Date of Transactions:

The date of transactions that trigger the occurrence of suspicions or having the indication of Suspicious Financial


14

Filling Out No.

Description

Transaction. If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 54.

45. Value of Transactions (in Rupiah): The value (in Rupiah) of transactions that triggers the occurrence of suspicions or having the indication of Suspicious Financial Transaction. If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 54.

46. Payment Instruments used: For example: Check, Clearing Account Letter, Money Transfer, or cash/bank-notes, and other. If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 54.


48. Do such transactions use cash money? Select “Yes” or “No”.

49. Accounts used for transactions: Information about bank account used in conducting suspicious financial transactions related to Insurance.

50. Reporting Insurance Company where transactions occur: Shall be the head office or branch office of the insurance company where Suspicious Financial Transactions occur. If Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 54.

51. Name of Beneficiary: Self-explanatory.

52. Address of Beneficiary: Self-explanatory.

53. Account Number and Beneficiary Bank: Self-explanatory.

54. Details and description of the Suspicious Financial Transactions: Detail description concerning the background, data of the enactor and transactions, as well as indicators and elements of Suspicious Financial Transaction that can be identified by


15

Filling Out No.

Description

insurance company. Including in this description are other matters related to the transaction of customer among other things customer purpose in policy coverage, customer profile, other PJK, other parties, and information concerning the parties conducting transactions in the name of customer.

55. Codes of Insurance: In accordance with the code (sign) of the respective insurance companies given by PPATK.

56. Names of Insurance Company: Self-explanatory.

57. Names and signatures of Insurance officials: Self-explanatory


FINANCIAL TRANSACTION FORM FOR PENSION FUNDS AND FINANCING INSTITUTIONS

Filling Out No.

Description

I. IDENTITY OF TRANSACTION ENACTORS A. Individual Account Holder

Fill out No. 1 to 11, if the enactor is an individual account holder 1. Full Name:

Full Name of the individual account holder as transaction enactor.





6. Full address of domicile (use of P.O. BOX not allowed):


16

Filling Out No.

Description

The latest domicile address of the account holder. 7. Telephone Number (can be more than one):

Self-explanatory. 8. Occupation:

Including occupation such as student, college student and housewife.

9. Office Address: For student/college student, fill out with the school/college address. For housewife, fill out with the home address concerned.



B. Corporate Account Holder Fill out No. 12 to 21, if the enactor is a Corporate Account Holder.








19. Business License/other licenses from the competent


17

Filling Out No.

Description

authority: Fill out with the Type and Number of License in accordance with the Type and Number of the License owned by the company. Can be more than one.

20. Names of the Company’s Executives: Fill out according to the latest company’s Articles of Association available at PJK. The PJK may add the number of form of the Company’s Executives according to its need.

21. Names of the Owners/Majority Shareholders: Fill out according to the latest company’s Articles of Association available at PJK. The PJK may add the number of form of the Owner/Majority Shareholders according to its need.

C. Beneficial Owner/Intermediary/Proxy Holder If suspicious financial transactions involve Beneficial Owner/Intermediary/Proxy Holder

C.1. Beneficial Owner/Intermediary/ Individual Proxy Holder Fill out No. 22 to 32, if the enactor is Beneficial Owner/Intermediary/ Individual Proxy Holder.

22. Full Name: Full name of the Beneficial Owner/Intermediary/Proxy Holder.

23. Nick name: Self-explanatory.




27. Full address of domicile (use of P.O. BOX not allowed): The latest domicile address and telephone number of Beneficial Owner/Intermediary/Proxy Holder.



18

Filling Out No.

Description

29. Occupation: Including occupation such as student, college student, and housewife.

30. Office Address: For student/college student, fill out with the school/college address. For housewife, fill out the home address concerned.


32. Proofs of identity (can be more than one): Self-explanatory.

C.2. Beneficial Owner/Intermediary/ Corporate Proxy Holder Fill out No. 33 to 42, if the enactor is Beneficial Owner/Intermediary/ Corporate Proxy Holder.




36. Taxpayer Registration Number (NPWP): Fill out with “Not obligated to possess NPWP”, for those who are not obligated to possess Taxpayer Registration Number

37. Company Address (use of P.O. BOX not allowed): Self-explanatory.



40. Business License/other licenses from the competent authority: Fill out with the Type and Number of License in accordance


19

Filling Out No.

Description

with the Type and Number of the License owned by the company. Can be more than one.


42. Names of the Owner/Majority Shareholders: Fill out according to the latest company’s Articles of Association available at PJK. The PJK may add the number of form of the Owner/Majority Shareholders according to its need.

II. DETAILS OF SUSPICIOUS FINANCIAL TRANSACTIONS 43. Type of Transactions:

For example: acquittal and contribution payment transaction. If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 53.

44. Date of Transactions: The date of transactions that triggers the occurrence of suspicions or having the indication of Suspicious Financial Transaction. If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 53.


46. Payment Instruments used: For example: Check, Clearing Account Letter, Traveller’s Cheque or cash/bank-notes, and others. If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 53.


48. Do such transactions use cash money?


20

Filling Out No.

Description

Select “Yes” or “No”. 49. Accounts used for transactions:

Example for Financing Institutions: Consumer, Leasing, Factoring, and Credit. Example for Pension Funds: Participation Account.

50. Office of Reporting PJK where transactions occur: Shall be the head office or branch office where Suspicious Financial Transactions occur. If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 53.

51. Other PJKs related to such transactions (if any): Other PJKs related to such transactions.

52. Third Party related to such transactions (if any): Names of other individual related to such transactions.

53. Details and description of Suspicious Financial Transactions: Detail description concerning the background, data of the enactor and transactions, as well as indicators and elements of Suspicious Financial Transaction that can be identified by PJK. Including in this description are other matters related to the transaction of customer among other thing customer’s profile, other PJK, other parties, and information concerning individual conducting transactions in the name of customer.

54. Codes of PJK: In accordance with the code (sign) of the respective PJKs given by PPATK.

55. Names of PJK: Self-explanatory.

56. Names and signatures of PJK officials: Self-explanatory


21


FINANCIAL TRANSACTION FORM FOR SECURITIES COMPANIES, MUTUAL FUND MANAGERS, AND CUSTODIANS.

Filling Out No.

Description

I. IDENTITY OF TRANSACTION ENACTORS A. Individual Customer

Fill out No. 1 to 11, if the enactor is an Individual Account Holder. 1. Full Name:

Full Name of the individual account holders as transaction enactor.





6. Full address of domicile (use of P.O. BOX not allowed): The latest address of account holder.


8. Occupation : Including occupation such as student, college student and housewife.

9. Office Address: For student/college student, fill out with the school/college address. For housewife, fill out with the concerned home address.



B. Corporate Account Holder


22

Filling Out No.

Description

Fill out No. 12 to 21, if the enactor is a Corporate Account Holder.12. Name of Company:

Self-explanatory. 13. Type of Legal Entity/other Entities:

Examples of type of legal entity/other entities are Limited Liability Company (PT), Limited Partnership (CV), Firm, Commercial Business, Foundation, Cooperatives, Non-Government Organization (NGO), Political Party.








21. Names of the Owners/Majority Shareholders: Fill out according to the latest company’s Articles of Association available at PJK. The PJK may add the number of form of the Owners/Majority Shareholders according to its need.

C. Proxy Holder/Intermediary


23

Filling Out No.

Description

Shall be the party authorized by or Intermediary of Account Holder to conduct transactions indicated as Suspicious Financial Transactions.

C.1. Proxy Holder/Individual Intermediary Fill out No. 22 to 32, if the enactor is Proxy Holders/Individual Intermediary.

22. Full Name: Full name of the Proxy Holder/Intermediary.

23. Nickname: Self-explanatory.




27. Full address of domicile (use of P.O. BOX not allowed): The latest domicile address and telephone number account holder.


29. Occupation : Including occupation such as student, college student, and housewife.

30. Office Address: For student/college student, fill out with the school/college address. For housewife, fill out the concerned home address.


32. Proofs of identity (can be more than one): Self-explanatory.

C.2. Proxy Holder/Corporate Intermediary Fill out No. 33 to 42, if the enactor is Proxy Holder/Corporate Intermediary.



24

Filling Out No.

Description



36. Taxpayer Registration Number (NPWP): Fill out with “Not obligated to possess NPWP”, for those who are not obligated to possess Taxpayer Registration Number.

37. Company’s Address (use of P.O. BOX not allowed): Self-explanatory.





42. Names of the Owners/Majority Shareholders: Fill out according to the latest company’s Articles of Association available at PJK. The PJK may add the number of form of the Owner/Majority Shareholders according to its need.

II. DETAILS OF SUSPICIOUS FINANCIAL TRANSACTIONS 43. Type of Transactions:

Among other things securities or stock purchase transaction.


25

Filling Out No.

Description

If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 53.

44. Date of Transactions: The date of transactions that triggers the occurrence of suspicions or having the indication of Suspicious Financial Transaction. If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 53.


46. Payment Instruments used: For example: Check, Clearing Account Letter, Money Transfer, and other. If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 53.


48. Are they Walk-in Customers? Select “Yes” or “No”.

49. Accounts used for transactions: Example: Securities Regular Account or Securities Margin Account.

50. Office of Reporting PJK where transactions occur: Shall be the PJK head office or branch office where Suspicious Financial Transactions occur. If the Suspicious Financial Transaction consists of a series of several transactions, please describe them in Number 53.

51. Other PJKs related to such transactions (if any): Other PJKs related to suspicious financial transactions.

52. Third Party related to such transactions (if any): Names of other individual related to suspicious financial transactions.

53. Details and description of the Suspicious Financial Transactions:


26

Filling Out No.

Description

Detail description concerning the background, data of the enactor and transactions, as well as indicators of Suspicious Financial Transaction.

54. Codes of PJK: In accordance with the code (sign) of the respective PJKs given by PPATK.

55. Name of PJK: Self-explanatory.

56. Names and signatures of PJK officials: Self-explanatory

B. Electronic Reporting

The substance and explanation about Electronic Reporting Form of Suspicious Financial Transactions are based on the explanation of the above Manual Reporting Form. The procedure for filling out Suspicious Financial Transaction Reporting Form electronically can be seen in the attached User’s Guide.


27

CHAPTER 4: Time Limit for Submission of Report

1. Suspicious Financial Transaction reports shall be submitted to the PPATK by no later than 3 (three) business days after PJK knows the elements of Suspicious Financial Transactions.

2. Such 3 (three) business day period shall commence as from

the date the PJK knows the elements of Suspicious Financial Transactions to the date the Suspicious Financial Transactions is received by the PPATK. Referred to as PJK shall be the officials of PJK’s Head Office who are competent to determine the status of a transaction as Suspicious Financial Transactions. Principally, earlier reporting will improve the effectiveness of preventive action or other necessary actions. Therefore, PJK must pay attention to the time period for determining the status of a transaction as Suspicious Financial Transaction.

3. Financial Dealers deliberately not submitting such Suspicious

Financial Transaction report to the PPATK shall be subject to a minimum fine of Rp.250,000,000.00 (two hundred and fifty million rupiah) and a maximum fine of Rp.1,000,000,000.00 (one billion rupiah).

4. The date of receipt at the PPATK shall be:

a. In the event that such reporting is done manually, the date

of receipt of Suspicious Financial Transaction Reports may be:

- The date of receipt by the courier/expedition services;

or

Chapter

4


28

- The date of post office stamp; or

- The date of receipt at PPATK.

b. In the event that such reporting is done electronically, the

date shall be the submission date recorded automatically in the PPATK’s Suspicious Financial Transaction Report system.

5. Explanation concerning identification of Suspicious Financial

Transaction by PJK shall be described in detail in the Guidelines for the Identification of Suspicious Financial Transactions (Guideline II).

6. The Identification of Suspicious Financial Transaction shall be

conducted in accordance with the internal procedures of the respective PJKs. If elements of Suspicious Financial Transaction are found, the Suspicious Financial Transaction reporting must be decided and reported by the competent PJK Officials in accordance with the applicable provisions.


29

CHAPTER 5: Submission Address

A. Manual Reporting Manual reporting shall be addressed to:

Indonesian Financial Transaction Reports and Analysis Center (PPATK) BI Building Kebon Sirih, 4th Floor Jl. Kebon Sirih No. 82 – 84 Jakarta 10010

B. Electronic Reporting Electronic reporting shall be conducted using user id and password provided by the PPATK by accessing PPATK’s Suspicious Financial Transaction reporting server, the address of which will be informed individually by the PPATK to the respective PJKs.

Chapter

5


30

CHAPTER 6: Reporting Methods A. Manual Reporting

1. Suspicious Financial Transaction Reports shall be sent in sealed envelopes under a special treatment considering their high level of confidentiality.

2. In the event that PJK uses courier/expedition services to

submit Suspicious Financial Transaction Reports, then the relevant PJK must pay their attention to the following:

a. Measures that can be taken to avoid possible information

abuses or mistakes that may be detrimental to the PJK, customers or public at large directly or indirectly.

b. The security aspect in facility utilization used for preparing

reports or documents.

c. Granting of authority from PJK to courier/expedition service companies to deliver reports to the PPATK.

3. PJK shall be obligated to fill out Suspicious Financial

Transaction Report forms with the required data in compliance with the available format.

B. Electronic Reporting

1. Electronic reporting of Suspicious Financial Transactions by PJK shall be conducted under a special treatment considering their high level of confidentiality.

Chapter

6


31

2. PJK must administer , user id, password, and address of Suspicious Financial Transaction reporting server under a special treatment and must take the following measures:

a. Take measures that can avoid possible violation of user id,

password, and address of Suspicious Financial Transaction reporting server or mistakes that may be detrimental to the PJK, customers or public at large directly or indirectly.

b. Heed the security aspect in facility utilization used for

preparing reports and or documents such as user id, password, computer, diskette, print-out of reports and documents in the context of reporting Suspicious Financial Transactions.

3. PJK shall fill out Suspicious Financial Transaction Report

forms with the required data in compliance with the available format.


32

CHAPTER 7: Confidentiality

1. Suspicious Financial Transaction reports are very confidential documents.

2. Each PJK shall be responsible for the confidentiality of

Suspicious Financial Transaction reports. 3. The PPATK shall also be responsible for the confidentiality of

Suspicious Financial Transaction reports, since their acceptance by PPATK.

4. The directors, officials, or employees of Financial Dealers

shall be prohibited from informing financial service users or other parties directly or indirectly by any method whatsoever, about Suspicious Financial Transaction Reports being prepared or having been submitted to the PPATK.

5. Officials or PPATK, and investigators/inquirers shall be

prohibited from informing customers directly or indirectly by any method whatsoever, of Suspicious Financial Transaction Reports submitted to the PPATK or investigators.

6. The directors, officials, or employees of Financial Dealers,

officials or employees of the PPATK as well as investigators/inquirers violating the provisions as intended in items 4 and 5 above, shall be subject to a minimum imprisonment of 3 (three) years and a maximum imprisonment of 5 (five) years, and a minimum fine of Rp.100,000,000.00 (one hundred million rupiah) and a maximum fine of Rp.1,000,000,000.00 (one billion rupiah).

7. Implementation of reporting obligation by Financial Dealers in

the form of banks including submission of supporting

Chapter

7


33

documents shall be excluded from bank confidentiality provisions as intended in Law providing for bank confidentiality.


34

CHAPTER 8: Miscellaneous

Inquiries related to Suspicious Financial Transaction Reports shall be addressed to PPATK to the following address: E-mail : [email protected]

Chapter

8

BANK

I. IDENTITY OF TRANSACTION PERFORMERA. INDIVIDUAL ACCOUNT HOLDER

1 Full Name……………………………………………………………………………………..

2 Nick name / Alias (if any)……………………………………………………………………………………..

3 Sex……………………………………………………………………………………..

4 Place & Date of Birth……………………………………………………………………………………..

5 Citizenship……………………………………………………………………………………..

6 Full address of domicile (use of P.O. BOX not allowed):……………………………………………………………………………………..……………………………………………………………………………………..……………………………………………………………………………………..

7 Telephone no. (may be more than one): ……………………………………8 Occupation

……………………………………………………………………………………..9 Address of occupation …………………………………………………………..

……………………………………………………………………………………..10 Tax ID No. ..………………………………………………………………………11 Personal Identity (may be more than one)

a. No. of ID Card ……………………………………………………………..Valid until ……………………………………………………………….

b. No. of Passport ..………………………………………………………….Valid until ……………………………………………………………….

c. No. of Driving License ……………………………………………………..Valid until ……………………………………………………………….

d. No. of Temporary Living Permit …………………………………………Valid until ……………………………………………………………….

e. No. of Student Card ………………………………………………………Valid until ……………………………………………………………….

f. Others …………………………………………………………………….Valid until ……………………………………………………………….

B. CORPORATE ACCOUNT HOLDER12 Name of Company

……………………………………………………………………………………..13 Type of Legal Entity / Other Entity

……………………………………………………………………………………..14 Domicile of Legal Entity / Other Entity

……………………………………………………………………………………..

SUSPICIOUS TRANSACTION REPORT

1

BANK


15 Tax ID No. …...………………………………………………………………16 Full address of company (use of P.O. BOX not allowed):

……………………………………………………………………………………..……………………………………………………………………………………..……………………………………………………………………………………..

17 Telephone No. (may be more than one) ……………………………………….18 Main Business Line

………………………………………………………………………………………19 Business license / other license from competent authorities

a. Type and License No. …………………………………………………..Date of issue ………………………………………………………………..

b. Type and License No. …………………………………………………..Date of issue ………………………………………………………………..

c. Type and License No. …………………………………………………..Date of issue ………………………………………………………………..

20 Name of Company's Managementa. Name ……………………………………………………………………….

Occupation ………………………………………………………………..b. Name …………………………………………………………………………

Occupation ………………………………………………………………..c. Name …………………………………………………………………………

Occupation ………………………………………………………………..21 Name of Owner/Majority Shareholder

a. Name …………………………………………………………………………b. Name …………………………………………………………………………c. Name …………………………………………………………………………

C BENEFICIAL OWNER/BROKER/PROXY/WALK-IN CUSTOMER(choose that apply to)C.1. INDIVIDUAL

22 Full Name…………………………………………………………………………………

23 Nick name / Alias (if applicable)…………………………………………………………………………………

24 Sex…………………………………………………………………………………

25 Place & Date of Birth…………………………………………………………………………………

26 Citizenship…………………………………………………………………………………

27 Full address of domicile (use of P.O. BOX not allowed):………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………

2

BANK


28 Telephone no. (may be more than one): ………………………………….29 Occupation

…………………………………………………………………………………30 Address of occupation ……………………………………………………

…………………………………………………………………………………31 Tax ID No. ..………………………………………………………………..32 Personal Identity (may be more than one)

a. No. of ID Card …………………………………………………………Valid until ……………………………………………………………….

b. No. of Passport ..………………………………………………………Valid until ……………………………………………………………….

c. No. of Driving License …………………………………………………Valid until ……………………………………………………………….

d. No. of Temporary Living Permit ………………………………………Valid until ……………………………………………………………….

e. Others …………………………………………………………………….Valid until ……………………………………………………………….

C.2. COMPANY33 Name of Company

…………………………………………………………………………………34 Type of Legal Entity / Other Entity

…………………………………………………………………………………35 Domicile of Legal Entity / Other Entity

…………………………………………………………………………………36 Tax ID No. …...………………………………………………………………37 Full address of company (use of P.O. BOX not allowed):

………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………

38 Telephone No. (may be more than one) …………………………………39 Main Business Line

…………………………………………………………………………………40 Business license / other license from competent authorities




3

BANK



Occupation ………………………………………………………………..b. Name ……………………………………………………………………..

Occupation ………………………………………………………………c. Name ……………………………………………………………………


a. Name ……………………………………………………………………b. Name ……………………………………………………………………c. Name ……………………………………………………………………

II DETAILS OF SUSPICIOUS FINANCIAL TRANSACTIONS43 Type of Transaction (e.g. deposit, withdrawal, transfer, TC purchase, etc)

………………………………………………………………………………………………44 Date of Transaction

……………………………………………………………………………………………45 Value of Transaction (in Rupiah) ……………………………………………………..46 Payment Instrument used

……………………………………………………………………………………………47 Is foreign exchange used ? Yes No48 Is cash used for transaction ? Yes No49 Is the party a walk-in customer? Yes No50 Account (s) used for transaction

a. Type of account …………………………………………………………..Account holder …………………………………………………………..No. of account …………………………………………………………..

b. Type of account …………………………………………………………..Account holder …………………………………………………………..No. of account …………………………………………………………..

c. Type of account …………………………………………………………..Account holder …………………………………………………………..No. of account …………………………………………………………..

d. Type of account …………………………………………………………..Account holder …………………………………………………………..No. of account …………………………………………………………..

e. Type of account …………………………………………………………..Account holder …………………………………………………………..No. of account …………………………………………………………..

51 Office of Reporting Bank where transaction occurs…………………………………………………………………………………………….

52 Other bank related to the transaction (if any)…………………………………………………………………………………………….

4

BANK


53 Third party related to the transaction (if any)a. Name ….………………………………………………………………………..b. No. of account ………………………………………………………………….…

54 DETAILS AND DESCRIPTION OF SUSPICIOUS FINANCIAL TRANSACTION(served in separate pages)

III IDENTITY OF REPORTING BANK55 Code of Bank

……………………………………………………………………………………………56 Name of Bank

……………………………………………………………………………………………57 Name and signature of Bank's Officer(s)

……………………………………………………………………………………………

5

I. IDENTITY OF POLICY HOLDERA. INDIVIDUAL POLICY HOLDER

1 Full Name……………………………………………………………………………………..


3 Sex……………………………………………………………………………………..


5 Citizenship……………………………………………………………………………………..


7 Telephone no. (may be more than one): ……………………………………8 Occupation






d. No. of Temporary Living Permit …………………………………………Valid until ……………………………………………………………….


f. Others …………………………………………………………………….Valid until ……………………………………………………………….

B. CORPORATE POLICY HOLDER12 Name of Company



……………………………………………………………………………………..

SUSPICIOUS TRANSACTION REPORTINSURANCE

1



……………………………………………………………………………………..……………………………………………………………………………………..……………………………………………………………………………………..







Occupation ………………………………………………………………..b. Name …………………………………………………………………………

Occupation ………………………………………………………………..c. Name …………………………………………………………………………

Occupation ………………………………………………………………..21 Nama of Owner/Majority Shareholder

a. Name …………………………………………………………………………b. Name …………………………………………………………………………c. Name …………………………………………………………………………

C POLICY HOLDER's PROXYC.1. INDIVIDUAL POLICY HOLDER's PROXY

22 Full Name…………………………………………………………………………………


24 Sex…………………………………………………………………………………


26 Citizenship…………………………………………………………………………………


2


28 Telephone no. (may be more than one): ………………………………….29 Occupation








C.2. CORPORATE POLICY HOLDER's PROXY33 Name of Company




………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………

38 Telephone No. (may be more than on…………………………………………39 Main Business Line





3



Occupation ………………………………………………………………..b. Name ……………………………………………………………………..

Occupation ………………………………………………………………..c. Name ……………………………………………………………………….

Occupation ………………………………………………………………..42 Nama of Owner/Majority Shareholder

a. Name ……………………………………………………………………..b. Name ……………………………………………………………………..c. Name ……………………………………………………………………..

II DETAILS OF SUSPICIOUS FINANCIAL TRANSACTIONS43 Type of Insurance/Policy



……………………………………………………………………………………………47 Is foreign exchange used ? Yes No48 Is cash used for transaction ? Yes No49 Account (s) used for transaction






50 Office of Reporting Insurance Company where transaction occurs…………………………………………………………………………………………….

51 Name of Beneficiary…………………………………………………………………………………………….

4


52 Address of Beneficiary…………………………………………………………………………………………….

53 Account No. and Beneficiary Bank


III IDENTITY OF REPORTING INSURANCE COMPANY55 Code of Insurance company

……………………………………………………………………………………………56 Name of Insurance company

……………………………………………………………………………………………57 Name and signature of Insurance's Officer(s)

……………………………………………………………………………………………

5

Pension Fund and Financing Institution


1 Full Name……………………………………………………………………………………..


3 Sex……………………………………………………………………………………..


5 Citizenship……………………………………………………………………………………..


7 Telephone no. (may be more than on…………………………………………………8 Occupation






d. No. of Temporary Living Perm………………………………………………….Valid until ……………………………………………………………….


f. Others ……………………………………………………………………………..Valid until ……………………………………………………………….




……………………………………………………………………………………..





……………………………………………………………………………………..……………………………………………………………………………………..……………………………………………………………………………………..

17 Telephone No. (may be more than on………………………………………………….18 Main Business Line


a. Type and License N………………………………………………………………..Date of issue ………………………………………………………………..

b. Type and License N………………………………………………………………..Date of issue ………………………………………………………………..

c. Type and License N………………………………………………………………..Date of issue ………………………………………………………………..

20 Name of Company's Managementa. Name ……………………………………………………………………………

Occupation ………………………………………………………………..b. Name ……………………………………………………………………………

Occupation ………………………………………………………………..c. Name ……………………………………………………………………………


a. Name ……………………………………………………………………………b. Name ……………………………………………………………………………c. Name ……………………………………………………………………………

C BENEFICIAL OWNER/BROKER/PROXY(choose that apply to)C.1. INDIVIDUAL

22 Full Name…………………………………………………………………………………


24 Sex…………………………………………………………………………………


26 Citizenship…………………………………………………………………………………




28 Telephone no. (may be more than one): …………………………………………29 Occupation












………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………



a. Type and License No. …………………………………………………..Date of issue ……………………………………………………………

b. Type and License No. …………………………………………………..Date of issue ……………………………………………………………

c. Type and License No. …………………………………………………..Date of issue ……………………………………………………………



41 Name of Company's Managementa. Name …………………………………………………………………

Occupation ……………………………………………………………b. Name …………………………………………………………………

Occupation …………………………………………………………c. Name …………………………………………………………………

Occupation …………………………………………………………42 Name of Owner/Majority Shareholder

a. Name …………………………………………………………………b. Name …………………………………………………………………c. Name …………………………………………………………………

II DETAILS OF SUSPICIOUS FINANCIAL TRANSACTIONS43 Type of Transaction



……………………………………………………………………………………………47 Is foreign exchange used ? Yes No48 Is cash used for transaction ? Yes No49 Account (s) used for transaction






50 Office of Reporting PFS where transaction occurs…………………………………………………………………………………………….

51 Other Providers of Financial Services related to the transaction (if any)…………………………………………………………………………………………….



52 Third party related to the transaction (if any)a. Nama ……………………………………………………………………………..b. No. Rekening ………………………………………………………………….…


III IDENTITY OF REPORTING PROVIDER OF FINANCIAL SERVICES (PFS)54 Code of PFS

……………………………………………………………………………………………55 Name of PFS

……………………………………………………………………………………………56 Name and Signature of PFS' Officer(s)

……………………………………………………………………………………………

Securities Company, Fund Manager and Custodian Bank


1 Full Name……………………………………………………………………………………..


3 Sex……………………………………………………………………………………..


5 Citizenship……………………………………………………………………………………..


7 Telephone no. (may be more than one …………………………………………………8 Occupation






d. No. of Temporary Living Permit ………………………………………………….Valid until ……………………………………………………………….


f. Others ………………………………………………………………………………..Valid until ……………………………………………………………….




……………………………………………………………………………………..





……………………………………………………………………………………..……………………………………………………………………………………..……………………………………………………………………………………..






20 Name of Company's Managementa. Name ………………………………………………………………………………

Occupation ………………………………………………………………..b. Name ………………………………………………………………………………

Occupation ………………………………………………………………..c. Name ………………………………………………………………………………


a. Name ………………………………………………………………………………b. Name ………………………………………………………………………………c. Name ………………………………………………………………………………

C BROKER/PROXY(choose that apply to)C.1. INDIVIDUAL

22 Full Name…………………………………………………………………………………


24 Sex…………………………………………………………………………………


26 Citizenship…………………………………………………………………………………

27 Full address of domicile (use of P.O. BOX not allowed):……………………………………………………………………………………………………………………………………………………………………



28 Telephone no. (may be more than one): ……………………………………………29 Occupation












………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………



a. Type and License No. …………………………………………………..Date of issue ……………………………………………………………

b. Type and License No. …………………………………………………..Date of issue ……………………………………………………………

c. Type and License No. …………………………………………………..Date of issue ……………………………………………………………



41 Name of Company's Managementa. Name …………………………………………………………………

Occupation ……………………………………………………………b. Name …………………………………………………………………

Occupation …………………………………………………………c. Name …………………………………………………………………

Occupation …………………………………………………………42 Name of Owner/Majority Shareholder

a. Name …………………………………………………………………b. Name …………………………………………………………………c. Name …………………………………………………………………

II DETAILS OF SUSPICIOUS FINANCIAL TRANSACTIONS43 Type of Transaction



……………………………………………………………………………………………47 Is foreign exchange used ? Yes No48 Is he/she walk-in customer? Yes No49 Account (s) used for transaction






50 Office of Reporting PFS where transaction occurs…………………………………………………………………………………………….

51 Other Providers of Financial Services (PFS) related to the transaction (if any)…………………………………………………………………………………………….



52 Third party related to the transaction (if any)a. Nama ……………………………………………………………………………..b. No. Rekening ………………………………………………………………….…


III IDENTITY OF REPORTING PROVIDER OF FINANCIAL SERVICES (PFS)54 Code of PFS

……………………………………………………………………………………………55 Name of PFS

……………………………………………………………………………………………56 Name and Signature of PFS' Officer(s)

……………………………………………………………………………………………

DECISION OF THE HEAD OF THE INDONESIAN FINANCIAL ... · For public cognizance, hereby ordering the...

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