Кримінально-правова протидія порушенням законодавства України про фінансовий моніторинг

Ключові слова: фінансовий моніторинг; інформація; фінансова операція; леґалізація (відмивання) доходів, одержаних злочинним шляхом; суб'єкт первинного фінансового моніторингу; спеціально уповноважений орган виконавчої влади з питань фінансового моніторингу.

АННОТАЦИЯ

Старовойтова Ю.Г. Уголовно-правовое противодействие нарушениям требований законодательства Украины о финансовом мониторинге. - Рукопись. Диссертация на соискание научной степени кандидата юридических наук по специальности 12.00.08 - уголовное право и криминология; уголовно-исполнительное право. - Институт государства и права им. В.М. Корецкого НАН Украины, Киев, 2009.

Диссертация представляет собой комплексное исследование уголовно-правового противодействия нарушениям требований законодательства Украины о финансовом мониторинге. В работе рассмотрена система международно-правовых норм, которые закрепляют основные положения стратегии противодействия отмыванию доходов, полученных преступным путем, исследованы социально-правовые основания и принципы криминализации умышленного нарушения требований антилегализационного законодательства, определен родовой и непосредственные объекты преступлений, предусмотренных ст. 209-1 УК Украины, проанализированы признаки объективной стороны составов этих преступных деяний, выяснено содержание их субъективных признаков, освещено соотношение умышленного нарушения требований антилегализационного законодательства со смежными составами преступлений, а также административными проступками, предусмотренными ст. 166-9 КУоАП. В соответствии с результатами исследования сформулированы предложения по усовершенствованию ст. 209-1 УК Украины и ст. 166-9 КУоАП.

Ключевые слова: финансовый мониторинг; информация; финансовая операция; легализация (отмывание) доходов, полученных преступным путем; субъект первичного финансового мониторинга; специально уполномоченный орган исполнительной власти по вопросам финансового мониторинга.

ANNOTATION

Starovoitova Y.G. Criminal-Legal Counteraction to Violations of Legislation of Ukraine on Financial Monitoring. - Manuscript.

Thesis for awarding a Scientific Degree of the Candidate of Legal Sciences in Speciality 12.00.08 - Criminal Law and Criminology; Criminal Executive Law. - The V.M. Koretsky Institute of State and Law of the National Academy of Sciences of Ukraine, Kyiv, 2009.

The dissertation is the first complex research of criminal-legal counteraction to violations of legislation on financial monitoring.

In the recent years counteraction to money laundering has become one of the leading directions of the state policy of many countries. There is a developed international legislation that provides a number of measures which must be taken by national state bodies in order to combat the legalization of proceeds from crime.

The adoption of the art. 209-1 of the Criminal Code fully corresponds to the international requirements in this sphere. However, on the other hand, Ukrainian law enforcement officials have had some difficulties with practical application of the norms which are formulated in this article.

In the work the author carries out a detailed analysis of international documents which imply generally approved standards of anti-money laundering strategy. It is stated that national Ukrainian legislation in this sphere has been developing under the great influence of international institutions.

The social-legal grounds for criminalization of intentional violation of requirements of the legislation on prevention and counteraction to the legalization (laundering) of proceeds from crime have been identified, which makes possible to conclude that the norms of the art. 209-1 of the Criminal Code were formulated and adopted with violation of some system principles of criminalization.

The author proves that it is necessary to consider the objects of the mentioned crimes separately. It is stated that the main object of crime implied by the part 1 of the art. 209-1 is the legal relations which provide informational exchanging between the units of primary financial monitoring and the specially authorized state body on financial monitoring. Meanwhile, the main object of crime implied by the part 2 of the art. 209-1 is defined as the legal relations which provide the regime of confidence to the information that is given to the specially authorized state body on financial monitoring. The articles of crimes that are analyzed are defined as an information which is given to the specially authorized state body. Still, it is proved that the articles of these crimes differentiate not only within the art. 209-1 of the Criminal Code of Ukraine, but also within the part 1 of the mentioned norm.

Analyzing the legal characteristics of the objective side of the crimes prescribed by the art. 209-1 of the Criminal Code of Ukraine it is stated that it can be embodied in three alternative forms, which are: failure to report to the specially authorized state body on financial monitoring about financial transactions, sending to the mentioned body distorted information abut such transactions, and illegal disclosure of information that is sent to the special authorized state body. In the course of researching of the objective side of the crime prescribed by the part. 1 of the art. 209-1 of the Criminal Code of Ukraine the repetition element is analysed. It is proposed to exclude the reference to repetition from the disposition of the norm in question. Still, the necessity to prescribe the repetition as a qualifying element is proved.

Considering the subjects of the crimes prescribed by the art. 209-1 of the Criminal Code of Ukraine, it is concluded that only officials or those professionals who have access to the information which is sent to the specially authorized state body on financial monitoring due to their work position can commit the crimes mentioned. It is also necessary to distinguish the subjects of crimes prescribed by the different parts of the art. 209-1 of the Criminal Code of Ukraine.

In the work the necessity to differentiate the crime prescribed by the part 2 of the art. 209-1 of the Criminal Code of Ukraine and the administrative tort prescribed by the part 2 of the art. 166-9 of the Code of Ukraine on Administrative Delinquencies in accordance with the forms of guilt was proved.

While differentiating the crime prescribed by the art. 209-1 of the Criminal Code of Ukraine and the tort, the analysis of sanctions of these norms has been conducted. It is proposed to make punishment prescribed by the part 1 of the art. 209-1 less severe, and also provide punishment for repeated intentional violations of anti-money laundering legislation of Ukraine as a qualified offence.

Key words: financial monitoring, money laundering, the subject of primary financial monitoring, the specially authorized state body on financial monitoring, information, financial transaction.

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