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Blanchiment / avocats. Rapport de l'autorité de surveillance des avocats au Royaume-Uni

Blanchiment / avocats. Rapport de l'autorité de surveillance des avocats au Royaume-Uni

L'activité examinée par la Solicitors Regulation Authority (l'autorité de surveillance des avocats au Royaume-Uni) en mai 2019 sur un échantillon de  60 études est l'activité fiduciaire au sens le plus large, soit l'activité qui consiste à :
« - form companies or other legal persons
- provide a registered office or business address for a company, partnership, other legal person or arrangement
- act or arrange for another person to act as a :
*director or secretary of a company
*partner (or in a similar position) for other legal persons
*trustee of an express trust or similar legal arrangement
*nominee shareholder for another person, unless the other person is a company listed on a regulated market which is subject to acceptable disclosure requirements. »
Chaque étude d'avocat active dans le domaine doit établir un Risk Assessment au niveau de l'étude. « This is a key document and informs an organisation's controls and mitigations. » et l'étude « must also keep an up-to-date record in writing of all the steps they have taken to produce the assessment ». Par ailleurs « The firm risk assessment must cover six risk factors :
- areas identified by our sectoral risk assessment
- type of clients
- countries in which it operates
- its products or service areas
- types of transaction
- delivery methods. » 

Les études doivent également avoir des file risk assessments, qui couvrent les dossiers individuels. Les dossiers doivent être revus régulièrement. Les Etudes doivent avoir une politique AML qui doit:
- be based on the risk assessment
- be approved by senior management
- be updated
- provide guidance about how to identify and scrutinise complex transactions 
- provide guidance about how to identify transactions with no apparent economic or legal purpose
- be based on appropriate guidance. 

Les obligations en matière d'identification des clients sont importantes et comprennent l'obligation d'identifier l'ayant-droit économique : « When acting for a trust or company, the firm must obtain and verify the name of the organisation, a company/registration number and the registered office. There are also requirements to identify the control structure, all beneficial owners and take reasonable measures to verify their identity ». 

Les avocats ne communiquent pas assez leurs soupçons « Only ten firms - a sixth of our sample - had submitted suspicious activity reports (SARs) in the last two years. This tallies with concerns raised by the National Crime Agency (NCA) that generally law firms are not being proactive enough in looking to identify and then report suspicious activity.

À relever que suite au rapport la Solicitors Regulation Authority a « referred 26 firms into our disciplinary processes » et signale que « At the beginning of May 2019, we had more than 160 live investigations into law firms linked to money laundering issues. »

Lire le rapport ici
 

iusNet DB 20.05.2019

Blanchiment / avocats. Rapport de l'autorité de surveillance des avocats au Royaume-Uni

Arbeitshilfen
Réglementation et surveillance

Blanchiment / avocats. Rapport de l'autorité de surveillance des avocats au Royaume-Uni

L'activité examinée par la Solicitors Regulation Authority (l'autorité de surveillance des avocats au Royaume-Uni) en mai 2019 sur un échantillon de  60 études est l'activité fiduciaire au sens le plus large, soit l'activité qui consiste à :
« - form companies or other legal persons
- provide a registered office or business address for a company, partnership, other legal person or arrangement
- act or arrange for another person to act as a :
*director or secretary of a company
*partner (or in a similar position) for other legal persons
*trustee of an express trust or similar legal arrangement
*nominee shareholder for another person, unless the other person is a company listed on a regulated market which is subject to acceptable disclosure requirements. »
Chaque étude d'avocat active dans le domaine doit établir un Risk Assessment au niveau de l'étude. « This is a key document and informs an organisation's controls and mitigations. » et l'étude « must also keep an up-to-date record in writing of all the steps they have taken to produce the assessment ». Par ailleurs « The firm risk assessment must cover six risk factors :
- areas identified by our sectoral risk assessment
- type of clients
- countries in which it operates
- its products or service areas
- types of transaction
- delivery methods. » 

iusNet DB 20.05.2019

 

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