欧洲议会与欧盟理事会关于修订理事会（关于防止利用金融系统洗钱的.docVIP

欧洲议会和欧盟理事会《关于修订理事会（关于防止利用金融系统洗钱的指令）的指令》（2001） Council Directive on Prevention of the Use of the Financial System for the Purpose of Money Laundering 背景：1991年6月10日，欧洲共同体理事会在卢森堡通过了欧盟的第一个反洗钱指令，即《关于防止利用金融系统洗钱的指令》（91/308/EEC）。该指令的颁布考虑到建立欧洲经济共同体的条约，以及反洗钱行动与金融系统的密切相关性和其国际协作的本质。 2001年12月，欧洲议会和欧盟理事会在布鲁塞尔通过了欧盟的第二个反洗钱指令，即《关于修订理事会关于防止利用金融系统洗钱的指令的指令》（2001/97/EC）。2001/97/EC号指令考虑到建立欧盟的条约、服务贸易总协议（General Agreement on Trade in Service）的原则以及国际洗钱的新趋势，通过修订 “信用机构”和“金融机构”的界定等来最大范围地覆盖金融业，对上游犯罪做出了进一步的核定，将履行必要义务的对象进行了扩展，对公证人等专业人员的相关行为和成员国应负义务做出了一定规定。 其中91/308/EEC号指令的第1、3、6、7、9、11条由2001/97/EC中的新条款代替，第2、8、10条分别添加了新内容，而第4、5、8、10、12条中的部分术语做了替代。本文以修订后的指令为准。 Article 1 For the purpose of this Directive: (A) Credit institution means a credit institution, as defined in Article 1(1) first subparagraph of Directive 2000/12/EC(9) and includes branches within the meaning of Article 1(3) of that Directive[1] and located in the Community[2], of credit institutions having their head offices inside or outside the Community; (B) Financial institution means: 1. an undertaking[3] other than a credit institution whose principal activity is to carry out one or more of the operations included in numbers 2 to 12 and number 14 of the list set out in Annex I to Directive 2000/12/EC; these include the activities of currency exchange offices (bureaux de change)[4] and of money transmission/remittance offices[5]; 2. an insurance company duly authorised in accordance with Directive 79/267/EEC(10), insofar[6] as it carries out activities covered by that Directive; 3. an investment firm as defined in Article 1(2) of Directive 93/22/EEC(11); 4. a collective investment undertaking[7] marketing its units[8] or shares. This definition of financial institution includes branches located in the Community of financial institutions, whose head offices are inside or outside the Community, (C) Money laundering means the following conduct when committed intentionally: - the conversion or transfer of pr