Outcomes FATF Plenary, 21-23 October 2020

2020年10月21至23日 FATF全体会议成果

Paris, 23 October 2020 - The FATF President, Dr Marcus Pleyer, chaired his first Plenary meeting of the two-year German Presidency of the FATF. 

巴黎，2020年10月23日， FATF主席Marcus Pleyer博士主持了德国作为为期两年的轮值主席国的第一次全体会议。

The COVID-19 pandemic continues to have a devastating impact around the world. The road to economic recovery from this crisis will be long and uncertain, as governments around the world will focus resources and efforts to help communities that have suffered from the pandemic.

新冠肺炎疫情继续在世界范围内造成破坏性影响。这场危机使经济复苏的道路变得漫长而不确定，因为世界各国政府将集中资源和力量来帮助遭受疫情影响的群体。

Meanwhile, criminals continue to exploit the situation, including through fraud schemes linked to medical and protective equipment. This is why the full and effective implementation of the FATF Standards remains critical. Countries and public authorities need to take a risk-based approach that prevents or mitigates the emerging criminal risks and trends linked to the pandemic and ensure funds reach legitimate recipients, particularly those in need. The FATF is committed to proceeding with its work under the current circumstances. The three-day plenary meeting took place virtually due to the COVID-19 pandemic and delegates worked through a full agenda

同时，犯罪分子继续利用这种情况，包括通过与医疗和防护设备相关的骗局。因此，全面有效地实施FATF标准仍然至关重要。各国和公共权威委员会需要采取基于风险为本的方法，以预防或减轻与新冠肺炎疫情相关的新的犯罪风险和趋势，并确保资金流向合法的受益者，特别是有需要的受益者。金融行动特别工作组致力于在当前情况下继续开展工作。这次为期三天的全体会议实际上是为了新冠肺炎疫情而召开的，代表们参与了整个议程。

1.  Strategic Initiatives 战略举措

a)  ML/TF Risks and FATF Policy Responses to COVID-19 since May 2020 自2020年5月以来对新冠肺炎的洗钱和恐怖融资风险和FATF政策回应

b)  Strengthening the Global Network 加强全球网络

2.  Country-specific processes 具体国家的程序

a)  Impact of COVID-19 on FATF Mutual Evaluation and Follow-up Processes 新冠肺炎对FATF互评估和后续程序的影响

b)  Impact of COVID-19 on FATF Processes to Monitor Jurisdictions Under Increased Monitoring 在日益强化的监控下，新冠肺炎对FATF监控辖区的程序的影响

c)  Jurisdictions under Increased Monitoring 加强监控的地区

d)  Jurisdictions No Longer under Increased Monitoring – Iceland and Mongolia 不再受加强监控的辖区–冰岛和蒙古

3.  Other Strategic Initiatives 其他战略举措

a)  Strengthening Measures to Prevent the Financing of Proliferation of Weapons of Mass Destruction 加强措施，防止为大规模杀伤性武器扩散提供资金

b)  Joint Experts' Meeting 专家联合会议

1. Strategic Initiatives 战略举措

ML/TF Risks and FATF Policy Responses to COVID-19 since May 2020 

自2020年5月以来受新冠肺炎疫情影响的洗钱和恐怖融资风险和FATF的应对政策 

The COVID-19 pandemic is lasting longer than many predicted, and continues to cause human suffering and economic disruption around the world. At the same time, an increasing number of cases of counterfeiting of medical goods, investment fraud, adapted cyber-crime scams and exploitation of economic stimulus measures, demonstrate that criminals are still actively exploiting the ongoing crisis. 

新冠肺炎疫情的持续时间比许多人预期的要长，并且还继续在世界范围内使人类遭受痛苦，并对经济造成破坏。同时，越来越多的假冒医疗产品，投资诈骗，新型的网络犯罪骗局和利用经济刺激措施的案件表明，犯罪分子仍在积极利用当前的危机。

Over the coming months, criminals may also find ways to exploit the inevitable rise in unemployment, the increases in remote transactions and the accelerated implementation of stimulus programs.

在未来几个月中，犯罪分子还可能利用不可避免上升的失业率、增长的远程交易和加速实施的刺激计划探索新的犯罪方法。

It is critical that jurisdictions actively identify, assess, and understand how criminals and terrorists can exploit the pandemic. However, a survey across the FATF Global Network highlights that the pandemic has severely impacted some authorities’ ability to implement measures to detect, prevent and investigate money laundering and terrorist financing. It is crucial for countries to fully and effectively implement the FATF Recommendations, using a risk-based approach to ensure that measures to prevent or mitigate the risks are commensurate with the money laundering and terrorist financing risks identified. 

积极地识别、评估和了解罪犯和恐怖分子如何利用这次的新冠疫情对受监管辖区来说至关重要。然而，金融行动特别小组对全球网络开展的一项调查显示，这次的新冠疫情严重影响了一些政府识别、预防和调查洗钱和恐怖融资的能力。对于各国来说，至关重要的是要充分有效地执行FATF建议，采用风险为本的方法，以确保所采取的预防或减少风险的措施与已识别出的洗钱和恐怖融资风险相对应。

Strengthening the Global Network 加强全球网络

The strength of the FATF lies in its ability to bring together a global network of over 200 countries and jurisdictions that have committed at the highest levels to implementing the FATF Recommendations. One of the priorities of the FATF is to further enhance cooperation with the FATF-Style Regional Bodies (FSRBs) to improve the implementation of the FATF Standards across the whole Global Network. Despite the difficult COVID-19 context, the FSRBs have deployed considerable efforts to support their members and conduct mutual evaluation work, but they still face challenges to complete the current round of mutual evaluations. The Plenary encouraged FATF members to explore possible solutions to enhance and better target their support to FSRBs, in particular on their mutual evaluation programmes. 

金融行动特别工作组的实力在于能够将全球200多个国家和地区组成一个全球网络，这些国家和地区已对实施金融行动特别工作组的建议做出了最高的承诺。FATF的优先事项之一是进一步加强与FATF式区域组织（FSRB）的合作，以加强整个全球网络中FATF标准的实施力度。尽管新冠肺炎疫情仍然面临困难，但相关区域组织仍付出了巨大的努力来支持其成员国并开展互评估工作，但在完成本轮互评估方面仍然面临挑战。全体会议鼓励金融行动特别工作组成员探索可能的解决方案，以加强和更好地对相关区域组织提供支持，尤其是在互评估项目上。

2. Country-specific processes 具体国家的程序 

Impact of COVID-19 on FATF Mutual Evaluation and Follow-up Processes 

新冠肺炎对FATF互评估和后续方法的影响

In April 2020, the FATF decided to postpone its assessment and follow-up deadlines in response to the COVID-19 pandemic. Now six months later, the crisis is persisting and is continuing to impact some of the FATF mutual evaluation and follow-up processes.  Around the world, countries’ situations and responses vary, ranging from strict lockdown and travel restrictions to more relaxed crisis response measures. The persistence of the impact of COVID-19 pandemic remains uncertain. 

为了应对新冠肺炎疫情，金融特别行动组于2020年4月决定推迟评估和复审的截止日期。六个月后的今天，这场危机仍在持续，并继续影响着FATF的互评估和后续程序。在世界各地，各国的情况和对策各不相同，从严格的封锁和旅行限制到更宽松的危机应对措施。新冠肺炎疫情影响的持久性仍不确定。

The FATF is committed to carrying out its work of assessing the effective implementation of its standards.  Delegates discussed how to continue FATF mutual evaluations using a flexible approach, when crisis response measures limit or impede travel.  They discussed the objective criteria and procedures for handling mutual evaluations in a fair and consistent way while maintaining the quality of each assessment at a high standard.  These include procedures to conduct certain aspects of the on-site visit virtually or, if necessary, to postpone on-site visits.

金融行动特别工作组致力于评估其标准的有效实施情况。代表们讨论了在危机应对措施限制或阻止旅行时，如何使用灵活的方法继续进行FATF互评估。他们讨论了以公平一致的方式处理互评估的客观标准和程序，同时将每个评估工作的质量保持在高标准。这些措施包括以远程形式进行检查，或在必要时推迟现场检查的程序。

Impact of COVID-19 on FATF Processes to Monitor Jurisdictions Under Increased Monitoring 

在日益强化的监控下，新冠肺炎对FATF监控辖区的程序的影响

Delegates discussed how to continue FATF’s work to identify and respond to high-risk jurisdictions or jurisdictions with strategic weaknesses in their anti-money laundering and counter terrorist financing measures, when COVID-19 measures impede on-site visits and meetings of the regional review groups. Delegates agreed on flexible procedures, aligned with the mutual evaluations procedures, which allow on-site visits as necessary. These measures will ensure that this process, which is fundamental to FATF’s work, can continue under the current circumstances. 

代表们讨论了当新冠疫情阻碍现场检查和区域审核小组会议时，如何继续开展FATF的工作，以识别和应对高风险地区或在洗钱和恐怖融资措施方面存在战略性缺陷的地区。代表们同意采用与互评估程序相一致的灵活程序，以便在必要时进行现场访谈。在当前情况下，这些措施将确保可以继续进行对FATF工作至关重要的过程。 

Jurisdictions under Increased Monitoring 加强监控地区

Jurisdictions under increased monitoring are actively working with the FATF to address strategic deficiencies in their regimes to counter money laundering, terrorist financing, and proliferation financing. When the FATF places a jurisdiction under increased monitoring, it means the country has committed to resolve swiftly the identified strategic deficiencies within agreed timeframes and is subject to increased monitoring. In April 2020, the FATF granted jurisdictions an additional four months for deadlines due to the COVID-19 crisis. The FATF did not discuss or update the statement in June 2020, with the exception of Iceland and Mongolia. Since then, the FATF was able to review nine jurisdictions under increased monitoring and updated the statement accordingly for these jurisdictions. 

受到加强监控的地区正在与金融行动特别组织积极合作，以解决其政权在应对洗钱和恐怖融资和扩散融资方面的战略缺陷。当金融行动特别工作组将辖区置于强监控之下时，这意味着该国已承诺在商定的时限内迅速解决已查明的战略缺陷，并接受强化监控。2020年4月，由于新冠肺炎疫情危机，FATF授予相关辖区额外四个月的期限。除冰岛和蒙古外，FATF并未在2020年6月发表或更新该声明。此后，FATF完成了对9个加强监控辖区的审核工作，并相应地更新了针对这些地区的声明。

Jurisdictions No Longer under Increased Monitoring – Iceland and Mongolia 不再加强监控的辖区–冰岛和蒙古

The FATF congratulated Iceland and Mongolia for the significant progress they have made in addressing the strategic AML/CFT deficiencies identified earlier by the FATF and included in their respective action plans. Iceland and Mongolia will no longer be subject to the FATF’s increased monitoring process. This comes after both countries received on-site visits despite the COVID-19 crisis. Iceland will work with the FATF and Mongolia will work with the APG of which it is a member, to continue to strengthen their AML/CFT regimes. 

金融行动特别工作组祝贺冰岛和蒙古在解决被金融行动特别工作组早些时候识别出并纳入各自行动计划的反洗钱和打击资助恐怖主义战略性缺陷方面取得的重大进展。冰岛和蒙古将不再受制于FATF加强的监控程序。尽管发生了新冠肺炎疫情，但两国都接受了现场检查。冰岛将与金融行动特别工作组合作，蒙古将与其所属的APG合作，以继续加强其反洗钱和打击资助恐怖主义管理工作。

3. Other strategic Initiatives其他战略举措

Strengthening Measures to Prevent the Financing of Proliferation of Weapons of Mass Destruction 

加强措施，防止为大规模杀伤性武器扩散提供资金

In June 2019, the FATF agreed to pursue further work to strengthen the FATF Standards on countering the financing of proliferation. Following a public consultation on the draft amendments to Recommendation 1 and its Interpretive Note, the FATF Plenary approved revisions to the FATF Recommendations. The revised Recommendation 1 and its Interpretive note require countries and private sector entities to identify, assess, manage and mitigate the risks of potential breaches, non-implementation, or evasion of the targeted financial sanctions related to proliferation financing. 

2019年6月，金融行动特别工作组同意开展进一步工作，以加强反洗钱融资的金融行动特别工作组标准。在就建议1的修订草案及其解释性说明进行公开征求意见之后，FATF全体会议批准了对FATF建议的修订。经修订的建议书1及其解释性说明要求各国和私营企业实体识别、评估、管理和降低与扩散融资有关的金融制裁的潜在违约、不执行或逃避的风险。

The FATF also adopted changes to Recommendation 2 and a new Interpretive Note to Recommendation 2, to enhance domestic co-operation, co-ordination and information exchange among national authorities. 

金融行动特别工作组还通过了对建议2的修改和对建议2的新解释性说明，以加强国家主管部门之间的合作、协调和信息交换。

Delegates also discussed the ongoing work to develop a new FATF Guidance on proliferation financing risk assessment and mitigation. This guidance will provide further clarity to countries and the private sector on implementation of the new requirements, including for small or low-risk entities so as to avoid unintended consequences, such as financial exclusion. 

代表们还讨论了正在进行的关于评估和降低扩散融资风险的FATF新指南的编制工作。该指南将使各国和私营企业进一步了解执行实施措施的新要求，包括对小型或低风险实体的执行要求，从而避免例如金融排斥的意外后果。

Joint Experts' Meeting 联合专家会议

The FATF Plenary agreed to hold the next Joint Experts’ Meeting virtually, from 23-25 November.  The Joint Experts’ Meetings provide an important opportunity for operational experts from FATF and FSRB members, as well as other international bodies such as the IMF, United Nations and World Bank to discuss current and emerging money laundering and terrorist financing risks. During the next meeting, delegates will also discuss preliminary findings of three FATF priority projects: environmental crime, illicit arms trafficking, and the financing of ethnically and radically motivated terrorism. 

金融行动特别工作组全体会议同意了在11月23日至25日远程举行下一次联合专家会议。联合专家会议为来自金融行动特别工作组和金融服务监管局成员以及国际货币基金组织，联合国和世界银行等其他国际机构的业务专家提供了一个重要的机会，以讨论当前和新兴的洗钱和恐怖融资风险。在下一次会议上，与会代表还将讨论三个金融行动特别工作组优先项目的初步结果：环境犯罪，非法武器贩运以及资助极端种族恐怖主义。