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English to Spanish: Banking/Financial regulation of Costa Rica General field: Bus/Financial Detailed field: Finance (general)
Source text - English Artículo 1. Objeto y ámbito de aplicación
Esta Normativa tiene por objeto establecer los requisitos mínimos para prevenir las operaciones de ocultación y movilización de capitales de procedencia dudosa y otras transacciones, encaminadas a legitimar capitales o a financiar actividades u organizaciones terroristas.
Aplica a los sujetos fiscalizados por la Superintendencia General de Entidades Financieras (SUGEF), la Superintendencia de Pensiones (SUPEN), Superintendencia General de Valores (SUGEVAL) y la Superintendencia General de Seguros (SUGESE).
En el caso de las personas físicas o jurídicas que realizan las actividades descritas en el artículo 15 de la Ley 8204 y de las sociedades agencias de seguros y agentes de seguros persona física, la presente normativa le será aplicable, en tanto no se emita normativa específica sobre esta materia para esos sectores.
Los sujetos fiscalizados por el artículo 15 de la Ley 8204, y las aseguradoras a las cuales están vinculados los sujetos descritos en el párrafo anterior, podrán presentar a la Superintendencia respectiva, una solicitud debidamente justificada y fundamentada en un análisis de riesgo para adecuar los requisitos establecidos en la presente normativa para esos sujetos en los siguientes aspectos: programas informáticos especializados, designación y requisitos del oficial de cumplimiento titular y del oficial adjunto de cumplimiento, composición y funcionamiento del comité de cumplimiento, y desarrollo e implementación de programas de auditoría interna, con el propósito de que ese Órgano Supervisor evalúe cada caso y otorgue de considerarlo pertinente la autorización correspondiente.
La SUGEF y la SUGESE, según corresponda, deberán emitir lineamientos que consideren las características especiales, actividad, tamaño, volumen transaccional, significancia de las transacciones y riesgos inherentes, entre otros, del solicitante, para otorgar la autorización. Estas Superintendencias podrán revocar dicha autorización cuando lo estimen pertinente.
Translation - Spanish ARTICLE 1. OBJECT AND SCOPE OF APPLICATION
This regulation’s objective is to decree the minimum requirements for preventing operations of hiding and mobilizing capital of doubtful origin and other transactions, which are thought to legitimize capital or finance terrorist activities or organizations.
It applies to regulated subjects by the General Superintendents Office of Financial Entities (SUGEF), the Pensions Superintendents Office (SUPEN), Stock General Superintendents Office (SUGEVAL) and the General Insurance Superintendents Office (SUGESE).
In case physical or judicial persons carry out activities described in article 15 of Act 8204 and those of insurance agencies or agents, as physical persons, this regulation will be applicable to them as long as no other specific regulations for those sectors are emitted.
Subjects regulated by article 15 of Act 8204 and insurance companies that above-described subjects are linked to, will be able to file an application at their respective Superintendents Office that is duly justified and founded in a risk analysis in order to accommodate the requirements decreed in this regulation in the following aspects: specialized information programs, appointment and requirements for the compliance officer and assistant officer for compliance, composition and operation of the compliance committee, and development and implementation of internal auditing programs with the purpose of evaluating every case and reporting it to the corresponding organization.
SUGEF and SUGESE, as applicable, must emit guidelines that will consider special characteristics, activities, size, transactional volume, importance and inherent risks, among others, of the applicant in order to grant authorization. These Superintendents Offices will be able to revoke such authorization whenever they consider it appropriate.
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