Regulations Governing Internal Audit and Internal Control System of Anti-money Laundering and Countering Terrorism of Agricultural Financial Institutions Article 7
An agricultural financial institution shall be staffed with adequate number of AML/CFT personnel and resources appropriate to the size and risks of its business. The board of directors (secretary general) of the agricultural financial institution shall appoint a senior officer to act as the chief AML/CFT compliance officer and vest the officer full authority in coordinating and supervising AML/CFT implementation and shall ensure that its AML/CFT personnel and the chief AML/CFT compliance officer do not hold concurrent positions that may have a conflict of interest with their AML/CFT responsibilities. In addition, the Agricultural Bank of Taiwan shall set up an independent, dedicated AML/CFT compliance unit under the president, legal compliance unit, or risk management unit of the head office and such AML/CFT compliance unit shall not handle businesses other than AML/CFT.The dedicated AML/CFT compliance unit or the chief AML/CFT compliance officer mentioned in the preceding paragraph shall be charged with the following duties:1. Supervising the planning and implementation of policies and procedures for identifying, assessing and monitoring ML/TF risks.2. Coordinating and supervising the implementation of the institution-wide AML/CFT risk identification and assessment.3. Monitoring and controlling ML/TF risks.4. Developing an AML/CFT program.5. Coordinating and supervising the implementation of AML/CFT program.6. Confirming compliance with AML/CFT regulations, including the relevant specimen or self-regulatory rules formulated by the related financial services association and accepted by the Financial Supervisory Commission for recordation, or relevant templates or self-regulatory rules formulated by the Agricultural Bank of Taiwan and accepted by the COA for recordation.7. Supervising the reporting on suspicious ML/TF transactions and on the properties or property interests and location of individuals or legal entities designated by the Counter-Terrorism Financing Act to the Investigation Bureau, Ministry of Justice.The chief AML/CFT compliance officer mentioned in Paragraph 1 hereof shall report to the board of directors (council) and the board of supervisors (supervisors) or the audit committee at least semiannually, and report to the board of directors (council), the board of supervisors (supervisors) and the secretary general or the audit committee whenever a major regulatory violation is discovered.
中文原文 農業金融機構防制洗錢與打擊資恐內部控制及稽核制度實施辦法第7條
農業金融機構應依其規模、風險等配置適足之防制洗錢及打擊資恐專責人員及資源，並由董事會（總幹事）指派高階主管一人擔任專責主管，賦予協調監督防制洗錢及打擊資恐之充分職權，及確保該等人員及主管無與其防制洗錢及打擊資恐職責有利益衝突之兼職。
其中全國農業金庫並應於總經理、總機構法令遵循單位或風險控管單位下設置獨立之防制洗錢及打擊資恐專責單位，該單位不得兼辦防制洗錢及打擊資恐以外之其他業務。
前項專責單位或專責主管掌理下列事務：
一、督導洗錢與資恐風險之辨識、評估及監控政策及程序之規劃及執行。
二、協調督導全面性洗錢與資恐風險辨識及評估之執行。
三、監控與洗錢及資恐有關之風險。
四、發展防制洗錢及打擊資恐計畫。
五、協調督導防制洗錢及打擊資恐計畫之執行。
六、確認防制洗錢及打擊資恐相關法令之遵循，包括金融同業公會所定並經金融監督管理委員會備查，或全國農業金庫所定並經本會備查之相關範本或自律規範。
七、督導向法務部調查局進行疑似洗錢或資恐交易申報及資恐防制法指定對象之財物或財產上利益及其所在地之通報事宜。
第一項專責主管應至少每半年向董（理）事會及監事會（監察人、監事）或審計委員會報告，如發現有重大違反法令時，應即時向董（理）事會與監事會（監察人、監事）及總幹事或審計委員會報告。
其中全國農業金庫並應於總經理、總機構法令遵循單位或風險控管單位下設置獨立之防制洗錢及打擊資恐專責單位，該單位不得兼辦防制洗錢及打擊資恐以外之其他業務。
前項專責單位或專責主管掌理下列事務：
一、督導洗錢與資恐風險之辨識、評估及監控政策及程序之規劃及執行。
二、協調督導全面性洗錢與資恐風險辨識及評估之執行。
三、監控與洗錢及資恐有關之風險。
四、發展防制洗錢及打擊資恐計畫。
五、協調督導防制洗錢及打擊資恐計畫之執行。
六、確認防制洗錢及打擊資恐相關法令之遵循，包括金融同業公會所定並經金融監督管理委員會備查，或全國農業金庫所定並經本會備查之相關範本或自律規範。
七、督導向法務部調查局進行疑似洗錢或資恐交易申報及資恐防制法指定對象之財物或財產上利益及其所在地之通報事宜。
第一項專責主管應至少每半年向董（理）事會及監事會（監察人、監事）或審計委員會報告，如發現有重大違反法令時，應即時向董（理）事會與監事會（監察人、監事）及總幹事或審計委員會報告。