Regulations Governing Anti-Money Laundering and Counter-Terrorism Financing for Notaries Article 17
This English translation was last updated on 2021-01-25, but the Chinese text was amended on 2024-10-28. Later amendments may not be reflected in the translation — please refer to the Chinese text.
A notary shall determine the extent of the implementation of due diligence process and ongoing due diligence under Article 10, Article 11, and the preceding Article by using a risk-based approach (RBA):1. RBA shall set the background of applicant, the direct source or destination of funds, the transaction amount and the transaction type as the assessment items; the direct source or destination of funds or the applicant which comes from high-risk country or territory shall be assessed as high risk. 2. For high-risk circumstances, a notary shall perform enhanced due diligence on the applicant or ongoing due diligence measures, and shall adopt the following enhanced measures: (1) Taking reasonable measures to query and clarify the purpose of conducting specific transaction, acquiring method and actual source of funds. (2) Paying enhanced attention to the specific transaction of such applicant if it is accepted again. 3. For lower risk circumstances, a notary may apply simplified due diligence measures, which shall be commensurate with the lower risk factors. However the simplified due diligence process is allowed under any of the following circumstances:(1) Where the applicant is from high-risk country or territory; or(2) Where it is sufficient to doubt that the applicant or its application might be involved in ML/TF.
中文原文 公證人防制洗錢及打擊資恐辦法第17條
公證人辦理第十條、第十一條及前條規定之確認身分程序及持續審查機制，應以風險基礎方法決定其執行強度：
一、風險基礎方法應以請求人之背景、資金之直接來源或去向、交易金額及交易型態為評估項目；資金之直接來源或去向，或請求人來自於高風險國家或地區者，為高風險。
二、對於高風險情形，應加強確認請求人之身分或持續審查措施，並應採取下列強化措施：
（一）採取合理措施詢明辦理特定交易之目的、資金取得方式及實質來源。
（二）如再受理該請求人之特定交易，應加強注意。
三、對於低風險情形，得採取與低風險因素相當之簡化措施。
但有下列情形之一者，不得簡化確認身分程序：
（一）請求人來自高風險國家或地區。
（二）足以懷疑該請求人或所為之請求涉及洗錢或資恐。
一、風險基礎方法應以請求人之背景、資金之直接來源或去向、交易金額及交易型態為評估項目；資金之直接來源或去向，或請求人來自於高風險國家或地區者，為高風險。
二、對於高風險情形，應加強確認請求人之身分或持續審查措施，並應採取下列強化措施：
（一）採取合理措施詢明辦理特定交易之目的、資金取得方式及實質來源。
（二）如再受理該請求人之特定交易，應加強注意。
三、對於低風險情形，得採取與低風險因素相當之簡化措施。
但有下列情形之一者，不得簡化確認身分程序：
（一）請求人來自高風險國家或地區。
（二）足以懷疑該請求人或所為之請求涉及洗錢或資恐。