Prominvestbank Questionary - Промінвестбанк

Questionnaire of
Public stock company “Joint-Stock Commercial Industrial & Investment Bank”
(PSC Prominvestbank)
Part 1. General information about the Bank._________________________________________________________ As of 01.04.2015
Full name in Ukrainian, Russian and English
1.1 Official name of the Bank (full and short
Публічне акціонерне товариство «Акціонерний комерційний
name):
промислово-інвестиційний банк»
Публичное акционерное общество «Акционерный коммерческий
промышленно-инвестиционный банк»
Public stock company «Joint-Stock Commercial Industrial & Investment
Bank»
Short name in Ukrainian, Russian and English
ПАТ «Промінвестбанк»
ПАО «Проминвестбанк»
PSC Prominvestbank
1.2
Document which regulates activity
Statute
1.3
Organisational and legal form
230 Stock company
1.4
Type of ownership
10 Private ownership
1.5
1.6
1.7
1.8
Registration number
Date of public registration
Certificate of public registration
Registration number of legal entity in Unified
State Register
Place of public registration
Identification number
Date of registration in ICAMR
Name of ICAMR
125
26.08.1992
A 01 No.306161
10741050063013048
1.9
1.10
1.11
1.12
1.13
1.14
1.15
1.16
1.17
1.18
1.19
1.20
Number of registration certificate of tax
payer
Individual Tax Number of VAT tax payer
Branch of economy
Type of economic activity
Institutional economy sector
Resident
Location according to COATUU (Classifier
of Objects of administrative-territorial
system of Ukraine)
Type and authority of the banking license
State Administration in Shevchenko district in Kyiv
00039002
14.04.1993
Large Tax Payers Central office Service of State Tax Service of
ICAMR (Interregional Chief Administration of Ministry of Revenue)
No. 10/BANK
000390026655
96120 Commercial Banks
64.19 Other types of monetary intermediation
S.12202 Other Private depositary corporations
resident
8039100000; 01001, Kyiv, Shevchenko Lane, 12
1.21
1.22
1.23
License number
Date of issue the banking license
Transactions which the bank is entitled to
carry out
1.24
1.25
1.26
Address of location
Legal address
Contact telephone and fax numbers
1.27
1.28
1.29
1.30
E-mail & Web site
SWIFT
Reuters Dealing
Bank Code
Banking license to carry out banking transactions which is issued by
National bank of Ukraine according to Part 3 of Article 47 of Law of
Ukraine “On Banks and Banking Activities”.
1
22.06.2012
All types of operations according to banking license No. 1 dd.
22.06.2012 and general licence for FX operations conducting No. 1 dd.
05.10.2011
12, Shevchenko Lane, Kyiv, 01001, Ukraine
12, Shevchenko Lane, Kyiv, 01001, Ukraine
Tel.: (044) 279 51 61
(0800) 21 51 61
Fax.: (044) 279 30 58
bank@pib.ua; www.pib.ua
UPIBUAUX
PIBU
300012
1.31
TELEX
331379 PIBTX
1.32
FATCA Registration Number (GIIN)
and Status
8KIFHY.00007.ME.804
Registered Deemed-Compliant Financial Institution
(including a Reporting Financial Institution under a Model 1 IGA)
Part 2. Information on the Bank’s structure and its position in the market.
Share capital of PSC Prominvestbank amounts to 8 217 092 410,00 UAH
2.1
Shareholders of PSC Prominvestbank:
1.____State Corporation ‘Bank for Development and Foreign Economic
_____ Affairs (Vnesheconombank)’, Russian Federation - 98,60%
2.2
Management bodies structure
2.3
Structure of executive body
2.4
Information about subsidiaries (associated)
companies, branches, divisions
2.5
List of main Bank’s correspondent banks
2.
61,7 thousand legal entities and private persons - 1,40%
Management bodies of PSC Prominvestbank:
1) General shareholders meeting - the highest management body;
2) Supervisory Board - defends the rights of shareholders, and within its
competence according to Ukrainian legislation in force and under Bank’s
statute controls and regulates the Bank Board activity.
Supervisory Board of PSC Prominvestbank:
Head o f Supervisory Board:
• Mr.Dmitriev Vladimir Alexandrovich - Chairman of the State
Corporation “Bank for Development and Foreign Economic Affairs
(Vnesheconombank)” Russian Federation
The members o f PSC Prominvestbank Supervisory Board:
• Mr.Dmitriev Kiril Alexandrovich - Chief Executive Officer of the
Russian Direct Investment Fund;
• Mr.Zelenov Aleksandr Viktorovich - Director of Financial Institution
Department of Vnesheconombank;
• Mr.Minin Vladimir Vladimirovich - Director of Subsidiary Banks
Department of Vnesheconombank;
• Fradkov Petr Mikhajlovich - First Deputy Chairman of
Vnesheconombank - Board member;
• Mr.Vasil’ev Sergey Aleksandrovich - Deputy Chairman of
Vnesheconombank, Board member;
• Mr.Kuznetsov Sergey Vladimirovich - Director of Legal Department
of Vnesheconombank;
• Mr. Sirosh Igor Ivanovich - Vice-president of the International
Public Organization “Centre for Strategic and Political Studies”;
• Mr. Karnauch Sergey Yuriyevich - Deputy Director of Structural
and Debt Financing Department of Vnesheconombank.
Bank Board - executive body that performs operating management
activity of the Bank; the Chairman of the Bank Board and members of
the Bank Board compose the bank Board.
Chairman o f PSC Prominvestbank Board:
• Mr. Bashkirov Victor Vladimirovich
Bank Board members:
• Mr.Yutkin Vyacheslav Mikhailovich - First Deputy Chairman of
Bank Board;
• Mr. Chaynikov Alexander Vladimirovich - Deputy Chairman of Bank
Board;
• Mr.Mehdi Shirazee - Director of Financial and operational activity
Department;
• Mr.Kravets Vladislav Ivanovich - Director of corporate business;
• Mrs.Kharchenko Polina Serhiivna - Director of Compliance,
Responsible worker on organization of internal financial monitoring in
the bank;
• Mr. Klaus Mueller - Chief Risk Officer in PSC Prominvestbank.
As of 23.03.2015 Bank has in Ukraine:
- 126 non balance sheet branches;
- 1 associated company and 3 subsidiaries.
UBS AG, Zurich
The Hongkong and Shanghai Banking Corporation Limited, Hong Kong
Deutsche Bank AG, Frankfurt Am Main
ING Belgium SA/NV, Brussels
Commerzbank AG, Frankfurt Am Main
Citibank N.A., London
The Bank of Tokyo-Mitsubishi UFJ, Ltd., Tokyo
The Bank of New York Mellon, New York
Deutsche Bank Trust Company Americas, New York
JPMorgan Chase Bank, New York
“Sberbank of Russia”, JSC, Moscow
“Promsvyazbank“, PSC, Moscow
“BPS - Sberbank”, JSC, Minsk
2.6
History of activity
The history of PSC Prominvestbank began in i922. In i992 the
«Ukrainian Joint-Stock Commercial Industrial and Investment Bank»
(closed stock company) (Prominvestbank of Ukraine) was established, in
200i bank has changed its name to Joint-Stock Commercial Industrial
and Investment Bank (closed stock company) (Prominvestbank).
Bank is a member of international payment systems VISA International,
MasterCard International.
In August, 2009 Prominvestbank has changed its name to Public stock
company ‘Joint-Stock Commercial Industrial and Investment Bank’
(PSC Prominvestbank).
More detailed information about bank’s activity and history is available
at web-site: www.pib.ua.
2.7
Data confirming existence of the Bank (e.g.
reference to The Bankers’ Almanac)
You can find information about PSC Prominvestbank at “The Bankers’
Almanac”.
2.8
Main range of services/ types of activity,
specialisation on financial services
PSC Prominvestbank is universal commercial bank that provides the
wide range of banking services. You can find information about bank’s
services at web-site:www.pib.ua.
2.9
Auditors name
Audit company “Ernst & Young Audit Services LLC”.
Part 3. Information about financial monitoring system
According to Laws of Ukraine “On Prevention from and Counteraction to Legalization of Income, obtained through
3.1
Criminal Activity (Money Laundering) and financing of the Spread of Mass Destruction Weapon”, “On Banks and Banking
Activity”, Regulations of National bank of Ukraine, the Internal Financial Monitoring System has been established with
PSC Prominvestbank.
The work of Internal Financial Monitoring System of the Bank is provided by special division - Compliance
Department, which is headed by the responsible worker, the member of the Bank Board.
The internal regulatory documents of the Bank which govern the questions in the field of prevention of legalization
of incomes received from criminal activity are the background of Internal System. The mentioned documents are approved
by the Bank Board in compliance with the requirements of the current Ukrainian legislation.
1. Internal Financial Monitoring Rules
Rules governs the questions on organisational structure of internal financial monitoring system of the Bank;
characteristic and procedures of registration of financial transactions subject to financial monitoring; procedures and terms
of reporting to State Committee for Financial Monitoring of Ukraine about financial transactions subject to financial
monitoring; procedures of retaining, circulation and ensuring of confidentiality of information concerning financial
monitoring.
2. Program o f Identification and Monitoring o f the Bank Customers
Program is based on “Know Your Customer” policy. The Program includes the procedure of identification of
customers while establishment of relations as well as in the process of servicing. While establishing the relations the Bank
governs by the prudence concept. On the regular basis the Bank provides the analysis of the customer’s transactions in order
to check their correspondence with the Bank’s information about the client, his business, type of activity and financial
situation.
According to the requirements of the current Ukrainian legislation the Bank should obligatory identify:
- establishing business relationships with clients;
- rising of suspicion that transaction can be connected with money laundering or terrorism financing;
- customers that conduct transactions that are subject to financial monitoring;
- customers that conduct cash transactions for the amount exceeding UAH 150,000 or its equivalent in foreign
currency without opening account;
persons acting on behalf of the above said customers.
3. Financial Monitoring Programs
Financial monitoring programs are developed in all spheres of bank’s activity, including cash operations;
transactions with cash funds; transactions provided via plastic cards of international payment systems and etc.
Programs determine the procedure of transactions disclosure, which are subject to financial monitoring; measures
usage procedure on examination the substance and the goal of financial transaction of the client; control conducting
procedure on examination transactions which are subject to financial monitoring and notification procedure of responsible
worker of the Bank about transactions which are subject to financial monitoring.
4. Program o f Training and Improving Skills Level o f the Bank’s employees
The training program for improving professional skills of the Bank’s employees in financial monitoring is developed
and involves the process of education of all employees of the Bank while acceptance for employment as well as while
working process (within their competence) including management personnel:
______ The Program includes the following:_____________________________________________________________________
studying Ukrainian legislation, recommendations of Basel Committee on Banking Supervision and international
docume nts on counteraction to money laundering of income obtained through criminal activity and terrorism financing;
studying internal banking documents which governs the questions on counteraction to money laundering of income
obtained through criminal activity and terrorism financing;
conduction the practical trainings;
personnel’s knowledge assessment.
5. Program o f management and risk assessment on money laundering
Yogram is developed to control, manage and minimize risks of using Bank’s services for money
launder ng/terrorism financing.
Prograr l includes:
procedure and methodology on clients’ risks assessment;
risks’ analysis on using Bank's services for money laundering/terrorism financing;
procedure of usage of appropriate measures on minimizing risks for money laundering/terrorism financing;
procedure of practical trainings organization with Banks’ personnel on questions o f risk assessment Program
realizat on.
internal audit department o f the Bank annually provides examinations of Banks’ activity on financial monitoring;
results <if such examinations are discussed on Supervisory Board meetings. PSC Prominvestbank conducts its activity
accordi lg to requirements of current legislation of Ukraine, standards of Basel Committee on Banking Supervision, other
internat onal rules and standards in field of money laundering and terrorism financing.
PSC Prominvestbank:
■neither opens, nor maintains anonymous (numbered) accounts;
- does not enter into contractual relations with corporate and individual customers in case there is doubt that the
entity/p rson acts on its/his behalf;
- not establish correspondent relations with financial institutions non-residents that don’t take proper measures to
prevent noney laundering, and with ‘shell banks’ (without physical presence in the place of registration).
Responsible person of the Bank on financial monitoring is:
J olina S. Kharchenko - Director of Compliance, Bank Board Member.
e-mail: polina.kharchenko@,pib.ua
A ut orized p 'rson o f P S C Prom investbank
Nan e: Victo V. Bashkirov
Pos. ion: Ch ir>nanôf PSC Promirvestbank Board
Sign, ure: _ _ j
І039002
The uthorizi d person o f fin a n c ia l m onitoring an d prevention o f legalization (laundering) o f incom es, received fro m
crim чаї acth ity
Nan e: Polin. S. Kharchenko
Posi ion: Ba ik Board njember - Director o f Compliance