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«International Legal Assistance by Switzerland regarding Assets of Politically Exposed Persons Aline Haerri Table of Content Table of Content Table of ...»

-- [ Page 1 ] --

Master Thesis

Master in Legal Studies

Supervisor:

Professor Dr. Marc Forster

University of St. Gallen

International Legal

Assistance by

Switzerland

regarding Assets of

Politically Exposed

Persons

Aline Haerri

Table of Content

Table of Content

Table of Content

Bibliography

Online Resources

Newspaper Articles

Materials

Swiss Law, Dispatches, Parliamentary Acts and Official Online Sources

1.

a. Legislation

Dispatches

b.

c. Parliamentary acts (Motions and Interpellations)

Online Resources from State Departments

d.

International Law, Treaties and Organizations

2.

Judicial Decisions

3.

Abbreviations

Abstract

Introduction

1. The Legal and Political Implications of Assets of PEPs Obtained by Unlawful Means..... 5 The Concept of PEPs

1.1.

History of the PEP concept in Switzerland

1.1.1.

The PEP Definition

1.1.2.

Length of Qualification as a PEP

1.1.3.

Discussion of the Practicability of the PEP Definitions

1.1.4.

Legal Framework of the PEP Concept

1.2.

PEPs in Swiss National Law

1.2.1.

PEPs in International Law

1.2.2.

Discussion of the PEP Concept in Swiss and International law

1.2.3.

Fundamental Problems with Potentate Funds Obtained by Unlawful Means............. 18 1.3.

Corruption

1.3.1.

International Politics - Friend or Foe?

1.3.2.

2. General Legal Framework and Legal Practice Concerning Legal Assistance in connection with Assets of PEPs as provided by the Act on International Legal Assistance in Criminal Matters (IMAC)

2.1. Part Three of the Act on International Legal Assistance in Criminal Matters concerning Ancillary Legal Assistance

I Table of Content

2.2. Analysis of Selected General Rules and Conditions of Legal Assistance as provided by IMAC in connection with Assets of PEPs

Demands on the Judicial Proceeding and of the Infraction

2.2.1.

Demands to the Content and Form of the Legal Assistance Request

2.2.2.

Principle of Double Criminality

2.2.3.

The Ordre Public Preclusion

2.2.4.

2.3. Analysis of the General Rules of Legal Assistance concerning the Freezing, the Forfeiture and the Restitution of Assets of PEPs as provided by IMAC

The Freezing of Assets under IMAC

2.3.1.

2.3.2. The Handing Over for the Purpose of Forfeiture or Restitution according to Art.

74a IMAC

Selected Cases

2.4.

Selected Previous Cases: Marcos, Mobutu and Duvalier

2.4.1.

Selected Current Cases: Mubarak, Gaddafi, Assad

2.4.2.

2.5. Main Problems of Legal Assistance in Criminal Matters based on IMAC in connection with PEP assets

Dealing with Failing States

2.5.1.

The Direct Link between the Offence and the Assets

2.5.2.

2.5.3. The Qualification as a Criminal Organization according to Art. 260ter and its Falling Apart with the Fall of the PEP

The Analogical Application of Art. 72 PC to Legal Assistance

2.5.4.

Legal Basis for Monitoring

2.5.5.

Freezing of Assets under the Constitution

2.5.6.

3. Federal Act on the Restitution of Assets of Politically Exposed Persons obtained by Unlawful Means (Restitution of Illicit Assets Act, RIAA)

3.1. The Need for Specific Legislation on Potentate Funds, History and Purpose of the RIAA

History

3.1.1.

Purpose and Object

3.1.2.

The Subject Matter of the RIAA

3.2.

Analysis of the Freezing, Forfeiture and Restitution of Assets

3.3.

Freezing of Assets

3.3.1.

Forfeiture

3.3.2.

Restitution

3.3.3.

Other Important Aspects

3.4.

II Table of Content Statute of Limitations

3.4.1.

Appeal

3.4.2.

3.4.3. The Turning Away from the Principle of Cooperation and the Parties to the Proceedings

Subsidiarity of the RIAA

3.5.

Main Problems of Legal Assistance based on the RIAA

3.6.

4. Specific Questions and Problems with Legal Assistance relating to PEPs

4.1. The Freezing of Assets and the Safeguarding of the Interests of the Country according to Art. 184 para. 3 SC

The Nature and Content of Art. 184 para. 3 SC

4.1.1.

The Application of Art. 184 para. 3 SC to PEP Asset Cases

4.1.2.

The Problems of the Application of Art. 184 para. 3 SC to PEP Asset Cases... 59 4.1.3.

Freezings under the RIAA

4.1.4.

The Establishment of a Proper Legal Basis

4.1.5.

Protection of Fundamental Rights and Human Rights and Rule of Law Principle... 60 4.2.

The Guarantee of Ownership according to Art. 26 SC

4.2.1.

4.2.2. Concerns with regard to the Protection of Human Rights and Constitutional Rights in connection with the RIAA

The Future of Potentate Assets in Swiss Banking Institutions

4.3.

The Current AML System and Increasing Reputational Risks





4.3.1.

AML Due Diligence and the Current Cases in connection with the Arab Spring.

4.3.2.

4.3.3. The International Acceptance of Dictatorial Regimes in Connection with Swiss Banking Institutions

The Advancement of AML Due Diligence Obligations

4.3.4.

The Increasing Responsibility of the Bank Employee

4.3.5.

The Need for more Comprehensive Legislation

4.4.

The Need for Global Approaches

4.5.

The Need for Coordination

4.5.1.

UN Embargos as a Way of International Coordination

4.5.2.

Internationalization of Criminal Justice

4.5.3.

Conclusion

Annex

Annex 1: Table 2 Selected Definitions of PEP

III Table of Content Annex 2: Table 3 The Swiss PEP Definition in Comparison to Other Definitions................ 77 Annex 3: Details on Selected Cases

Annex 3.1.

Table 4 Marcos Case

Annex 3.2.

Table 5 Mobutu Case

Annex 3.3.

Table 6 Duvalier Case

Annex 3.4.

Table 7 Mubarak Case

Annex 3.5.

Table 8 Gaddafi Case

Annex 3.6.

Table 9 Al-Assad Case

Annex 4: Figure 1 Timeline in the Duvalier Case

Declaration of authorship

List of Tables and Illustrations Table 1 AMLO-FINMA Provisions in Connection with PEPs

Annex 1: Table 2 Selected Definitions of PEP

Annex 2: Table 3 The Swiss PEP Definition in Comparison to Other Definitions................. 77 Annex 3.1.

Table 4 Marcos Case

Annex 3.1.

Table 5 Mobutu Case

Annex 3.3.

Table 6 Duvalier Case

Annex 3.4.

Table 7 Mubarak Case

Annex 3.5.

Table 8 Gaddafi Case

Annex 3.6.

Table 9 Al-Assad Case

Annex 4 Figure 1 Timeline in the Duvalier Case

–  –  –

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