GAFI - Anexo IV ESR de FP - Lista de recursos relevantes de 2026

1 Anexo IV. Lista de recursos relevantes

Anexo IV – Lista de recursos relevantes

Estándares y Metodología del GAFI:  The FATF Recommendations, as amended in June 2026, https://www.fatfgafi.org/en/publications/Fatfrecommendations/Fatf-recommendations.html. Relevant Recommendations – 1, 2, 7, 15. https://biblioteca.gafilat.org/wp-content/uploads/2026/01/Recomendaciones-yMetodologia-Diciembre-2025.pdf  2022 Methodology for Assessing Technical Compliance with the FATF Recommendations and the Effectiveness of the AML/CFT/CPF Systems, as amended in June 2026, https://www.fatf-gafi.org/en/publications/Mutualevaluations/Fatfmethodology.html. Relevant Immediate Outcome – 11. https://biblioteca.gafilat.org/wp-content/uploads/2026/01/Recomendaciones-yMetodologia-Diciembre-2025.pdf Guías y otros documentos del GAFI:  Combating Proliferation Financing: A Status Report on Policy Development and Consultation, 2010, https://www.fatf-gafi.org/content/dam/fatf-gafi/reports/Status-reportproliferation-financing.pdf.coredownload.inline.pdf.  Complex Proliferation Financing and Sanctions Evasion Schemes, 2025, https://www.fatf-gafi.org/content/dam/fatf-gafi/reports/Complex-PF-Sanctions-EvasionsSchemes.pdf.coredownload.inline.pdf.  Concealment of Beneficial Ownership, FATF and Egmont Group, 2018, https://www.fatfgafi.org/content/dam/fatf-gafi/reports/FATF-Egmont-Concealment-beneficialownership.pdf.  FATF Guidance on Correspondent Banking Services, 2016, https://www.fatfgafi.org/content/dam/fatf-gafi/reports/FATF-Egmont-Concealment-beneficialownership.pdf.  FATF Guidance on Correspondent Banking Services, 2016, https://www.fatfgafi.org/content/dam/fatf-gafi/guidance/Guidance-Correspondent-BankingServices.pdf.coredownload.pdf.  FATF Guidance on Counter Proliferation Financing: The Implementation of Financial Provisions of United Nations Security Council Resolutions to Counter the Proliferation of Weapons of Mass Destruction, 2018, https://www.fatf-gafi.org/content/dam/fatfgafi/guidance/Guidance-Countering-Proliferation-Financing.pdf.coredownload.pdf.  Guidance for a Risk -Based Approach for Legal Professionals , FATF, 2019, https://www.fatf-gafi.org/en/publications/Fatfrecommendations/Rba-legalprofessionals.html.  Guidance for a Risk -Based Approach for the Accounting Profession , FATF, 2019, https://www.fatf-gafi.org/en/publications/Fatfrecommendations/Rba-accountingprofession.html.  Guidance for a Risk -Based Approach for Trust and Company Service Providers , FATF, 2019, https://www.fatf-gafi.org/en/publications/Fatfrecommendations/Rba-trust-companyservice-providers.html.2 Anexo IV. Lista de recursos relevantes

 Guidance on Proliferation Financing Risk Assessment and Mitigation, 2021, https://www.fatf-gafi.org/content/dam/fatf-gafi/guidance/Guidance-ProliferationFinancing-Risk-Assessment-Mitigation.pdf.coredownload.inline.pdf.  “High-Risk Jurisdictions Subject to a Call for Action — 13 February 2026,” FATF, 2026, https://www.fatf-gafi.org/en/publications/High-risk-and-other-monitored-jurisdictions/Callfor-action-february-2026.html.

 “High-Risk Jurisdictions Subject to a Call for Action — 13 February 2026,” FATF, 2026, https://www.fatf-gafi.org/en/publications/High-risk-and-other-monitored-jurisdictions/Callfor-action-february-2026.html.  Information Sharing to Combat Illicit Finance, July 2026, https://www.fatfgafi.org/content/dam/fatf-gafi/reports/information-sharing-ppp-data-protectionarrangements-2026.pdf.coredownload.inline.pdf  Money Laundering and Terrorist Financing Risks and Vulnerabilities Associated with Gold, FATF–APG, 2015, https://www.fatf-gafi.org/en/publications/Methodsandtrends/Ml-tf-risksand-vulnerabilities-gold.html.  Money Laundering and Terrorist Financing Through Trade in Diamonds, FATF, 2013, https://www.fatf-gafi.org/content/dam/fatf-gafi/reports/ML-TF-through-trade-indiamonds.pdf.coredownload.inline.pdf.  Money Laundering and Terrorist Financing Vulnerabilities of Legal Professionals , FATF, 2013, https://www.fatf-gafi.org/en/publications/Methodsandtrends/Mltf-vulnerabilitieslegal-professionals.html.  Money Laundering Using Trust a nd Company Service Providers , FATF, 2010, https://www.fatfgafi.org/en/publications/Methodsandtrends/Moneylaunderingusingtrustandcompanyservi ceproviders.html.  Money Laundering Vulnerabilities of Free Trade Zones , FATF, 2010, https://www.fatfgafi.org/content/dam/fatfgafi/reports/ML%20vulnerabilities%20of%20Free%20Trade%20Zones.pdf.  Proliferation Financing Report , FATF, 2008, https://www.fatf-gafi.org/content/dam/fatfgafi.org/content/dam/fatfgafi/reports/ML%20vulnerabilities%20of%20Free%20Trade%20Zones.pdf.  Proliferation Financing Report , FATF, 2008, https://www.fatf-gafi.org/content/dam/fatfgafi/reports/Typologies%20Report%20on%20Proliferation%20Financing.pdf.  Risk-Based Approach Guidance for Dealers in Precious Metals and Stones, FATF, 2008, https://www.fatf-gafi.org/en/publications/Fatfrecommendations/Fatfguidanceontheriskbasedapproachfordealersinpreciousmetalsandstones.html.  Sharing Among Domestic Competent Authorities Information Related to the Financing of Proliferation, 2012, https://www.fatf-gafi.org/content/dam/fatfgafi/guidance/BPP%20on%20Recommendation%202%20Sharing%20among%20domes tic%20competent%20authorities%20re%20financing%20of%20proliferation.pdf.coredow nload.inline.pdf.  The Implementation of Financial Provisions of UN Security Council Resolutions to Counter Proliferation of Weapons of Mass Destruction , FATF, 2013, https://www.fatfgafi.org/content/dam/fatf-gafi/guidance/Guidance-UNSCRS-Prolif-WMD.pdf.  Trade-Based Money Laundering: Risk Indicators, 2021, https://www.fatfgafi.org/content/dam/fatf-gafi/reports/Trade-Based-Money-Laundering-RiskIndicators.pdf.coredownload.inline.pdf.  Virtual Assets Red Flag Indicators of Money Laundering and Terrorist Financing , FATF, 2020, https://www.fatf-gafi.org/en/publications/Methodsandtrends/Virtual-assets-red-flagindicators.html.  Virtual Assets: Targeted Update on Implementation of the FATF Standards on Virtual

 Virtual Assets Red Flag Indicators of Money Laundering and Terrorist Financing , FATF, 2020, https://www.fatf-gafi.org/en/publications/Methodsandtrends/Virtual-assets-red-flagindicators.html.  Virtual Assets: Targeted Update on Implementation of the FATF Standards on Virtual Assets and Virtual Asset Service Providers, 2026, https://www.fatfgafi.org/content/dam/fatf-gafi/reports/7th-targeted-update-on-implementation-fatfstandards-vas-vasps-2026.pdf.coredownload.pdf.3 Anexo IV. Lista de recursos relevantes

Documentos de interés del GAFILAT:  Evaluación Regional de Riesgos de las Personas y Estructuras Jurídicas para el LA/FT – PROGBCIE2302, 2024, https://biblioteca.gafilat.org/?p=7483.  Evaluación Sectorial de Riesgos de Lavado de Activos y Financiamiento del Terrorismo de los Activos Virtuales y los Proveedores de Servicios de Activos Virtuales de los Países del GAFILAT, 2025, https://biblioteca.gafilat.org/?p=7908.  Manual de Actores y procedimentos estratégicos para la detección, investigación y disrupción del Financiamiento al Terrorismo y el Financiamiento a la Proliferación de Armas de Destrucción Masiva, 2022, https://biblioteca.gafilat.org/?p=7509  Handbook of strategic actors and procedures for the detection, investigation and disruption of Financing of Terrorism and Financing of Proliferation of Weapons of Mass Destruction, 2022, https://biblioteca.gafilat.org/?p=7514.  Manual Sobre Atores Estratégicos e Procedimentos Para a Detecção, Investigação e Interrupção do Financiamento do Terrorismo e do Financiamento da Proliferação de ADM,

 Manual Sobre Atores Estratégicos e Procedimentos Para a Detecção, Investigação e Interrupção do Financiamento do Terrorismo e do Financiamento da Proliferação de ADM, 2022, https://biblioteca.gafilat.org/?p=7519.  Manual Metodológico del GAFILAT para la realización de simulacros de congelamiento derivado de coincidencias en las listas de las RCSNU de FT y FP , 2023, https://biblioteca.gafilat.org/?p=541  Manual metodológico para a realização de exercícios simulados de congelamento decorrentes de sobreposições nas listas da UNSCR sobre financiamento do terrorismo (TF) e financiamento da proliferação de armas de destruição em massa (FP), 2023, https://biblioteca.gafilat.org/?p=6818 Recursos Gubernamentales y de Organizaciones Internacionales: Organización de las Naciones Unidas (ONU):  United Nations Consolidated Sanctions List: https://main.un.org/securitycouncil/en/content/un-sc-consolidated-list.  UN Security Council Resolutions on DPRK: https://main.un.org/securitycouncil/en/sanctions/1718/resolutions.  UN Security Council Resolutions on Iran: https://main.un.org/securitycouncil/en/sanctions/1737/resolutions.  UN Security Council Resolution 1540 and subsequent resolutions: https://www.un.org/en/sc/1540/resolutions-committee-reports-and-SC-briefings/securitycouncil-resolutions.shtml.

Unión Europea (UE):  EU List of Dual-Use Goods (See Annex I): Regulation (EU) 2021/821 on setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items, Official Journal of the EU, European Union, 2021, https://eur-

 EU List of Dual-Use Goods (See Annex I): Regulation (EU) 2021/821 on setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items, Official Journal of the EU, European Union, 2021, https://eurlex.europa.eu/eli/reg/2021/821/oj/eng.4 Anexo IV. Lista de recursos relevantes

 Commission Recommendation (EU) 2019/1318 of 30 July 2019 on internal compliance programmes for dual-use trade controls under Council Regulation (EC) No 428/2009, Annex 2, EU, 2019, https://eur-lex.europa.eu/eli/reco/2019/1318/oj.

Grupo de Suministradores Nucleares (NSG):  “Awareness Raising Document -July 2023,” Nuclear Suppliers Group, https://www.nuclearsuppliersgroup.org/images/Files%20and%20Documents/National%2 0Practices/Awareness%20Raising%20Guide.pdf.

Arreglo de Wassenaar:  Best Practice Guidelines on Internal Compliance Programmes for Dual -Use Goods and Technologies, https://www.wassenaar.org/app/uploads/2015/06/2-Internal-ComplianceProgrammes.pdf.

Organización Mundial de Aduanas (OMA):  Strategic Trade Control Enforcement (STCE) Implementation Guide, WCO, https://www.wcoomd.org/en/topics/enforcement-and-compliance/instruments-andtools/guidelines/wco-strategic-trade-control-enforcement-implementation-guide.aspx. Organización para la Cooperación y el Desarrollo Económicos (OCDE):  Governance Frameworks to Counter Illicit Trade, OECD, OECD Publishing, 2018, https://www.oecd.org/en/publications/governance-frameworks-to-counter-illicittrade_9789264291652-en.html.  Trade in Counterfeit Goods and Free Trade Zones: Evidence from Recent Trends, OECD,

 Governance Frameworks to Counter Illicit Trade, OECD, OECD Publishing, 2018, https://www.oecd.org/en/publications/governance-frameworks-to-counter-illicittrade_9789264291652-en.html.  Trade in Counterfeit Goods and Free Trade Zones: Evidence from Recent Trends, OECD, OECD Publishing, 2018, https://www.oecd.org/en/publications/trade-in-counterfeit-goodsand-free-trade-zones_9789264289550-en.html.

Equipo Multilateral de Monitoreo de Sanciones (MSMT):

 The DPRK ’s Violation and Evasion of UN Sanctions through Cyber and Information Technology Worker Activities , Multilateral Sanctions Monitoring Team (MSMT), 2025, https://msmt.info/Publications/detail/MSMT%20Report/4221.  Violación y elusión de la s sanciones de las Naciones Unidas por parte de la Korea del Norte mediante actividades de trabajadores del sector cibernético y de las tecnologías de la información, 2025, https://msmt.info/Publications/detail/MSMT%20Report/4228.5 Anexo IV. Lista de recursos relevantes

Estados Unidos de América: Listas:

 The Denied Persons List, U.S. Department of Commerce: https://www.bis.gov/licensing/end-user-guidance/denied-persons-list-dpl.  Unverified List, U.S. Department of Commerce: https://www.bis.gov/regulations/ear/744#supplement-6-744.  Entity List, U.S. Department of Commerce: https://www.bis.gov/regulations/ear/744#supplement-4-744.  Military End User List, U.S. Department of Commerce: https://www.bis.gov/regulations/ear/744#supplement-7-744 Evaluaciones Nacionales de Riesgo de Financiamiento a la Proliferación EE.UU:

 Military End User List, U.S. Department of Commerce: https://www.bis.gov/regulations/ear/744#supplement-7-744 Evaluaciones Nacionales de Riesgo de Financiamiento a la Proliferación EE.UU:  2022 National Proliferation Financing Risk Assessment, U.S. Department of the Treasury, 2022, https://home.treasury.gov/system/files/136/2022-National-Proliferation-FinancingRisk-Assessment.pdf.  2024 National Proliferation Financing Risk Assessment, U.S. Department of the Treasury, 2024, https://home.treasury.gov/system/files/136/2024-National-Proliferation-FinancingRisk-Assessment.pdf.

Guías y Avisos EE.UU:  “Advisory on FATF-Identified Jurisdictions with AML/CFT Deficiencies,” FinCEN Advisory FIN-2018-A001, FinCEN, 2018, https://www.fincen.gov/resources/advisories/fincenadvisory-fin-2018-a001.  “Advisory on Illicit Activity Involving Convertible Virtual Currency, ” FIN-2019-A003, FinCEN, 2019, https://www.fincen.gov/system/files/advisory/2019-0510/FinCEN%20Advisory%20CVC%20FINAL%20508.pdf.  “Advisory on North Korea’s Use of the International Financial System,” FIN-2017-A007, FinCEN, September 2017, https://www.fincen.gov/resources/advisories/fincen-advisoryfin-2017-a007.  “Advisory on North Korea’s Use of the International Financial System, ” FIN-2017-A008,

FinCEN, November 2017, https://www.fincen.gov/system/files/advisory/2017-1102/DPRK%20Advisory%20FINAL%20508%20C.pdf.  “FinCEN Alert on the Use of Front Companies, Financial Facilitators, and Digital Asset Infrastructure by Iran’s Islamic Revolutionary Guard Corps to Evade Sanctions and Launder Proceeds,” FIN -2026-Alert002, FinCEN, 2026, https://www.fincen.gov/system/files/2026-05/FinCEN-Alert-IRGC.pdf.  “FinCEN and the U.S. Department of Commerce’s Bureau o f Industry and Security Announce New Reporting Key Term and Highlight Red Flags Relating to Global Evasion of U.S. Export Controls,” Joint Notice FIN -2023-NTC2, FinCEN and BIS, 2023, https://www.fincen.gov/system/files/shared/FinCEN_Joint_Notice_US_Export_Controls_ FINAL508.pdf.  “Guidance for Shipping and Maritime Stakeholders on Detecting and Mitigating Iranian Oil Sanctions Evasion,” OFAC, 2025, https://ofac.treasury.gov/media/934236/download?inline.6 Anexo IV. Lista de recursos relevantes

 “Guidance on the Democratic People’s Republic of Korea Information Technology Workers,” U.S. Department of State, U.S. Department of the Treasury, the Federal Bureau of Investigation (FBI), 2022, https://ofac.treasury.gov/media/923126/download?inline.  “Guidance to Address Illicit Shipping and Sanctions Evasion Practices” issued jointly by the U.S. Department of State, U.S. OFAC, and the U.S. Coast Guard, 2020, https://ofac.treasury.gov/media/37751/download?inline.  “Identify Red Flags, ” U.S. Department of Commerce, https://www.bis.gov/identify-redflags.

https://ofac.treasury.gov/media/37751/download?inline.  “Identify Red Flags, ” U.S. Department of Commerce, https://www.bis.gov/identify-redflags.  “Know Your Cargo : Reinforcing Best Practices to Ensure the Safe and Compliant Transport of Goods in Maritime and Other Forms of Transportation,” U.S. Department of Commerce, U.S. Department of Treasury, U.S. Department of Justice, U.S. Department of State, U.S. Department of Homeland Security, 2023, https://ofac.treasury.gov/media/932391/download?inline.  “Sanctions Compliance Guidance for the Maritime Shipping Industry,” U.S. OFAC, 2024, https://ofac.treasury.gov/media/933556/download?inline.  “Sanctions Compliance Guidance for the Virtual Currency Industry, ” U.S. OFAC, 2021, https://ofac.treasury.gov/media/913571/download?inline.  Supplement No. 3 to Part 732-BIS’s “Know Your Customer” Guidance and Red Flags, U.S. Bureau of Industry and Security, 2025, https://www.bis.gov/node/1533.  “Update on the Continuing Illicit Finance Threat Emanating from North Korea,” FinCEN Advisory FIN-2013-A005, 2013, https://www.fincen.gov/resources/advisories/fincenadvisory-fin-2013-a005.  “Updated Guidance on Addressing North Korea’s Illicit Shipping Practices,” U.S. Department of State, U.S. Department of the Treasury, United States Coast Guard, 2019, https://ofac.treasury.gov/media/16506/download?inline.

Reino Unido:  “Countering Proliferation Finance: A Financial Sector Perspective, ” UK Finance, 2025,

https://www.ukfinance.org.uk/system/files/202503/Countering%20Proliferation%20Finance%20- %20A%20Financial%20Sector%20Perspective.pdf.

 “Countering Proliferation Finance: A Financial Sector Perspective, ” UK Finance, 2025, https://www.ukfinance.org.uk/system/files/202503/Countering%20Proliferation%20Finance%20- %20A%20Financial%20Sector%20Perspective.pdf.  “Financial Sanctions Guidance for Maritime Shipping,” UK OFSI, https://www.gov.uk/government/publications/financial-sanctions-guidance-for-maritimeshipping/financial-sanctions-guidance-for-maritime-shipping.  National Risk Assessmen t of Proliferation Financing , HM Treasury, 2021, https://assets.publishing.service.gov.uk/media/65a01397e96df50014f844fe/Risk_assess ment_of_proliferation_financing__1_.pdf.  Red Alert: Exporting High Risk Goods , Ref. 0737 -NECC, December 2023, UK National Crime Agency (NECC), HM Treasury (OFSI) & FCDO, https://www.nationalcrimeagency.gov.uk/who-we-are/publications/687-necc-red-alertexporting-high-risk-goods/file.

Australia:

 Proliferation Financing in Australia: National Risk Assessment , 2022, https://www.austrac.gov.au/sites/default/files/2025-7 Anexo IV. Lista de recursos relevantes

03/AUSTRAC%20Proliferation%20Financing%20in%20AustraliaNational%20Risk%20Assessment.pdf.

Japón:  The Ministry of Economy, Trade and Industry (METI)’s End User List:

https://www.meti.go.jp/files/900015271.pdf.

Canadá:  Money Laundering and Terrorist Financing Indicators for Dealers in Precious Metals and Stones, FINTRAC (Canada), 2025, https://fintrac-canafe.canada.ca/guidancedirectives/transaction-operation/indicators-indicateurs/dpms_mltf-eng.

 Money Laundering and Terrorist Financing Indicators for Dealers in Precious Metals and Stones, FINTRAC (Canada), 2025, https://fintrac-canafe.canada.ca/guidancedirectives/transaction-operation/indicators-indicateurs/dpms_mltf-eng.

Reportes Académicos de ONGs:  Aaron Arnold, Algorithms of Evasion: The Rise of AI -Enabled Proliferation Financing , RUSI, 2026, https://www.rusi.org/explore-our-research/publications/researchpapers/algorithms-evasion-rise-ai-enabled-proliferation-financing.  Aaron Arnold, Daniel Salisbury, Guide to Conducting a National Proliferation Financing Risk Assessment: 2024 , RUSI, https://static.rusi.org/guide-to-conducting-proliferationrisk-assessment-2024.pdf.  Jonathan Brewer, Study of Typologies of Financing of WMD Proliferation, King’s College, 2017, https://www.kcl.ac.uk/csss/assets/study-of-typologies-of-financing-of-wmdproliferation-2017.pdf.  Sasha Erskine, North Korean Proliferation Financing and Designated Non -Financial Businesses and Professions , RUSI, 2022,

https://static.rusi.org/271_EI_DNFBPs_Final_0.pdf.  Togzhan Kassenova, “Challenges with Implementing Proliferation Financing Controls: How Export Controls Can Help, ” World ECR: The Journal of Export Controls and Sanctions, 2018, https://carnegieendowment.org/posts/2018/05/challenges-withimplementing-proliferation-financing-controls-how-export-controls-can-help.  Togzhan Kassenova, Bryan Early, Countering the Challenges of Proliferation Financing, Center for Policy Research, University at Albany, 2023, https://www.albany.edu/rockefeller/news/2023-countering-challenges-proliferationfinancing.

 Togzhan Kassenova, Bryan Early, Countering the Challenges of Proliferation Financing, Center for Policy Research, University at Albany, 2023, https://www.albany.edu/rockefeller/news/2023-countering-challenges-proliferationfinancing.  Daniel Salisbury, Shopping for Mass Destruction: North Korea’s Illicit Procurement Networks, RUSI, 2024, https://static.rusi.org/shopping-for-mass-destruction-final.pdf.

Herramientas en línea:  Reportes sobre RPDC [gratuito]: https://dprk-reports.org  Reporte de Riesgo [mediante suscripción]: https://www.wisconsinproject.org/risk-report/.