SFC - P1 T IV Cap IV Anexo Instructivo Clientes Exonerados - SARLAFT

SUPERINTENDENCIA FINANCIERA ANNEX: INSTRUCTION ON EXEMPT CUSTOMERS TOPIC: Customers exempt of Currency Transaction Report.

PROFORMA NAME: Report of customers exempt of currency transaction reports OBJECTIVE: Provide to the Special Administrative Unit for Financial Information and Analysis (UFIA) information in order to have a database for statistical control of customers exempt of currency transaction report by supervised entities.

TYPE OF ENTITY TO WHICH IT APPLIES: Entities subject to inspection and surveillance of the COLOMBIAN SUPERINTENDENCE OF FINANCE FREQUENCY: Quarterly REPORT DATE: First ten (10) calendar days of the month following quarterly cut-off date.

INFORMATION CUT-OFF DATE: Last day of each quarter

SENDING METHOD: On-line Report System.

USER ENTITY: Special Administrative Unit for Financial Information and Analysis (UFIA)

INSTRUCTIONS Overview Entities must submit to the UFIA quarterly, within the first ten (10) calendar days following quarterly cut-off date, the names and identification numbers of all the customers exempt of Cash Transactions Report. The entity must keep and file -in a centralized mannerthe copy of the study that proofs the existence of exempt conditions. All the information of current exempt customers must be sent for each period of the report. In all instances, the information must be sent to the UFIA through the On-line Report System https://reportes.uiaf.gov.co/reportes. In the event there is no information to report, negative report should be made through the On-line Report System. Before sending the information, each entity must verify that such information fully complies with the specifications demanded in the technical document designed by the UFIA. Entities will receive an information reception report through the Online Reporting System, in which it is possible to identify the log number, entity, user, date and time of uploading, information cut-off date, number of logs, type of report, and status: “SATISFACTORIO” (successful) or “FALLIDO” (failed). In case the status shows “FALLIDO”, the system will report the entity all the errors that must be remedied so that the

information can be uploaded again until the status is “SATISFACTORIO”. The entity will have a maximum of ten (10) calendar days to successfully upload the information after the initial term has ended. For the reporting of the information the entities should refer to the technical document prepared on the website: www.superfinanciera.gov.co in the Policy / Index Reports / Guides section for reporting information / Technical Documents, file “Exempt Customer’s file” In order to enter the correct information requested, you will be able to download at the UFIA’s webpage, www.uiaf.gov.co, the flat file that serves as a guide for the design and construction of the required flat filed.

HEADER: Entity: Identification of reporting entity, indicating area (01 financial area), entity’s Type and Code assigned by the SFC Initial cut-off date: Initial closure date in the format YYYY-MM-DD which corresponds to the last reported period.

Final cut-off date: Final closure date in the format YYYY-MM-DD which corresponds to the last reported period.

BODY FORMAT: Column 1 – Sub account: the consecutive registration number is recorded; it starts with 1.

Column 2 – Exemption Date: Date when s/ he was added to the “exempt person” list; it should be recorded in the format AAAA-MM-DD Column 3 – Customer Identification Type: Must be reported according to the following codes: 06 = Diplomat ID, 07 = foreign company without TIN in Colombia, 08 = Trust, (11) Birth Certificate (12) Minors’ ID card (13) National ID Card (21) Minors’ Foreigner Card (22) Foreigner ID Card (31) TIN (41) Passport (42) Foreigner Document Type (00) Another type of identification. Column 4 – Customer Identification number: Register the complete identification number of the corresponding customer’s ID card subject to the report. In case of a legal person, include verification digit. Column 5 – Customer’s first surname: First surname of the natural person subject to the report is registered.

Column 6 – Customer’s second surname: Second surname of the natural person subject to the report is registered. Column 7 – Customer’s first name: First name of the natural person subject to the report is registered. Column 8 – Customer’s additional names: Other names of the natural person subject to the report are registered. Column 9 – Customer’s company name: Company name of customer (legal person) subject to the report. Fill out if the customer is a legal person, otherwise leave blank. PART I - TITLE IV - CHAPTER IV - Instructions on Exempt Customers PAGE 1