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In recent years, the revelations of grand corruption and the scale of the plunder of state assets has led to greater scrutiny of financial relationships with politically exposed persons (PEPs) and potential money laundering risks associated with these customers. PEPs—individuals who are or have been entrusted with prominent public functions, their family members, and close associates—represent a greater risk because of the possibility that such individuals may abuse their position and influence to accept and extort bribes and misappropriate state assets. Implementation of an effective PEPs regime is a critical component of the prevention and detection of transfers of proceeds of crime and therefore ultimately in the process of recovering these proceeds of corruption. The United Nations Convention against Corruption (UNCAC) and the Financial Action Task Force (FATF) Forty Recommendations on Money Laundering require countries to ensure that financial institutions implement systems for identification and verification of PEP customers, enhanced due diligence procedures at account opening, and ongoing monitoring.Notwithstanding the efforts by many financial institutions and regulatory authorities to prevent corrupt PEPs from entering and using the financial system to launder the proceeds of corruption, there has been an overall failure in the effective implementation of risk based systems to detect corruption proceeds. In this context, Politically Exposed Persons—A Guide on Preventive Measures for the Banking Sector is designed to help build regimes that will facilitate the identification of corrupt PEPs and their efforts to launder money through banks. The authors identify recommendations and good practices aimed at improving compliance with international standards and increasing supervisory effectiveness.

Non-Conviction Based (NCB) asset forfeiture is a powerful tool for recovering the proceeds and instrumentalities of corruption, particularly in cases where the proceeds are transferred abroad. A procedure that provides for the restraint, seizure, and forfeiture of tainted assets without the need for a criminal conviction, it can be critical when the wrongdoer is dead, has fled the jurisdiction, or is immune from prosecution features common in cases of grand corruption. A growing number of jurisdictions have established a system to allow NCB forfeiture. In addition, NCB forfeiture has been recommended as a tool for asset recovery at regional and multilateral levels. The United Nations Convention Against Corruption (UNCAe urges countries to permit NCB forfeiture of illegally acquired assets when the offender cannot be prosecuted in Article 54(1)(c). With this increased attention to NCB forfeiture, there is a corresponding need for a practical tool for use by jurisdictions contemplating NCB forfeiture legislation. The Good Practices Guide to NCB Asset Forfeiture is designed as this practical tool. It is the first of its kind in the area of NCB asset forfeiture and the first knowledge publication under the Stolen Asset Recovery (StAR) Initiative. A collaborative effort of practitioners of forfeiture and NCB forfeiture, the Guide identifies the key concepts legal, operational and practical that an NCB asset forfeiture system should encompass to be effective in recovering stolen assets. The concepts are elaborated through examples from cases and excerpts from NCB forfeiture legislation. Further, the Guide provides tools that can be used by practitioners, such as samples of investigative and court forms and pre-seizure planning guidelines.

Theodore S. Greenberg

Theodore S. Greenberg is a former career prosecutor who investigated money laundering, fraud, corruption and violations of the FCPA as Chief of the Money Laundering Section and Deputy Chief of the Fraud Section, at the U.S. Department of Justice, and as an Assistant United States Attorney for the Eastern District of Virginia.

Linda M. Samuel

Linda M. Samuel serves as the Deputy Chief of the Asset Forfeiture and Money Laundering Section of the United States Department of Justice in Washington, D.C. overseeing international forfeiture and money laundering programmes.  The views expressed in this paper, however, are the personal views of the author and do not necessarily represent the official views or policies of the Department of Justice.

Wingate Grant

G. Wingate Grant is an Assistant United States Attorney for the Eastern District of Virginia. He is an expert in the field of asset forfeiture. Mr. Grant has been the exclusive asset forfeiture attorney in the Richmond Division of the Office of the United States Attorney since 1980. Mr. Grant received his undergraduate degree from the University of Richmond, his Master's degree from the University of North Carolina at Chapel Hill, and he is a graduate of The T.C. Williams School of Law.

Larissa Gray

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