5.2.7 扩散和扩散筹资-Proliferation and proliferation financing
联合国安理会第1540号决议申明”核生化武器及其运载工具的扩散对国际和平与安全构成威胁”UN Security Council Resolution 1540 affirms that “the proliferation of nuclear, chemical and biological weapons, as well as their means of delivery, constitutes a threat to international peace and security” (UNODA, 2004).
某些国家被指控使用化学武器或使用化学神经毒剂轰炸本国公民，对付生活在其他国家并被视为威胁的个人。国际上几乎一致同意，应遏制大规模毁灭性武器的扩散。欧盟等地区控制”两用物品的出口、过境和经纪活动”，作为确保国际和平与安全以及防止大规模杀伤性武器扩散的努力的一部分（欧盟委员会，2018年）。
Certain countries have been accused of bombing their own citizens using chemical weapons or using chemical nerve agents against individuals living in other countries who are seen to be a threat. There is near unanimous international agreement that the spread of weapons of mass destruction should be curtailed. Regions such as the EU control the “export, transit and brokering of dual‑use items” as part of efforts to ensure international peace and security, and to prevent the proliferation of weapons of mass destruction (European Commission, 2018).
—–KEY TERMS
扩散-Proliferation
数量或金额的突然增加。A sudden increase in number or amount.
扩散融资-Proliferation financing
违反国家法律，提供全部或部分用于制造、获取、拥有、开发、出口、转运、中间商交易、运输、转让、储存或使用核生化武器及其运载工具和相关材料（包括用于非合法目的的技术和两用货物）的资金或金融服务的行为， 或在适用的情况下，国际义务。
“[T]he act of providing funds or financial services which are used, in whole or in part, for the manufacture, acquisition, possession, development, export, trans‑shipment, brokering, transport, transfer, stockpiling or use of nuclear, chemical or biological weapons and their means of delivery and related materials (including both technologies and dual use goods for non‑legitimate purposes), in contravention of national laws, or where applicable, international obligations.” (FATF, 2010)
两用物品 Dual‑use items
可用于民用和军用应用的商品、软件和技术。
Goods, software and technology that can be used for both civilian and military applications.
采取基于风险的方法 Taking a risk‑based approach
金融机构可以作出贡献的最明显方式是采取基于风险的办法，为涉及两用货物的交易制定有效的政策。这应该从对新客户进行客户尽职调查（CDD）和了解您的客户（KYC）检查时开始。强化的CDD还应包括对两用货物和高风险司法管辖区的检查。
The most obvious way that financial institutions can contribute is to adopt a risk‑based approach and have an effective policy in place for transactions involving dual‑use goods. This should begin when customer due diligence (CDD) and know your customer (KYC) checks are carried out on new customers. Enhanced CDD should also incorporate checks on dual‑use goods and high‑risk jurisdictions. You will learn more about KYC and CDD in section 5.4.5. Identification of dual‑use goods in trade transactions can be challenging given their complex and technical nature.
EXAMPLE
如果制药公司购买细菌菌株用于医学研究，这种交易可能会被认为是合法的。但是，如果发现买方从事另一个行业，那么显然必须进一步调查参与交易的所有各方。这些调查必须记录在案，并酌情报告怀疑。
If a pharmaceutical company purchases bacterial strains for medical research, such a transaction will probably be considered legitimate. If, however, the buyer is found to be engaged in another industry then clearly all parties involved in the transaction must be investigated further. These investigations must be documented and the suspicions reported as appropriate.
关于大规模毁灭性武器的大多数管制规定都属于制裁制度的范围。但是，银行人员必须意识到这些担忧并保持警惕。
Most of the regulatory provisions regarding weapons of mass destruction fall within sanctions regimes. However, bank personnel must be aware of these concerns and remain alert.
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