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Financial Crime Investigation and Control document sample
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Design a National Strategy to Fight
Organized Crime
Why is it so hard to fight OC?
1. Lack of evidence (Bosses are never in contact with the
drug);
2. Corruption of Law Enforcement and the Judiciary;
3. The criminal organization is drawn by the most prominent
financial and political circles.
Result: In the best case, traffickers were tried for illegal
possession of firearms
General Elements for a Strategy
Legal aspects
Structure of Police, Prosecutor, Judiciary and
Prison institutions
Training of Experts
Development of strategies to best apply the
Laws.
Development of the Legal
Aspects
International Context
The 1988 Vienna Convention
The 2000 Palermo Convention
International best practices
Does an International Strategy
Exist?
The Palermo Convention
Development of an International Consensus to
reach this Agreement
The 1994 Naples Conference
Negotiations in Poland, Argentina and Vienna
Signed in Palermo
Ratification is ongoing, currently 15 signatories
Generations of the Laws against
Organized Crime
National European
International
Level Level
1970 R.I.C.O. Law
Rognoni-La
1982
Torre Law
Colombia Development
Convention of
1988 France of European
Vienna Legislation
Mexico
Peru Convention of
2000
Palermo
Minimal Elements to Take into
Consideration
To criminalize: Measures to:
a) Either conspiracy or a) institute a comprehensive
participation in organized criminal domestic regulatory anti-money
groups laundering system
b) Organizing, directing, aiding and b) ensure the ability to cooperate
abetting, facilitating or counseling and exchange information on money
the commission of serious crime laundering
involving an organized criminal c) adopt legislative, administrative
group. measures to promote integrity and
c) Money laundering prevent, detect and punish
d) Corruption corruption
e) Obstruction of justice d) ensure effective action in anti-
corruption including independence of
the authorities in charge of anti-
corruption activities
Minimal Elements to Take into
Consideration
Measures to (continued):
e) create a system of liability of j) accept mutual legal assistance
legal persons k) provide effective protection for
f) enable confiscation of witnesses and victims
proceedings and instruments of l) provide access to
crimes. compensation and restitution for
g) enable identification, tracing, victims
freezing or seizure and eventual m) encourage persons who
confiscation of proceeds of crime participate or have participated in
h) empower courts or other organized crime to collaborate
competent authorities to order with the justice system
that bank, financial or n) develop, to the extent
commercial records be made necessary, training programs.
available or be seized
o) assist one another in planning
i) accept extradition and implementing research and
Design of Institutional Structures to
Fight Organized Crime
An institutional structure is needed for:
Police
Police Intelligence
Prosecutors
Prosecutorial Intelligence
Judges
Appeal Courts
Prisons
France
Law Enforcement Structure
Ministry of Interior
Anti-Mafia
Anti-
Coord. &
Terrorism
Investigation
Unit
Unit
(UCLAT)
(UCRAM)
Central Directorate General Directorate of the
National Office
of Urban Police National Police
of
(DCSP)
INTERPOL
Police of Central Directorate of the Regional
Paris Judicial Police Services of
(P.P.P.) the Judicial
Police
(S.R.P.J.)
Ministry of Defense Ministry of Treasury
Customs Unit against
Gendarmery Clandestine
Financial Circuits
(TRACFIN)
France
Coordination
Ministry of Interior
(Main Coordinator)
U.C.R.A.M.
(Field Coordinator)
Customs Judicial Police Gendarmery
VIOLENCE MONEY LAUNDERING
DRUGS FINANCIAL CRIMES
(D.O.) CLANDESTINE FINANCIAL
CYBERCRIMES CIRCUITS
O.C.R.T.I.S. O.C.R.G.D.F. O.C.R.B. T.R.A.C.F.I.N.
Search & Intervention
Brigade
(B.R.I.)
France
Prosecution
Ministry of Justice
Attorney General Attorney General
Province Paris
Attorney's Assistants Terrorism Financial
Section Section
U.S.A.
Law Enforcement Structure
Department of
Justice
Attorney General
Criminal Division Drug Enforcement U.S. ATTORNEYS National Central Federal Bureau of
Administration Bureau of Investigations
(D.E.A.) Interpol (F.B.I.)
Office for
International Internal Security
Affairs Section
Department of
Special Public Integrity Treasury
Investigations Section
Office
F.I.N.C.E.N. Customs
Organized Office of Bureau of
Crime & Enforcement Alcohol,
Racketeering Operations Tobacco & Secret
Section Office Firearms Service
U.S.A.
Coordination
Federal Level State Level (New York)
White House Office on National Drug State Attorney General
Control Policy Regional Offices and Division of
Internal Revenue Service Criminal State Counsel
Investigation Criminal Division
Financial Crime Enforcement Network Medicaid Fraud Control Unit
Organized Crime, Narcotics Trafficking Organized Crime Task Force
Enforcement Program Civil Recoveries
Directorate of Central Intelligence NY State Police Bureau of Criminal
Counter-narcotics and Crime Center Investigations
Law Enforcement Detachments NY State Division of Criminal
Bureau for Narcotics and Law Justice Service
Enforcement
Mexico
Investigation
Attorney
General
Interpol
Unit Against Specialized Unit Unit against
Money Laundering Against Organized Crime Narcotics
Tecnical Coordinator Judicial Coordinator
Coordinator
Federal Judicial Police Specialized Forensic Services Wiretaping Human Rights Violations
Specialized in O.C.
Technical Unite for Wiretaping
General Coordinator General Coordinator
General Coordinator General Coordinator
Mexico
Law Enforcement Structure
(Coordination)
Public Security
Secretariat
Federal System for Federal Prisons Attorney General Coordination of Federal Preventive
the Treatment of System Office the Public Police
Juvenile Crime Security System
Secretariat
Specialized Unit
Treasury against Organized
Secretariat Crime Defense
Secretariat
Prosecutor
Federal
Judicial Counter-narcotics
Unit against Money Police Intelligence Center
Laundering
Institutional Models
(centralized or not)
Intellig.
Prosec.
Office
Police
Judiciary
U.S.A. d c d d d c
France d c d d d c
Mexico c c c d d c
Spain c c c c d c
Italy d c d d d c
Germany d c d d d d
S. Africa c c c d d
Centralization or Not?
Difficulty to understand Laws against
Organized Crime
New Institutions
Expansive rules
Intrusive nature
Ultima ratio
Building of dams
Rationality of decision control
More Problems to Consider
Corruption of Public Officials
More centralization helps to lower the risk of
spreading corruption
Oversight of the Offices in charge of fighting
Organized Crime is easier
Protection of Judges, Police Officers and
Prosecutors is facilitated
Criminalization
Organized Crime
Conspiracy
Membership
Others
Corruption
Money Laundering (all forms)
Obstruction of Justice
Protocol’s Crimes
Trafficking of people
Smuggling of migrants
Manufacturing and Illicit traffic of firearms
Means of Fight
Extension of duration for investigation
Use of ‘house arrest’ for investigation purposes
Collaborating witnesses
Immunity
Benefits (punishment reduction)
Protection of witnesses
No parole without collaboration
Undercover operations and controlled deliveries
Telephone and electronic surveillance
Financial investigations
Seizure and forfeiture of assets
How to Control its Use?
Challenge:
Rationality of decision control
(Less abuse of power)
Without loosing effectiveness.
Recommendation:
Critical decisions against people or assets must be
concurred by independents equals pre-facto or
immediately post-facto. (without adrenaline)
Control of Decision Models
U.S.A. (Wire-tapping)
U.S. Congress
Controlled the number annually
Judge Authorize
for 90 days
SACSAC
Department of
.
. Justice
Field Office Washington
FBI Agent Control Office
request ICP Request
French Model
Acusation Room
Review the decision 15 day (maximum)
Judge of Instruction Judge of
Ask for pre-trial detention Liberty
48 hrs.
Public Prosecutor
Judicial Police
Need to Construct Barriers
Laws against Organized Crime are intrusive
They are exceptional
Could be expansive beyond the precise
language of the law (not desire consequence)
Applies to conditions unforeseen
Barriers are fundamental
What is a Barrier?
Determinate boundaries
Who, under what conditions and which
institutions can use the Law against
Organized Crime
The internal mechanisms of decision control
Penitentiary Policy related to
Organized Crime
Characteristics:
Existence of an appropriate criminal procedure framework to avoid
jurisdiction problems or constitutional complaints
The prisons must be located in places of low urban density
Avoid penitentiary over population
The prisons must have systems to control access in all physical areas
The prisons must have double security perimeter:
Internal, in charge of penitentiary custody personnel,
External, in charge of penitentiary security personnel with help of the
law enforcement or the army
Must exist specialized personnel on convict treatment and security
issues
Profile of the Penitentiary
Population
Convicts with a high dangerous profile
and high capacity on organized crime to keep on
operation, no matter if he/she is in prison, from
inside to outside or vice versa.
Convicts who must be protected
by reason of their testimony or the characteristics
of the crimes committed
Design of Strategies
Goals:
Dismantle the organization
Limit its effectiveness
Seizure and forfeiture of its assets
Understand the organizational nature
Determine its International links
Determine what means will be applied
International Cooperation
Police-to-Police
Interpol
Judicial (International Rogatory)
Mutual Legal Assistant
F.I.U. to F.I.U.
Understand the Limit of each
Means
Undercover & Controlled deliveries
Electronic Surveillance
Collaborating Witnesses
Financial Investigations
Use every technique of investigation
available.
The Netherlands Mistake
Undercover Case
Using third parties (no police)
Created the most important Marijuana
trafficker, who never deal with cocaine
Mistakes on the conception about the
organization and mistakes in the
technique used
The Evidence in Law
In Instantaneous Crimes
The fact happens in a moment
The evidence consist of proof that these facts
happened
Murder as an Example:
Witnesses, ballistic, finger prints, DNA testing, etc...
The Evidence in Organized
Crime
On drug trafficking or Mafia, the bosses rare
come in contact with the drugs and rarely kill
personally
The Organized Crime group is continuous in
its criminal activity
The crimes area continued and continuous
In Organized Crime Cases, it is NOT
Necessary to Prove:
That the boss ordered the crime
It is sufficient proof:
that he/she commands or belongs to an
organization that trafficks in drugs, order
murders or blackmailing, or engages in
certain predicate offenses
Evidence Integrity
(Just like a Gothic Cathedral)
It must be harmonic
Trying to build modularly a crime and
linking it to other crimes
Proving the existence of an organization
Every piece supports other pieces
Relating one to each other
Harmonic Evidence Integration
A collaborating witness’ statement is not
enough
It is also necessary to confirm as far as possible
all that he/she says
Electronic surveillance is not enough
It is hard for prosecutors and judges to interpret
and juries can mis-interpret
It’s also necessary to prove a defendants role
and membership in the organization
Recruitment & Training
Strict systems of personnel recruitment
It can include: use of polygraph analysts, social and economic
studies, personality profiling, review of criminal records and
appropriate physical health of the candidates
Specialized training of the personnel on all aspects:
Initial Training
Continuous Training
Specialized Training
The Twin Track
REPRESSION
Fight the Criminality
PREVENTION
The Twin Track
Repression Prevention
Law enforcement Reducing the risk to
Sanction and society
punishment Intervening in the
causes (proactive
approach)
Kinds of prevention:
Primary, Secondary and
Tertiary, Individual, General
and Proactive prevention,
among others
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