Michele Sciurba - Implementation of State Anti-Corruption and Anti-Money Laundering Policy in the EU Member States

In recent years, there has been a significant increase in academic research at the national and international level about the role of public administration in combating money laundering in the Ukraine by uncovering the shadow economy. Non-Ukrainian scholars such as F. Brett, G. Grossman, J. Zdanowicz, K. Kottke, J. Modinger, T. Reiter, R. Seddig, etc. have been at the forefront of such research. Ukrainian scholars such as V. Zhuravskyi, M. Kamlyk, M. Karmazina, Ya. Kashuba, O. Markeeva, M. Melnyk, M. Mykhalchenko, O. Mykhalchenko, Ye. Nevmerzhytskyi, O. Rudyk, A. Safonenko, and V. Tsygankov have made helpful contributions to the study of systematic corruption in Ukraine. Other scholars such as Yu. V. Aleksandrov, T. A. Kachka, A. T. Kovalchuk, O. Ye. Korystin, and A. V. Naumov have particularly investigated European legislation on the prevention of corruption. Scholars of anti-corruption policy have identified the establishment of a hierarchical set of objectives as an important structural element in the formation of anti-corruption strategies.

The aim of this work is to provide a theoretical justification for the formation of state AML policy in the light of the European experience and to formulate practical recommendations for its improvement. This monograph has a number of objectives. First, it attempts to prove a systematic theoretical basis for reforming the public organization and the legal foundations of state AML policy in the light of the experience of other European nations. Second, it gives an account of the problems of state administration of AML policy within the legal framework of the EU. To do so, it outlines and explains different types of state AML policy. This requires defining the performance indicators for state AML policy and taking into account the relationship between the structure of state public financing, law enforcement agencies and federal prosecutors.

The monograph suggests how to promote a nationwide anti-corruption strategy. It also suggests how the public administration of anti-corruption laws can be streamlined using modern social-scientific methods and offers a comparative analysis of the rules and procedures in public administration used by EU Member States. Further, this work identifies how relations to the public can be improved by clarifying the goals, objectives, principles, and competences of political institutions involved in national anti-corruption strategy and determining the principles guiding government administration of anti-corruption regulations in Ukraine. This monograph goes on to suggest improvements in the mechanisms of state administration of AML enforcement in Ukraine. This monograph seeks to contribute to research on the topic by suggesting methods for improving AML enforcement mechanisms in the banking system, in public relations and the Ukraine’s legal and regulatory framework.

The research methods used to study the mechanisms of state administration of the mechanisms of AML policy were derived from public administrative and international law, criminology, political science, and empirical studies of organizational management. This provided the conceptual foundations for the principles for structuring the state administrative system. A dialectical method has been applied to the procedural and conceptual aspects of the mechanisms of state financial monitoring employed by supervisory agencies, including the exchange of information at the national and international levels, as well as special sociological research methods, such as the study of expert evaluation, statistical analysis of data and the analysis of opinion polls. The monograph analyzes government institutions to examine intrastate mechanisms of AML regulation and reconstructs the main stages and origins of AML efforts in advanced nations, primarily in the European Union, based on historical and comparative methods in comparison to their use in Ukraine.

The monograph provides a novel approach to state AML policy in the context of European developments and its role in securing national economic security in Ukraine. In particular, this academic work develops theories and practical recommendations and introduces a hierarchical and complex mechanism for improving the public administration and state monitoring of AML policy in Ukraine. The implementation of the mechanism is multi-staged and sequential, such that certain measures are implemented at each stage: the amnesty of capital accumulated for non-terrorist purposes prior to its exposure by the authorities; the implementation of the FATF Recommendations, which are important for Ukraine’s integration process into the European Union and for international recognition; the creation of economic conditions to reduce shadowing and encourage economic actors and investors to raise capital inside the country rather than disinvesting it abroad. The proposed mechanism accounts for all areas of risk regarding money laundering in Ukraine and proposes preventive measures and solutions to existing problems for prohibiting the laundering of “shadow capital”.

In addition, the monograph introduces an own model for increasing the efficiency and responsiveness of government services in Ukraine: improving the public service, the responsiveness of local government, instituting practices of good self-government and public service and the implementation of a new anti-corruption policy, which takes into account both the development of Ukraine’s political system, and the division of labor among various management bodies charged with combating corruption. The proposed model optimizes the number of inspections of financial institutions, banks and other institutions reporting financial transactions to financial supervisory authorities in compliance with current legislation and improves the mechanisms for assisting compliance departments of financial services, banks and other reporting entities. In addition, it improves the legal and administrative enforcement to fight effective violations of AML law, including violations of administrative legal requirements and legal measures. Finally, the model expands the information technology capacity of the government regulators for the collection, processing, storage and transfer of the necessary information to a unified information system.

The theoretical and methodological principles and conclusions presented here can be applied to solving practical problems concerning the future direction of state AML policy. The monograph suggests the most pressing of present concerns about the direction of Ukraine’s strategy, both organizationally and legally, involves combating state corruption and making strategic choices that advance the Ukraine’s accession to the European Union.

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