Overview

Guideline 1: Preliminary review

Prior to a criminal investigation, involved jurisdictions should undertake a sufficient preliminary review of any indications and allegations, using all available sources, including financial and law enforcement intelligence and open source, and where appropriate share financial information with concerned FIUs, with a view to support subsequent criminal investigations.

Guideline 2: Restraining assets

Involved jurisdictions should promptly consider various options for preventing the untimely dissipation of assets, such as government freezes or delaying transactions for predetermined periods.

Guideline 3: Investigation

Involved jurisdictions should develop a comprehensive investigative and legal strategy for the case in consultation with all concerned public institutions.

The strategy should designate a domestic lead authority, outline responsibilities and consider all legal avenues (including administrative, civil and criminal). Sequencing of the lines of inquiry should be agreed, including the initiation of an investigation, exchange of information and submission of requests for MLA. The strategy should be regularly reviewed throughout the asset recovery process.

Guideline 4: Timing

Consider – and discuss with the jurisdiction to be requested – the timing of various types of requests for MLA

Guideline 5: Legal requirements

Requesting and requested jurisdictions need to understand the legal requirements of one another, as these will become relevant for both domestic proceedings and international co-operation.

Guideline 6: Contacts

Requesting and requested jurisdictions should establish and use direct contacts between practitioners.

Requesting and requested authorities should consider seeking assistance from international experts.

They should use all available channels for information sharing, such as international and regional networks.

Guideline 7: Communication

Requesting jurisdictions should promptly discuss relevant elements of the investigative and legal strategy as well as a case outline and subject profile with all involved jurisdictions, where appropriate.

Involved jurisdictions should designate a focal point of contact and inform all concerned parties.

Guideline 8: Parallel investigations

Requested jurisdictions should consider initiating a parallel investigation into the assets and the facts surrounding these, in order to establish any wrongdoing in their jurisdiction.

Requesting and requested jurisdictions should fully support one another’s proceedings by furnishing additional information spontaneously whenever possible and promptly processing valid requests for MLA.

Requesting and requested jurisdictions should assess their potential right of participating in legal proceedings underway in one another’s jurisdiction.

Requesting and requested jurisdictions should determine whether to maintain parallel investigations and consider initiating joint investigations.

Guideline 9: Draft request for MLA

Share draft requests for MLA between the requesting and requested jurisdictions to confirm all requirements are met.

Requesting and requested jurisdictions should ensure follow-up to support the prompt execution of requests for MLA and periodic consultation on progress in domestic processes.

Guideline 10: Execution of request for MLA

The requested authority promptly proceeds to the execution of the request.

When considering concluding domestic proceedings that may affect related proceedings in another jurisdiction, including settlements, engage in consultation, where appropriate, to minimize obstacles to foreign proceedings or international cooperation.