Money laundering; provision of information to the Bar Association

The Bar Association may request information from lawyers in the context of money laundering supervision.

The bar associations are responsible for the supervision of lawyers under money laundering law. The bar associations not only investigate specific suspicious activity reports, but also check without cause whether lawyers, insofar as they are "obliged entities" within the meaning of Section 2 para. 1 no. 10 of the Money Laundering Act (GwG), comply with the requirements set out in the Money Laundering Act.

The Bar Associations provide online questionnaires for the random check.

Lawyers must provide information in the context of money laundering audits if they are requested to do so by the competent bar association.

As part of the random audit, the bar associations regularly determine in a first step whether a lawyer is an "obligated person" within the meaning of Section 2 para. 1 no. 10 AMLA in the respective audit period. For this purpose, they randomly select a number of members of the bar association as determined by the respective bar association and ask them to provide information as to whether they have carried out a catalog activity pursuant to Section 2 para. 1 no. 10 GwG during the audit period. § Section 2 para. 1 no. 10 lit. a) GwG covers the involvement of a lawyer in the planning or execution of the purchase and sale of real estate or commercial enterprises, in the management of money, securities or other assets or in the opening or management of bank, savings or securities accounts. Involvement in the procurement of the funds required for the establishment, operation or management of companies or in the establishment, operation or management of trusts, companies or similar structures is also covered by Section 2 para. 1 no. 10 lit. a) GWG. Other catalog activities are defined in Section 2 para. 1 no. 10 lit. b) AMLA as the execution of financial or real estate transactions in the name and for the account of the client, in Section 2 para. 1 no. 10 lit. c) AMLA as advising clients with regard to their capital structure, industrial strategy or related issues, in Section 2 para. 1 no. 10 lit. d) GwG the provision of advice or services in connection with mergers or acquisitions and in § 2 para. 1 no. 10 lit. e) GwG the provision of business assistance in tax matters.

From the group of "obliged entities", a second step then examines a proportion of obliged entities, again determined by the respective bar association, to determine whether they have complied with the anti-money laundering regulations.

The members of the chamber affected by the audit are informed by the relevant bar association and asked to take part in the audit. Lawyers are obliged to participate in the audit.

The bar associations provide online examination forms for participation in the examination. These can only be accessed by the members of the bar association who have been contacted by the bar association using the personal access key sent to them.