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8000 - Miscellaneous Statutes and Regulations
Subpart F—Summons
§ 103.71 General.
For any investigation for the purpose of civil enforcement of
violations of the Currency and Foreign Transactions Reporting Act, as
amended (31 U.S.C. 5311 through 5324), section 21 of the Federal
Deposit Insurance Act (12 U.S.C.
1829b), section 411 of the National Housing Act (12 U.S.C.
1730d), or chapter 2 of Pub. L. 91-508
(12 U.S.C. 1951 et
seq.), or any regulation under any such provision, the Secretary
or delegate of the Secretary may summon a financial institution or an
officer or employee of a financial institution (including a former
officer or employee), or any person having possession, custody, or care
of any of the records and reports required under the Currency and
Foreign Transactions Reporting Act or this part to appear before the
Secretary or his delegate, at a time and place named in the summons,
and to give testimony, under oath, and be examined, and to produce such
books, papers, records, or other data as may be relevant or material to
such investigation.
[Codified to 31 C.F.R. § 103.71]
[Source: Section 103.61 added at 52 Fed. Reg. 23979, June
26, 1987; redesignated as section 103.71 at 64 Fed. Reg. 45451, August
20, 1999, effective September 20, 1999]
§ 103.72 Persons who may issue summons.
For purposes of this part, the following officials are hereby
designated as delegates of the Secretary who are authorized to issue a
summons under § 103.71, solely for the purposes of civil enforcement
of this part:
(a) Office of the Secretary. The Assistant Secretary
(Enforcement), the Deputy Assistant Secretary (Law Enforcement), and
the Director, Office of Financial Enforcement.
{{6-30-03 p.8515}}
(b) Internal Revenue Service. Except with respect to
§ 103.23 of this part,
the Commissioner, the Deputy Commissioner, or a delegate of either
official, and, for the purposes of perfecting seizures and forfeitures
related to civil enforcement of this part, the Chief (Criminal
Investigation) or a delegate.
[Codified to 31 C.F.R. § 103.72]
[Source: Section 103.62 added at 52 Fed. Reg. 23979, June
26, 1987; redesignated as section 103.72 and amended at 64 Fed. Reg.
45451, August 20, 1999, effective September 20, 1999; 68 Fed. Reg.
26489, May 16, 2003]
§ 103.73 Contents of summons.
(a) Summons for testimony. Any summons issued under
§ 103.71 of this part to compel the appearance and testimony of a
person shall state:
(1) The name, title, address, and telephone number of the person
before whom the appearance shall take place (who may be a person other
than the persons who are authorized to issue such a summons under
§ 103.72 of this part);
(2) The address to which the person summoned shall report for the
appearance;
(3) The date and time of the appearance; and
(4) The name, title, address, and telephone number of the person
who has issued the summons.
(b) Summons of books, papers, records, or data. Any
summons issued under § 103.71 of this part to require the production
of books, papers, records, or other data shall describe the materials
to be produced with reasonable specificity, and shall state:
(1) The name, title, address, and telephone number of the person
to whom the materials shall be produced (who may be a person other than
the persons who are authorized to issue such a summons under § 103.62
of this part);
(2) The address at which the person summoned shall produce the
materials, not to exceed 500 miles from any place where the financial
institution operates or conducts business in the United States;
(3) The specific manner of production, whether by personal
delivery, by mail, or by messenger service;
(4) The date and time for production; and
(5) The name, title, address, and telephone number of the person
who has issued the summons.
[Codified to 31 C.F.R. § 103.73]
[Source: Section 103.63 added at 52 Fed. Reg. 23979, June
26, 1987; redesignated as section 103.73 and amended at 64 Fed. Reg.
45451, August 20, 1999, effective September 20,
1999]
§ 103.74 Service of summons.
(a) Who may serve. Any delegate of the Secretary
authorized under § 103.72 of this part to issue a summons, or any
other person authorized by law to serve summonses or other process, is
hereby authorized to serve a summons issued under this part.
(b) Manner of service. Service of a summons may be
made--
(1) Upon any person, by registered mail, return receipt
requested, directed to the person summoned;
(2) Upon a natural person by personal delivery; or
(3) Upon any other person by delivery to an officer, managing or
general agent, or any other agent authorized to receive service of
process.
{{6-30-03 p.8516}}
(c) Certificate of service. The summons shall contain a
certificate of service to be signed by the server of the summons. On
the hearing of an application for enforcement of the summons, the
certificate of service signed by the person serving the summons shall
be evidence of the facts it states.
[Codified to 31 C.F.R. § 103.74]
[Source: Section 103.64 added at 52 Fed. Reg. 23979, June
26, 1987; redesignated as section 103.74 and amended at 64 Fed. Reg.
45451, August 20, 1999, effective September 20,
1999]
§ 103.75 Examination of witnesses and records.
(a) General. Any delegate of the Secretary authorized
under § 103.72 of this
part to issue a summons, or any officer or employee of the Treasury
Department or any component thereof who is designated by that person
(whether in the summons or otherwise), is hereby authorized to receive
evidence and to examine witnesses pursuant to the summons. Any person
authorized by law may administer any oaths and affirmations that may be
required under this subpart.
(b) Testimony taken under oath. Testimony of any person
under this part may be taken under oath, and shall be taken down in
writing by the person examining the person summoned or shall be
otherwise transcribed. After the testimony of a witness has been
transcribed, a copy of that transcript shall be made available to the
witness upon request, unless for good cause the person issuing the
summons determines, under 5 U.S.C.
555, that a copy should not be provided. If such a
determination has been made, the witness shall be limited to inspection
of the official transcript of the testimony.
(c) Disclosure of summons, testimony, or
records. Unless the Secretary or a delegate of the Secretary
listed under § 103.72(a) of this part so authorizes in writing, or it
is otherwise required by law, no delegate of the Secretary listed under
§ 103.72(b) or (c) of this part or other officer or employee of the
Treasury Department or any component thereof shall--
(1) Make public the name of any person to whom a summons has been
issued under this part, or release any information to the public
concerning that person or the issuance of a summons to that person
prior to the time and date set for that person's appearance or
production of records; or
(2) Disclose any testimony taken (including the name of the
witness) or material presented pursuant to the summons, to any person
other than an officer or employee of the Treasury Department or of any
component thereof.
Nothing in the preceding sentence shall preclude a delegate
of the Secretary, or other officer or employee of the Treasury
Department or any component thereof, from disclosing testimony taken,
or material presented pursuant to a summons issued under this part, to
any person in order to obtain necesssary information for investigative
purposes relating to the performance of official duties, or to any
officer or employee of the Department of Justice in connection with a
possible violation of federal law.
[Codified to 31 C.F.R. § 103.75]
[Source: Section 103.65 added at 52 Fed. Reg. 23979, June
26, 1987; redesignated as section 103.75 and amended at 64 Fed. Reg.
45451, August 20, 1999, effective September 20,
1999]
§ 103.76 Enforcement of summons.
In the case of contumacy by, or refusal to obey a summons issued to,
any person under this part, the Secretary or any delegate of the
Secretary listed under
§ 103.72 of this part
shall refer the matter to the Attorney General or delegate of the
Attorney General (including any United States Attorney or Assistant
United States Attorney, as appropriate), who may bring an action to
compel compliance with the summons in any court of the United States
within the jurisdiction of which the investigation which gave rise to
the summons being or has been carried on, the jurisdiction in which the
person summoned is a resident, or the jurisdiction in which the person
summoned carries on business or may be found. When a referral is made
by a delegate of the Secretary other than a delegate named in
§ 103.72(a)
{{8-31-99 p.8516.01}}of this part,
prompt notification of the referral must be made to the Director,
Office of Financial Enforcement, Office of the Assistant Secretary
(Enforcement). The court may issue an order requiring the person
summoned to appear before the Secretary or delegate of the Secretary to
produce books, papers, records, or other data, to give testimony as may
be necessary in order to explain how such material was compiled and
maintained, and to pay the costs of the proceeding. Any failure to obey
the order of the court may be punished by the court as a contempt
thereof. All process in any case under this section may be served in
any judicial district in which such person may be found.
[Codified to 31 C.F.R. § 103.76]
[Source: Section 103.66 added at 52 Fed. Reg. 23980, June
26, 1987; redesignated as section 103.76 and amended at 64 Fed. Reg.
45451, August 20, 1999, effective September 20,
1999]
§ 103.77 Payment of expenses.
Persons summoned under this part shall be paid the same fees and
mileage for travel in the United States that are paid witnesses in the
courts of the United States. The United States shall not be liable for
any other expense incurred in connection with the production of books,
papers, records, or other data under this part.
[Codified to 31 C.F.R. § 103.77]
[Source: Section 103.67 added at 52 Fed. Reg. 23980, June
26, 1987; redesignated as section 103.77 at 64 Fed. Reg. 45451, August
20, 1999, effective September 20, 1999]
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