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TRADUCCION
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1 File: No. 557.139.-4
Accused:
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REPUBLIC OF COLOMBIA
(b)(6), (b)(7)(A), (b)(7)(C),
GENERAL ATTORNEY'S OFFICE (b)(7)(F)

FOURTH SPECIALIZED PROSECUTORS OFFICE OF CALI

Interlocutory Resolution No. 164

Santiago de Cali, September Sixteen (16) Two Thousand and Five (2005)

SUBJECT MATTER

This office is engaged on deciding the legal basis to enforce what is set forth on

art 327 of the Penal Code of Procedures issuing an inhibitory writ within the

preliminary inquiry herein carried out against

|, for a presumptive unlawful conduct against the social economic

order.

SUMMARY OF FACTS AND PROCEDURES

2) It was Mr. himself, who in |

|, requested the Sectional Prosecutor's Office to determine if

the f i r m ^ ^ ^ ^ ^ ^ ^ H COMISIONISTA DE BOLSA (stock broker firm) had

links with organizations dedicated to the traffic of ESTUPEFACIENTES , given its

inclusion in the so called "Clinton List" by the Treasury Department of the United

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States of America, which caused the blockade of accounts in that country and of

their customers securities that they have had for 16 years...

who
News release: M r . ^ | ^ m ^ ^ m ^ ^ m | ^ ^ m | ^ m |^H m o n t h s
earlier were partners of the company ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H , whose

partners have been included in the list of the Treasury Department of the country

of the northern hemisphere.

A copy of the "Clinton List" is attached, unloaded from the internet, from the web

page of the newspaper El Tiempo , dated H H | H ^ B > where the company

and its partners, who in turn are partners

of a company that is a partner o f ^ ^ ^ ^ ^ ^ ^ H is underscored (lines 4 to 14).

A copy is attached of the leasing agreement with purchase option dated August

13, 2001 between ' ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ | ^ B " ' professionals in

purchase-sale of foreign currency, represented by I

as the LEASING PARTY and ^ ^ ^ ^ ^ ^ ^ ^ ^ H represented by

I, as LEASEE (lines 15 to 24 and 25 to 28).

A copy is attached of a rescission agreement of the dation in payment of shares,

dated February 14, 2003, entered into by

|, representing

I, and the trust estates ^ ^ ^ H J ^ ^ H H and I

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TRUST managed by Fiduciaria Alianza S.A. On one part, and by

|on the other, by means of which the rights of the latter

as shareholders o are rescinded (lines 29 to 30 and 31 to

36).

The above gives grounds to assign the writ to a specialized Prosecutor (Fiscal

Especializado), and on April 14 of 2003 the fourth office arranges for the

procedure of prior inquiry and to commission the CTI to determine: the partners

o f ^ m ^ ^ H ^ ^ H ' , the legal representation registered at the Chamber of

Commerce and at the Superintendence of Industry and Trade, the economic

profile to establish if

the firm, and because of this they are also requested to determine their

background (line 37).

On February 19, 2004, it is arranged to hear the account of the partners of

I, of its legal representative

(line 41).

th
On February 26, 2004, the undersigning takes over as deputy of the 4

specialized office.

•^ Trsniuaoru e luwrni^ie Oticia

ILJc Alia JusnciA^^Bde Juaio2
de 1981

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Expert's opinion 43000-6^433 was rendered by a judicial expert from CTI who

acted as a judicial accountant expert; it concluded that there was a capital

increase of m ^ m between 1993 and 1994 pursuant to the income

statements of H ^ B H ^ H L
w a s
capital increase of ^ | ^ ^ ^ B found pursuant to the financial

statements certified for that period that had to be justified; therefore the capital

increase to be explained amounted to ^ ^ ^ ^ ^ ^ ^ ^ M lines 44 to 60).

The Report stated that the Specialized Prosecutor's Office No. 9 UNAM from

Bogota was investigating

I for asset laundering,

It was arranged to summon Mr.

present his deposition on

61 and 67).

The Specialized Prosecutor's Office 9 UNAIM reports that they had not done an

investigation against ^ H ^ B ^ ^ ^ H H ^ H H I H H I ^ I ^ H I i l ^ ^ ^ l
but upon consulting the system it was

established that National Unity Against Asset Laundering -UNCLA - of Bogota,

on
within file ^ ^ | investigated and accused ^ ^ B ^ H ^ ^ ^ ^ I H ^ I
I (Line 70).

iT 'J>.-jiluc/or-J -i." Intcrpreie 'JiiruJ

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Offense: Illegal enrichment pg-5

Specialized Prosecutor's Office 9 from UNCLA reports that it investigated against

because of certified true copies from file 095

L.A. carried out by the same agency against the extinct ^ ^ m | ^ ^ ^ m |

who, through his money exchange office SERVICHEQUES with see

in Calf, received considerable amounts of money from several accounts

throughout the national territory whose origin was the proceeds of illegal drug
That against
dealing - ^ ^ ^ ^ H I H ^ ^ ^ ^ ^ H i -
] a n accusation was pronounced that was appealed at the

this decision also affected:!

accomplice) . Lines

72 to 73).

A certificate of the chamber of commerce for

I is entered into record , whereby by means public

deed No 1511 of April 21, 2003, of Notary sixth of Cali registered at the chamber

on April 25, 2003 the partnership was declared to be dissolved and in a state of

liquidation, ^ | H ^ ^ ^ ^ H H H H ^ I ^ I ^ H w a s aPPointed tne principal

as nis alternate tne
liquidator, and H ^ ^ ^ ^ H H ^ ^ ^ H H I ^ ^ ^ H -

Tntductora e J/ir OficiaJ

ILJc. Min Justicia 'c Junio2
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external auditing would be done by BKR FERNANDEZ & ASOCIADOS

INTERNATIONAL LIMITADA (lines 78 to 79).

The defense counsel for Mr. m m m i m entered

into record documentation that he was going to forward to the judicial accountant

expert for his analysis and for the opinion extension. (Line 80).

Mr. | | ^ H | ^ | | [ | ^ H ^ H i m ^ m in his version states that he

requested the sectional director of the Prosecutor's offices in Cali to investigate

the firm he represents in relation to its illegal and unfair inclusion on the

Clinton List to demonstrate the complete AMENIDAD both of the partnership and

himself of any criminal deed. That since it was established in ^ | ^ | ^ ^ | ( t e n

years) the partnership had the same shareholders; in that year Dr.

established two trusts in l ^ ^ ^ ^ ^ ^ ^ ^ m placing

the shares of his family g r o u p ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ 1 and his own

shares in the name of t h ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ V T R U S T S which have as

beneficiaries h i s i m m and thus the new shareholder composition is

as follows: 1. ^ | ^ ^ | ^ | ^ ^ H H ^ B 3. ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H
~^^™^^"" 4. j^^HH^^H^^H and 5.HIHHI
In the year of 2001, the shares of the first two are
w th
sold by ^ | | H H ^ | H ^ ^ H | ^ | ^ | ^ | ' authorization the
Superintendence of Securities of and under its surveillance since they did not

have any legal issue, and ^ H were purchased by

v TraLtuflora •? Imerarert Ofinial

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Offense: Illegal enrichment
/ho worked at

since August 5, 1991 and the remaining

That pursuant to Resolution No. 08 of the year 2000 issued by the Banco de la

Republics (Central Bank of Colombia), the stock broker firms received approval

to operate in the exchange market to increase controls on asset laundering.

Since the foreign currency that came into the country through drafts made by

Colombians from abroad constituted the second most important item, it became

an interesting business that attracted many, and therefore from the second

semester of the year 2000 people came to offer to work in a partnership in order

to be able to participate in the exchange business, in some cases a pre

agreement was reached, but because of the delay of the Superintendence of

Securities the prospective partners declined their intent to become partners.

Towards the middle of 2001, acting as legal representative of

the partners of ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H w h i c h at that time was an

authorized money exchange office under surveillance of the superintendence of

banks, requested to become a partner because although they were authorized to

work in the exchange market, they had to increase their capital by $3,500 million

to be able to continue to operate, therefore after several conversations with f/^^

whom I knew fromjj^^^^J and ^^^J^^^^^Jthe

legal representative from ^ ^ ^ ^ ^ H ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ l an agreement

was reached w h e r e b y ^ ^ ^ ^ ^ ^ ^ H would lease all of their assets in such a

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manner that ;ould go into the market and |

continue with the business within this strategic alliance, all according to

the legal requirements. As of 2001 ^ H f l ^ ^ ^ ^ H j j ^ J ^ ^ U ^ H ceases

to operate. In October of that same year, approval was requested from the

Superintendence of Securities for the partners ofl

to become partners of ^ H | ^ ^ ^ ^ | therefore they were investigated and

approved as partners in October 2002, and the shareholder composition

became:

I (13.28%)^^^^^^^^B^^^^B 12 - 6% ) I
(14.66%),

(13.80%), so that 69% of the shares went to the extinct money

exchange office and 31 % to the traditional (shareholders) from

That on t h e ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H months after having received the first

authorization from the Superintendence of securities and 4 months after having

joined as partners with the authorization of the Superintendence of Securities,

the Treasury Department of the USA included fl|^^|^^^^^^^H|^^|

and some of its partners in the Clinton List and o n ^ ^ ^ ^ ^ | ^ ^ | t h e y also

i n c l u d e d ^ ^ ^ ^ ^ ^ ^ H on the list because among its partners it had partners

who were partners ° f ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ | w ' t n tne

consequence of

not being able to perform their corporate purpose, which led to a cease of

activities , about which the Superintendent of Securities and the Stock Exchange

were notified.

t'raiiuciora c jiii'£ trial

Lie MJn Jwflift; 'c JuiiioJ
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That on ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H days after the inclusion in the Clinton list) a

rescission agreement was executed among the former partners of

|and the new partners - the ones coming from]

|, that brought everything back to October of the year 2002, and thus

the former partners recovered their share percentage in the Stock Broker firm.

Since the corporate purpose could not be carried out, in April 2003 they voted a
tne
compulsory wind up, and in ^ H ^ ^ ^ ^ B names of the partners of

were included in the Clinton List, so they did not only want to

damage the firm but also with him and his family (lines 83 to 89).

Report No. was entered into record, according to which

presented capital increases explained by the appraisement

of its investments and fixed assets during the period ^ ^ ^ ^ ^ g and of

$66,000,000 and $2,720,500,000 for the period ^ ^ ^ ^ H as a product of the

subscription of shares and the merger with the partnership

|(Lines 90 to 98).

RECITALS OF THE OFFICE:

Article 322 of the Penal Procedure Code establishes the objectives for a prior

inquiry as follows: "In case of doubt about the legal basis to bring forth a pre trial

hearing, the objective of the prior inquiry shall be to establish if the conduct that

\ Traductiim c Jnt,
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has become known to the authorities by whatever means has taken place,

if it is described in the penal law as sanctionable, if the actions taken have

been performed without responsibility, if it fulfils the requirement of being

triable to bring forth a criminal action, and to collect the necessary evidence

to be able to achieve individuaiization or identification of the authors or

participator of the sanctionable conduct", (bold not in text)

Article 327 of the Penal Law Code sets forth that a writ of waiver shall be issued

when the conduct under investigation has not existed, or if it is found to be

atypical , that the criminal action can not be brought forth or that a motive of

absence of responsibility is demonstrated.

In this case, the prior investigation occurs because it is the same person heard,

the one who requests an

investigation of whether he or the company he represents, has links or

i

connections with illegal drug dealing, given the inclusion of

land its partners in the well known "Clinton List" that

pretends to disqualify natural or juridical persons that have any relationship with

dealings in illegal drug dealing.

Among the people in the list is Mrs. H J ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H who was a

partner of ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ | and who had legal, juridical

connections with ^ ^ ^ ^ ^ ^ ^ ^ ^ | under the supervision, control and

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authorization of the Superintendence of Securities and the Stock Exchange. The

woman was investigated for money laundering, the same as others, by the

Specialized Prosecutor's office of the National Unit for Money Laundering of

Bogota - UNCLA- for activities performed through SERVICHEQUE S.A. with

venue in Cali, who were charged with an indictment that was the object of an

appeal at the Supreme Court of Bogota, and there is no knowledge about such

recourse has been resolved.

or tnat tne
There is no knowledge that H l ^ m i ^ ^ H H I ^ H H ^ I I H
nas
entity he represents fl^^^|^^^H^^^^H^^HJj^^B been
investigated for offenses related to illegal drug dealing or asset laundering. The

decision to insert this firm or its partners was a unilateral action taken by the

North American Government, through the Treasury Department, but not

referenced or related to a decision of any judicial court whatsoever.

This prior inquiry brought forth against

[, because of his petition to be investigated as was

indicated above, motivates an economic study that in an initial report establishes

capital differences to be justified for the period | ^ ^ ^ | The time that has

elapsed since then, over ten years, is enough to declare the prescription of the

penal action, which motivates the inhibition of the opening of the trial, taking into

account that it is a cause to impede the commencement of the penal action.

However, the reason for the inhibition is a different one, that of absolute non

002234
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specificity (atypicity), taking into account, that even though the grounds for the

inhibition is a different one, that of absolute atipicity, taking into account that the

extension of the accounting report states that the capital increase for the period
s
of H | j ^ | ' justified because of an appraisement not taken into account in .

the initial report.

A similar situation occurs with the capital difference to be justified during the

period of ^ H ^ H | determined by the first accounting report of the judicial

expert from CTI, because in an extension to the report, taking into account the

documents furnished by the defense, the increase is completely justified with

appraisements and with the subscription of shares, reversed later on by means

of a rescission, because of the impossibility to make the strategic alliance that

pretended to bring in profits both t o ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H ( which

to be able to continue to operate had to increase its capital) and to

which enabled it in turn to make it possible for it to come

into the market, having, to do so, legal authorization from the Superintendence

of Securities and the stock exchange, which means that the former, or some of

its partners, did not have any estoppels whatsoever, and were not under

investigation then, even if they were investigated later - fl^HHH^HH

and others- but due to their activity in another partnership

with venue in Cali. Surely, this background was what

madeHHand the partnership ^ ^ ^ | ^ ^ H ^ ^ | ^ | ^ H | ^ | where | ^

appears to e a partner, be included; and when the latter becomes a partner to

002235
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OBURSATILES, it brings it along with the inauspicious consequence that did

away the business purpose and that led to its dissolution and liquidation.

it is argued then, that the only possible decision is that of an inhibition of the

opening of the pre-trial, and the decision shall be made in that sense.

The former are sufficient reasons for the undersigning DEPUTY SPECIALIZED

FOURTH PROSECUTOR BEFORE THE PENAL JUDGES OF THE CIRCUIT

OF CALI,

DECIDES:

1- Decree an inhibitory writ within the prior inquiry herein, in the favor of the

person rendering the account,

having known the civil memorandums, legal representative from

for the conduct not

specified (typified), by mandate of article 327 of the Penal Law Code and

pursuant to what was reasoned.

2. The recourses of appeal for reversal and/or the remedy of appeal proceed

against the decision made.

' Lie Klin Jastian^^Bfc JuiuoJ

.-/«.• I9S7 •

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3. The action must go to the common secretary of the Unit for notice to be served

to the interested parties. If the decision is not appealed, it will be filed among

those of its lineage.

LET IT BE NOTIFIED AND ENFORCED

FOURTH SPECIALIZED FISCAL OF CALI

Certified Translation No. 2005-141 of a document written in Spanish. The above is a true and
faithful translation of a document written in Spanishlhad before me. Translated b y | ^ H H I H i
| ^ m , Translator and interpreter's license m ^ | issued by the Ministry of Justice of
Colombia and duly registered at the Ministry of External Affairs. Cali, October 15,2005. Signature
and Seal:

Lie. Aijn Jusricis

cle J9i

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TRADUCC ON

ABOGADOS SIDLEY Al STIN BROWN &

WOOD LLP A> Q 2003

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