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| | Introductory Text |
| | Part 1 Introduction (regs. 1-7) |
In force | Regulation 1 Citation and commencement |
In force | Regulation 2 Prescribed regulations |
In force | Regulation 3 General interpretation |
In force | Regulation 4 Meaning of business relationship |
In force | Regulation 5 Meaning of beneficial owner: bodies corporate or partnership |
In force | Regulation 6 Meaning of beneficial owner: trusts, similar arrangements and others |
In force | Regulation 7 Supervisory authorities |
| | Part 2 Money Laundering and Terrorist Financing (regs. 8-26) |
| | Chapter 1 Application (regs. 8-15) |
In force | Regulation 8 Application |
In force | Regulation 9 Carrying on business in the United Kingdom |
In force | Regulation 10 Credit institutions and financial institutions |
In force | Regulation 11 Auditors and others |
In force | Regulation 12 Independent legal professionals and trust or company service providers |
In force | Regulation 13 Estate agents |
In force | Regulation 14 High value dealers, casinos and auction platforms |
In force | Regulation 15 Exclusions |
| | Chapter 2 Risk assessment and controls (regs. 16-25) |
In force | Regulation 16 Risk assessment by the Treasury and Home Office |
In force | Regulation 17 Risk assessment by supervisory authorities |
In force | Regulation 18 Risk assessment by relevant persons |
In force | Regulation 19 Policies, controls and procedures |
In force | Regulation 20 Policies, controls and procedures: group level |
In force | Regulation 21 Internal controls |
In force | Regulation 22 Central contact points: electronic money issuers and payment service providers |
In force | Regulation 23 Requirement on authorised person to inform the FCA |
In force | Regulation 24 Training |
In force | Regulation 25 Supervisory action |
| | Chapter 3 Ownership and Management Restrictions (reg. 26) |
In force | Regulation 26 Prohibitions and approvals |
| | Part 3 Customer Due Diligence (regs. 27-38) |
| | Chapter 1 Customer due diligence: general (regs. 27-32) |
In force | Regulation 27 Customer due diligence |
In force | Regulation 28 Customer due diligence measures |
In force | Regulation 29 Additional customer due diligence measures: credit institutions and financial institutions |
In force | Regulation 30 Timing of verification |
In force | Regulation 31 Requirement to cease transactions etc |
In force | Regulation 32 Exception for trustees of debt issues |
| | Chapter 2 Enhanced customer due diligence (regs. 33-36) |
In force | Regulation 33 Obligation to apply enhanced customer due diligence |
In force | Regulation 34 Enhanced customer due diligence: credit institutions, financial institutions and correspondent relationships |
In force | Regulation 35 Enhanced customer due diligence: politically exposed persons |
In force | Regulation 36 Politically exposed persons: other duties |
| | Chapter 3 Simplified customer due diligence (regs. 37-38) |
In force | Regulation 37 Application of simplified customer due diligence |
In force | Regulation 38 Electronic money |
| | Part 4 Reliance and Record-keeping (regs. 39-41) |
In force | Regulation 39 Reliance |
In force | Regulation 40 Record-keeping |
In force | Regulation 41 Data Protection |
| | Part 5 Beneficial Ownership Information (regs. 42-45) |
In force | Regulation 42 Application of this Part |
In force | Regulation 43 Corporate bodies: obligations |
In force | Regulation 44 Trustee obligations |
In force | Regulation 45 Register of beneficial ownership |
| | Part 6 Money Laundering and Terrorist Financing: Supervision and Registration (regs. 46-60) |
| | Chapter 1 Duties of supervisory authorities (regs. 46-52) |
In force | Regulation 46 Duties of supervisory authorities |
In force | Regulation 47 Duties of supervisory authorities: information |
In force | Regulation 48 Duties of the FCA: guidance on politically exposed persons |
In force | Regulation 49 Duties of self-regulatory organisations |
In force | Regulation 50 Duty to co-operate |
In force | Regulation 51 Regulatory information |
In force | Regulation 52 Disclosure by supervisory authorities |
| | Chapter 2 Registration (regs. 53-60) |
In force | Regulation 53 Interpretation |
In force | Regulation 54 Duty to maintain registers of certain relevant persons |
In force | Regulation 55 Power to maintain registers |
In force | Regulation 56 Requirement to be registered |
In force | Regulation 57 Applications for registration in a register maintained under regulation 54 or 55 |
In force | Regulation 58 Fit and proper test |
In force | Regulation 59 Determination of applications for registration under regulations 54 and 55 |
In force | Regulation 60 Cancellation and suspension of registration in a register under regulation 54 or 55 |
| | Part 7 Transfer of Funds (Information on the Payer) Regulations (regs. 61-64) |
In force | Regulation 61 Interpretation |
In force | Regulation 62 Transfer of funds supervisory authorities |
In force | Regulation 63 Duties of transfer of funds supervisory authorities |
In force | Regulation 64 Obligations of payment service providers |
| | Part 8 Information and Investigation (regs. 65-74) |
In force | Regulation 65 Interpretation |
In force | Regulation 66 Power to require information |
In force | Regulation 67 Requests in support of other authorities |
In force | Regulation 68 Requests to other authorities |
In force | Regulation 69 Entry, inspection of premises without a warrant etc |
In force | Regulation 70 Entry of premises under warrant |
In force | Regulation 71 Retention of documents taken under regulation 66 or 70 |
In force | Regulation 72 Provision of information and warrants: safeguards |
In force | Regulation 73 Admissibility of statements |
In force | Regulation 74 Powers of relevant officers |
| | Part 9 Enforcement (regs. 75-92) |
| | Chapter 1 General (reg. 75) |
In force | Regulation 75 Meaning of "relevant requirement" |
| | Chapter 2 Civil penalties and notices (regs. 76-85) |
In force | Regulation 76 Power to impose civil penalties: fines and statements |
In force | Regulation 77 Power to impose civil penalties: suspension and removal of authorisation |
In force | Regulation 78 Power to impose civil penalties: prohibitions on management |
In force | Regulation 79 Imposition of civil penalties |
In force | Regulation 80 Injunctions |
In force | Regulation 81 The FCA: disciplinary measures (procedure) |
In force | Regulation 82 The FCA: procedure (general) |
In force | Regulation 83 The Commissioners: disciplinary measures (procedure) |
In force | Regulation 84 Publication: the FCA |
In force | Regulation 85 Publication: the Commissioners |
| | Chapter 3 Criminal offences, penalties and proceedings etc. (regs. 86-92) |
In force | Regulation 86 Criminal offence |
In force | Regulation 87 Offences of prejudicing investigations |
In force | Regulation 88 Information offences |
In force | Regulation 89 Proceedings: general |
In force | Regulation 90 Proceedings: jurisdiction |
In force | Regulation 91 Proceedings: partnership or unincorporated association |
In force | Regulation 92 Offence by bodies corporate, partnership or unincorporated association |
| | Part 10 Appeals (regs. 93-100) |
| | Chapter 1 Decisions of the FCA (reg. 93) |
In force | Regulation 93 Appeals against decisions of the FCA |
| | Chapter 2 Decisions of the Commissioners (regs. 94-100) |
In force | Regulation 94 Offer of review |
In force | Regulation 95 Review by the Commissioners |
In force | Regulation 96 Extensions of time |
In force | Regulation 97 Review out of time |
In force | Regulation 98 Nature of review etc |
In force | Regulation 99 Appeals against decisions of the Commissioners |
In force | Regulation 100 Appeals against decisions of the Commissioners: procedure |
| | Part 11 Miscellaneous Provisions (regs. 101-110) |
In force | Regulation 101 Recovery of charges and penalties through the court |
In force | Regulation 102 Costs of supervision |
In force | Regulation 103 Obligations on public authorities |
In force | Regulation 104 Suspicious activity disclosures |
In force | Regulation 105 Disclosure by the Commissioners |
In force | Regulation 106 General restrictions |
In force | Regulation 107 Transfers between the United Kingdom and the Channel Islands and the Isle of Man |
In force | Regulation 108 Review |
In force | Regulation 109 Consequential amendments |
In force | Regulation 110 Revocation and saving provisions |
In force | Schedule 1 Professional Bodies |
In force | Schedule 2 Activities listed in points 2 to 12, 14 and 15 of Annex I to the Capital Requirements Directive |
In force | Schedule 3 Relevant Offences |
In force | Schedule 4 Supervisory Information |
In force | Schedule 5 Connected Persons |
In force | Schedule 6 Meaning of "relevant requirement" |
| | Schedule 7 Consequential Amendments |
In force | Schedule 7, Part 1 Consequential Amendments to Primary Legislation |
In force | Schedule 7, Part 2 Consequential Amendments to Secondary Legislation |
| | Signature |
| | Explanatory Note |
| | Explanatory Memorandum |
