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Version status: In force | Document consolidation status: Updated to reflect all known changes
Version date: 1 September 2022 - onwards
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Schedule 4 Supervisory Information

Regulation 51(1)

1. The number of persons subject to the supervision of the supervisory authority, or in the case of a self-regulatory organisation, the number of its members ("supervised persons").

2. The number of supervised persons who are individuals.

3. In the case of a self-regulatory organisation, the number of its supervised persons who act as trust or company service providers.

4. In the case of a self-regulatory organisation, the number of applications for membership which the organisation has -

(a) received,

(b) rejected, and

(c) accepted.

5. The services provided by supervised persons.

6. The number of firms subject to the supervision of the supervisory authority which the authority considers to be -

(a) high risk;

(b) medium risk;

(c) low risk;

and for these purposes, "risk" refers to the risk that the firm will be subject to money laundering or terrorist financing.

7. The number of applications for approval received by the supervisory authority under regulation 26, and th

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