[F1Annual reports by self-regulatory organisationsU.K.
46A. A self-regulatory organisation must publish or make arrangements to publish an annual report containing information about—
(a)measures taken by the self-regulatory organisation to encourage the reporting of actual or potential breaches as referred to in regulation 46(2)(e);
(b)the number of reports of actual or potential breaches received by that self-regulatory organisation as referred to in regulation 46(2)(e);
(c)the number and description of measures carried out by the self-regulatory organisation to monitor, and enforce, compliance by relevant persons with their obligations under—
(i)Part 3 (customer due diligence);
(ii)Part 3 of the Terrorism Act 2000 (terrorist property) M1 and Part 7 of the Proceeds of Crime Act 2002 (money laundering) M2;
(iii)regulation 40 (record-keeping); and
(iv)regulations 20 to 24 (policies and controls etc.).]
Textual Amendments
F1Reg. 46A inserted (10.1.2020) by The Money Laundering and Terrorist Financing (Amendment) Regulations 2019 (S.I. 2019/1511), regs. 1(2), 7(2)
Marginal Citations