http://www.legislation.gov.uk/ukpga/2008/28/schedule/7/part/3/2009-10-31Counter-Terrorism Act 2008An Act to confer further powers to gather and share information for counter-terrorism and other purposes; to make further provision about the detention and questioning of terrorist suspects and the prosecution and punishment of terrorist offences; to impose notification requirements on persons convicted of such offences; to confer further powers to act against terrorist financing, money laundering and certain other activities; to provide for review of certain Treasury decisions and about evidence in, and other matters connected with, review proceedings; to amend the law relating to inquiries; to amend the definition of “terrorism”; to amend the enactments relating to terrorist offences, control orders and the forfeiture of terrorist cash; to provide for recovering the costs of policing at certain gas facilities; to amend provisions about the appointment of special advocates in Northern Ireland; and for connected purposes. 9texttext/xmlenStatute Law Database2024-05-18Expert Participation2009-10-31SCHEDULESSCHEDULE 7Terrorist financing and money launderingPart 3Requirements that may be imposed by a directionRequirements that may be imposed by a direction91

A direction under this Schedule may impose requirements in relation to transactions or business relationships with—

a

a person carrying on business in the country;

b

the government of the country;

c

a person resident or incorporated in the country.

2

The direction may impose requirements in relation to—

a

a particular person within sub-paragraph (1),

b

any description of persons within that sub-paragraph, or

c

all persons within that sub-paragraph.

3

In this Schedule “designated person”, in relation to a direction, means any of the persons in relation to whom the direction is given.

4

The kinds of requirement that may be imposed by a direction under this Schedule are specified in—

paragraph 10 (customer due diligence);

paragraph 11 (ongoing monitoring);

paragraph 12 (systematic reporting);

paragraph 13 (limiting or ceasing business).

5

A direction may make different provision—

a

in relation to different descriptions of designated person, and

b

in relation to different descriptions of transaction or business relationship.

6

The requirements imposed by a direction must be proportionate having regard to the advice mentioned in paragraph 1(2) or, as the case may be, the risk mentioned in paragraph 1(3) or (4) to the national interests of the United Kingdom.

Customer due diligence101

A direction may require a relevant person to undertake enhanced customer due diligence measures—

a

before entering into a transaction or business relationship with a designated person, and

b

during a business relationship with such a person.

2

The direction may do either or both of the following—

a

impose a general obligation to undertake enhanced customer due diligence measures;

b

require a relevant person to undertake specific measures identified or described in the direction.

3

Customer due diligence measures” means measures to—

a

establish the identity of the designated person,

b

obtain information about—

i

the designated person and their business, and

ii

the source of their funds, and

c

assess the risk of the designated person being involved in relevant activities.

4

In sub-paragraph (3)(c) “relevant activities” means—

a

terrorist financing;

b

money laundering; or

c

the development or production of nuclear, radiological, biological or chemical weapons or the facilitation of that development or production.

5

A direction may not impose requirements of a kind mentioned in this paragraph on a person who is regarded as operating in the financial sector by virtue only of paragraph 5(2)(g) (certain insurance companies).

Ongoing monitoring111

A direction may require a relevant person to undertake enhanced ongoing monitoring of any business relationship with a designated person.

2

The direction may do either or both of the following—

a

impose a general obligation to undertake enhanced ongoing monitoring;

b

require a relevant person to undertake specific measures identified or described in the direction.

3

“Ongoing monitoring” of a business relationship means—

a

keeping up to date information and documents obtained for the purposes of customer due diligence measures, and

b

scrutinising transactions undertaken during the course of the relationship (and, where appropriate, the source of funds for those transactions) to ascertain whether the transactions are consistent with the relevant person's knowledge of the designated person and their business.

4

A direction may not impose requirements of a kind mentioned in this paragraph on a person who is regarded as operating in the financial sector by virtue only of paragraph 5(2)(g) (certain insurance companies).

Systematic reporting121

A direction may require a relevant person to provide such information and documents as may be specified in the direction relating to transactions and business relationships with designated persons.

2

A direction imposing such a requirement must specify how the direction is to be complied with, including—

a

the person to whom the information and documents are to be provided, and

b

the period within which, or intervals at which, information and documents are to be provided.

3

The power conferred by this paragraph is not exercisable in relation to information or documents in respect of which a claim to legal professional privilege (in Scotland, to confidentiality of communications) could be maintained in legal proceedings.

4

The exercise of the power conferred by this paragraph and the provision of information under it is not otherwise subject to any restriction on the disclosure of information, whether imposed by statute or otherwise.

Limiting or ceasing business13

A direction may require a relevant person not to enter into or continue to participate in—

a

a specified transaction or business relationship with a designated person,

b

a specified description of transactions or business relationships with a designated person, or

c

any transaction or business relationship with a designated person.

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<hcontainer name="schedules" eId="d4e211" period="#period4">
<heading>SCHEDULES</heading>
<hcontainer name="schedule" eId="schedule-7" period="#period3">
<num>SCHEDULE 7</num>
<heading>Terrorist financing and money laundering</heading>
<part eId="schedule-7-part-3" period="#period2">
<num>
<strong>Part 3</strong>
</num>
<heading>Requirements that may be imposed by a direction</heading>
<hcontainer name="crossheading" eId="schedule-7-part-3-crossheading-requirements-that-may-be-imposed-by-a-direction" period="#period2">
<heading>
<em>Requirements that may be imposed by a direction</em>
</heading>
<paragraph eId="schedule-7-paragraph-9" period="#period2">
<num>9</num>
<subparagraph eId="schedule-7-paragraph-9-1">
<num>1</num>
<intro>
<p>A direction under this Schedule may impose requirements in relation to transactions or business relationships with—</p>
</intro>
<paragraph eId="schedule-7-paragraph-9-1-a">
<num>a</num>
<content>
<p>a person carrying on business in the country;</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-9-1-b">
<num>b</num>
<content>
<p>the government of the country;</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-9-1-c">
<num>c</num>
<content>
<p>a person resident or incorporated in the country.</p>
</content>
</paragraph>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-9-2">
<num>2</num>
<intro>
<p>The direction may impose requirements in relation to—</p>
</intro>
<paragraph eId="schedule-7-paragraph-9-2-a">
<num>a</num>
<content>
<p>a particular person within sub-paragraph (1),</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-9-2-b">
<num>b</num>
<content>
<p>any description of persons within that sub-paragraph, or</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-9-2-c">
<num>c</num>
<content>
<p>all persons within that sub-paragraph.</p>
</content>
</paragraph>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-9-3">
<num>3</num>
<content>
<p>
In this Schedule “
<term refersTo="#term-designated-person">designated person</term>
”, in relation to a direction, means any of the persons in relation to whom the direction is given.
</p>
</content>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-9-4">
<num>4</num>
<content>
<p>The kinds of requirement that may be imposed by a direction under this Schedule are specified in—</p>
<blockList class="unordered">
<item>
<p>paragraph 10 (customer due diligence);</p>
</item>
<item>
<p>paragraph 11 (ongoing monitoring);</p>
</item>
<item>
<p>paragraph 12 (systematic reporting);</p>
</item>
<item>
<p>paragraph 13 (limiting or ceasing business).</p>
</item>
</blockList>
</content>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-9-5">
<num>5</num>
<intro>
<p>A direction may make different provision—</p>
</intro>
<paragraph eId="schedule-7-paragraph-9-5-a">
<num>a</num>
<content>
<p>in relation to different descriptions of designated person, and</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-9-5-b">
<num>b</num>
<content>
<p>in relation to different descriptions of transaction or business relationship.</p>
</content>
</paragraph>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-9-6">
<num>6</num>
<content>
<p>The requirements imposed by a direction must be proportionate having regard to the advice mentioned in paragraph 1(2) or, as the case may be, the risk mentioned in paragraph 1(3) or (4) to the national interests of the United Kingdom.</p>
</content>
</subparagraph>
</paragraph>
</hcontainer>
<hcontainer name="crossheading" eId="schedule-7-part-3-crossheading-customer-due-diligence" period="#period1">
<heading>
<em>Customer due diligence</em>
</heading>
<paragraph eId="schedule-7-paragraph-10" period="#period1">
<num>10</num>
<subparagraph eId="schedule-7-paragraph-10-1">
<num>1</num>
<intro>
<p>A direction may require a relevant person to undertake enhanced customer due diligence measures—</p>
</intro>
<paragraph eId="schedule-7-paragraph-10-1-a">
<num>a</num>
<content>
<p>before entering into a transaction or business relationship with a designated person, and</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-10-1-b">
<num>b</num>
<content>
<p>during a business relationship with such a person.</p>
</content>
</paragraph>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-10-2">
<num>2</num>
<intro>
<p>The direction may do either or both of the following—</p>
</intro>
<paragraph eId="schedule-7-paragraph-10-2-a">
<num>a</num>
<content>
<p>impose a general obligation to undertake enhanced customer due diligence measures;</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-10-2-b">
<num>b</num>
<content>
<p>require a relevant person to undertake specific measures identified or described in the direction.</p>
</content>
</paragraph>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-10-3">
<num>3</num>
<intro>
<p>
<term refersTo="#term-customer-due-diligence-measures">Customer due diligence measures</term>
” means measures to—
</p>
</intro>
<paragraph eId="schedule-7-paragraph-10-3-a">
<num>a</num>
<content>
<p>establish the identity of the designated person,</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-10-3-b">
<num>b</num>
<intro>
<p>obtain information about—</p>
</intro>
<subparagraph eId="schedule-7-paragraph-10-3-b-i">
<num>i</num>
<content>
<p>the designated person and their business, and</p>
</content>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-10-3-b-ii">
<num>ii</num>
<content>
<p>the source of their funds, and</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="schedule-7-paragraph-10-3-c">
<num>c</num>
<content>
<p>assess the risk of the designated person being involved in relevant activities.</p>
</content>
</paragraph>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-10-4">
<num>4</num>
<intro>
<p>
In sub-paragraph (3)(c) “
<term refersTo="#term-relevant-activities">relevant activities</term>
” means—
</p>
</intro>
<paragraph eId="schedule-7-paragraph-10-4-a">
<num>a</num>
<content>
<p>terrorist financing;</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-10-4-b">
<num>b</num>
<content>
<p>money laundering; or</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-10-4-c">
<num>c</num>
<content>
<p>the development or production of nuclear, radiological, biological or chemical weapons or the facilitation of that development or production.</p>
</content>
</paragraph>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-10-5">
<num>5</num>
<content>
<p>A direction may not impose requirements of a kind mentioned in this paragraph on a person who is regarded as operating in the financial sector by virtue only of paragraph 5(2)(g) (certain insurance companies).</p>
</content>
</subparagraph>
</paragraph>
</hcontainer>
<hcontainer name="crossheading" eId="schedule-7-part-3-crossheading-ongoing-monitoring" period="#period1">
<heading>
<em>Ongoing monitoring</em>
</heading>
<paragraph eId="schedule-7-paragraph-11" period="#period1">
<num>11</num>
<subparagraph eId="schedule-7-paragraph-11-1">
<num>1</num>
<content>
<p>A direction may require a relevant person to undertake enhanced ongoing monitoring of any business relationship with a designated person.</p>
</content>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-11-2">
<num>2</num>
<intro>
<p>The direction may do either or both of the following—</p>
</intro>
<paragraph eId="schedule-7-paragraph-11-2-a">
<num>a</num>
<content>
<p>impose a general obligation to undertake enhanced ongoing monitoring;</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-11-2-b">
<num>b</num>
<content>
<p>require a relevant person to undertake specific measures identified or described in the direction.</p>
</content>
</paragraph>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-11-3">
<num>3</num>
<intro>
<p>“Ongoing monitoring” of a business relationship means—</p>
</intro>
<paragraph eId="schedule-7-paragraph-11-3-a">
<num>a</num>
<content>
<p>keeping up to date information and documents obtained for the purposes of customer due diligence measures, and</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-11-3-b">
<num>b</num>
<content>
<p>scrutinising transactions undertaken during the course of the relationship (and, where appropriate, the source of funds for those transactions) to ascertain whether the transactions are consistent with the relevant person's knowledge of the designated person and their business.</p>
</content>
</paragraph>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-11-4">
<num>4</num>
<content>
<p>A direction may not impose requirements of a kind mentioned in this paragraph on a person who is regarded as operating in the financial sector by virtue only of paragraph 5(2)(g) (certain insurance companies).</p>
</content>
</subparagraph>
</paragraph>
</hcontainer>
<hcontainer name="crossheading" eId="schedule-7-part-3-crossheading-systematic-reporting" period="#period1">
<heading>
<em>Systematic reporting</em>
</heading>
<paragraph eId="schedule-7-paragraph-12" period="#period1">
<num>12</num>
<subparagraph eId="schedule-7-paragraph-12-1">
<num>1</num>
<content>
<p>A direction may require a relevant person to provide such information and documents as may be specified in the direction relating to transactions and business relationships with designated persons.</p>
</content>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-12-2">
<num>2</num>
<intro>
<p>A direction imposing such a requirement must specify how the direction is to be complied with, including—</p>
</intro>
<paragraph eId="schedule-7-paragraph-12-2-a">
<num>a</num>
<content>
<p>the person to whom the information and documents are to be provided, and</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-12-2-b">
<num>b</num>
<content>
<p>the period within which, or intervals at which, information and documents are to be provided.</p>
</content>
</paragraph>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-12-3">
<num>3</num>
<content>
<p>The power conferred by this paragraph is not exercisable in relation to information or documents in respect of which a claim to legal professional privilege (in Scotland, to confidentiality of communications) could be maintained in legal proceedings.</p>
</content>
</subparagraph>
<subparagraph eId="schedule-7-paragraph-12-4">
<num>4</num>
<content>
<p>The exercise of the power conferred by this paragraph and the provision of information under it is not otherwise subject to any restriction on the disclosure of information, whether imposed by statute or otherwise.</p>
</content>
</subparagraph>
</paragraph>
</hcontainer>
<hcontainer name="crossheading" eId="schedule-7-part-3-crossheading-limiting-or-ceasing-business" period="#period1">
<heading>
<em>Limiting or ceasing business</em>
</heading>
<paragraph eId="schedule-7-paragraph-13" period="#period1">
<num>13</num>
<intro>
<p>A direction may require a relevant person not to enter into or continue to participate in—</p>
</intro>
<paragraph eId="schedule-7-paragraph-13-a">
<num>a</num>
<content>
<p>a specified transaction or business relationship with a designated person,</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-13-b">
<num>b</num>
<content>
<p>a specified description of transactions or business relationships with a designated person, or</p>
</content>
</paragraph>
<paragraph eId="schedule-7-paragraph-13-c">
<num>c</num>
<content>
<p>any transaction or business relationship with a designated person.</p>
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