The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

• (2) In section 333D (other permitted disclosures etc), in subsection (1)(a) for “the Money Laundering Regulations 2007 (S.I. 2007/2157)” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

• (3) In section 333E (interpretation), in subsection (4), for the words from “Directive 2005/60/EC” to “2005” substitute “Directive 2015/849/EU of the European Parliament and of the Council of 20th May 2015 ”.

• (4) In Part 1 of Schedule 9 (business in the regulated sector), in paragraph 1(1)—

• (a) in paragraph (b) —

• (i) for “Capital Requirements Regulation”, in both places, substitute “ Capital Requirements Directive ”;

• (ii) at the end of sub-paragraph (i), omit “or”;

• (iii) after sub-paragraph (i), insert—

(ia) an undertaking whose only listed activity is as a creditor under an agreement which— (aa) falls within section 12(a) of the Consumer Credit Act 1974 (debtor-creditor-supplier agreements); (bb) provides fixed sum credit (within the meaning given in section 10(1)(b) of the Consumer Credit Act 1974 (running-account credit and fixed-sum credit)) in relation to the provision of services; and (cc) provides financial accommodation by way of deferred payment or payment by instalments over a period not exceeding 12 months; or

• (b) after paragraph (j), insert—

(ja) the carrying on of local audit work within the meaning of Schedule 5 to the Local Audit and Accountability Act 2014 (eligibility and regulation of local auditors) by any firm or individual who is a local auditor within the meaning of section 4(1) of that Act (general requirements for audit);

• (c) in paragraph (q)—

• (i) after “involves the” insert “ making or ”;

• (ii) for “15,000” substitute “ 10,000 ”.

• (5) In paragraph 1(5)(b), omit “contained in international standards and are”.

• (6) In paragraph 1(6) , at the end of paragraph (c) for “or” substitute “ and ”.

• (7) In paragraph 2—

• (a) in sub-paragraph (1)(c) for “25” substitute “ 26 ”;

• (b) in sub-paragraph (1)(d), at the end, omit “or”;

• (c) at the end, insert—

(g) the carrying on by a local authority (within the meaning given in article 3(1) of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 ) of an activity which would be a regulated activity for the purposes of the Financial Services and Markets Act 2000 but for article 72G of that Order ; or (h) the preparation of a home report, which for these purposes means the documents prescribed for the purposes of sections 98, 99(1) or 101(2) of the Housing (Scotland) Act 2006 .

• (d) in sub-paragraph (3)—

• (i) in paragraph (a), for “£64,000” substitute “£100,000;

• (ii) in paragraph (f), after “(r)” insert “ to (t) ”.

• (8) In paragraph 3—

• (a) in sub-paragraph (1)—

• (i) at the appropriate place insert—

“the Capital Requirements Directive” means Directive 2013/36/EU of the European Parliament and of the Council of 26th June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms ;

• (ii) at the end of the definition of “the Capital Requirements Regulation insert “ of 26th June 2013 on prudential requirements for credit institutions and investment firms ”; and

• (b) in sub-paragraph (3)—

• (i) for “the Banking Consolidation Directive” substitute “ the Capital Requirements Regulation, the Capital Requirements Directive ”;

• (ii) after “Part as”, insert “ in that Regulation or ”.

• (9) In Part 2 of Schedule 9 (supervisory authorities), in paragraph 4—

• (a) in sub-paragraph (1), omit paragraphs (b), (ea) and (f) (but not the “and” after paragraph (f));

• (b) in sub-paragraph (2)—

• (i) after paragraph (d), insert—

(da) the Chartered Institute of Legal Executives;

• (ii) omit paragraph (f).

Counter-Terrorism Act 2008

7

In Schedule 7 to the Counter-Terrorism Act 2008 (terrorist financing and money laundering), for paragraph 45(3), substitute—

(3) Unless otherwise defined, expressions used in this Schedule and in Directive 2015/849/EU of the European Parliament and of the Council of 20th May 2015 on the prevention of the use of the financial system for the purpose of money laundering or terrorist financing have the same meaning as in that Directive.

Borders, Citizenship and Immigration Act 2009

8

In section 1 (general customs functions of the Secretary of State) of the Borders, Citizenship and Immigration Act 2009 , in subsection (2)—

• (a) in paragraph (d), for “Directive 2005/60/EC on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing” substitute “Directive 2015/849/EU of the European Parliament and of the Council of 20th May 2015 on the prevention of the use of the financial system for the purpose of money laundering or terrorist financing ”;

• (b) in paragraph (e), for “Regulation (EC) No 1781/2006 on information on the payer accompanying transfers of funds” substitute “Regulation (EU) 2015/847 of the European Parliament and of the Council of 20th May 2015 on information accompanying transfers of funds”.

Crime and Courts Act 2013

9

In Schedule 17 (offences in relation to which a deferred prosecution arrangement may be entered into) to the Crime and Courts Act 2013 , in paragraph 27, for “regulation 45 of the Money Laundering Regulations 2007 (S.I. 2007/2157)” substitute “ regulation 86 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

Finance Act 2014

10

In Schedule 34 to the Finance Act 2014 , in paragraph 6(4)(j) (criminal offences) for “regulation 45(1) of the Money Laundering Regulations 2007 (S.I. 2007/2157)” substitute “ regulation 86(1) of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

Bank of England and Financial Services Act 2016

11

In the Bank of England and Financial Services Act 2016—

• (a) in the italic heading above section 30, after “Money laundering” insert “ and terrorist financing ”;

• (b) in section 30 (politically exposed persons: money laundering) —

• (i) in the heading, after “Money laundering” insert “ and terrorist financing ”; and

• (ii) in subsection (1) for “Secretary of State” substitute “ Treasury ”.

PART 2 — Consequential Amendments to Secondary Legislation

Estate Agents (Undesirable Practices) (No 2) Order 1991

12

Schedule 3 (other matters) to the Estate Agents (Undesirable Practices) (No 2) Order 1991 is amended as follows—

• (a) at the beginning of paragraph 2, insert “ Subject to paragraph 2A ”;

• (b) after paragraph 2, insert—

(2A) Paragraph 2 does not apply if the estate agent does not forward accurate details of the offer because the estate agent is unable to apply the customer due diligence measures required by regulation 28, and where relevant, those required by regulations 33, and 35 to 37 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 in relation to the offeror.

Public Interest Disclosure (Prescribed Persons) Order (Northern Ireland) 1999

13

In the Schedule (description of persons and matters) to the Public Interest Disclosure (Prescribed Persons) Order (Northern Ireland) 1999 —

• (a) in the entry relating to Her Majesty's Revenue and Customs, in column 2, for “regulation 23(1)(d)(vii) of the Money Laundering Regulations 2007” substitute “ regulation 7(1)(c)(vii) of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”;

• (b) in the appropriate place, insert the following entry—

National Crime Agency	Matters relating to compliance with—athe Terrorism Act 2000;bthe Proceeds of Crime Act 2002; orcthe Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

Terrorism Act 2000 (Crown Servants and Regulators) Regulations 2001

14

In the meaning of “relevant business” in regulation 2 (interpretation) of the Terrorism Act 2000 (Crown Servants and Regulators) Regulations 2001 for “regulation 3(1)(a) to (h) of the Money Laundering Regulations 2007” substitute “ regulation 8(2)(a) to (h) of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

Representation of the People (England and Wales) Regulations 2001

15

In regulation 114(3)(b) in the Representation of the People (England and Wales) Regulations 2001 (sale of full register to credit reference agencies), for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

Representation of the People (Scotland) Regulations 2001

16

In regulation 113(3)(b) in the Representation of the People (Scotland) Regulations 2001 (sale of full register to credit reference agencies), for “the Money Laundering Regulations 2007” substitute “ Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

Financial Services and Markets Act 2000 (Regulated Activities) Order 2001

17

In article 72E(9) in the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (Business and Angel-led Enterprise Capital Funds) for “the Money Laundering Regulations 2007” substitute “the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017”.

Open-Ended Investment Companies Regulations 2001

18

Regulation 48 (bearer shares) of the Open-Ended Investment Companies Regulations 2001 is amended as follows—

• (a) the existing text is renumbered as paragraph (1);

• (b) in that paragraph (1), after “investment company” insert “ authorised before the day on which the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 came into force (“the relevant date”) ”;

• (c) after paragraph (1) insert—

(2) An open-ended investment company authorised on or after the relevant date may not issue any bearer shares under paragraph (1), and any provision in the instrument of incorporation of such an open-ended investment company purporting to authorise it to do so is void. (3) Paragraph (2) does not apply to an open-ended investment company if— (a) an application for an authorisation order was made in relation to that open-ended investment company before the relevant date; and (b) that application was not determined until a date on or after the relevant date.

Proceeds of Crime Act 2002 (Disclosure of information to and by Lord Advocate and Scottish Ministers) Order 2003

19

In article 3(d) (disclosure of information by Lord Advocate and by Scottish Ministers) of the Proceeds of Crime Act 2002 (Disclosure of Information to and by Lord Advocate and Scottish Ministers) Order 2003 for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

Proceeds of Crime Act 2002 (Failure to Disclose Money Laundering: Specified Training) Order 2003

20

In article 2 of the Proceeds of Crime Act 2002 (Failure to Disclose Money Laundering: Specified Training) Order 2003 (training specified), for “regulation 21 of the Money Laundering Regulations 2007” substitute “ regulation 24 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

Legislative and Regulatory Reform (Regulatory Functions) Order 2007

21

• (1) Part 1 of the Schedule to the Legislative and Regulatory Reform (Regulatory Functions) Order 2007 is amended as follows.

• (2) In the reference to “Her Majesty's Revenue and Customs” for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

• (3) In the reference to a “professional body” for “Schedule 3 to the Money Laundering Regulations 2007” substitute “ Schedule 1 to the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

Representation of the People (Northern Ireland) Regulations 2008

22

In regulation 112(3)(b) of the Representation of the People (Northern Ireland) Regulations 2008 (sale of full register etc to credit reference agencies), for paragraph (i), substitute—

(i) the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017;

Transfer of Tribunal Functions and Revenue and Customs Appeals Order 2009

23

In paragraph 2(6) of Schedule 3 (transitional and saving provisions) to the Transfer of Tribunal Functions and Revenue and Customs Appeals Order 2009 , in the definition of “review and appeal provisions”—

• (a) in paragraph (i) for “regulations 43 and 44 of the Money Laundering Regulations 2007” substitute “ regulations 94 to 100 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”;

• (b) omit paragraph (j).

Payment Services Regulations 2009

24

• (1) The Payment Services Regulations 2009 are amended as follows.

• (2) In regulation 2(1) (interpretation) , in the definition of “the money laundering directive” for “Directive 2005/60/EC of the European Parliament and of the Council of 26th October 2005 on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing” substitute “ Directive 2015/849/EU of the European Parliament and of the Council of 20th May 2015 on the prevention of the use of the financial system for the purpose of money laundering or terrorist financing ”.

• (3) In regulation 6(7) (conditions for authorisation as a payment institution) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

• (4) In regulation 13 (conditions for registration as a small payment institution)—

• (a) in sub-paragraph (a) of paragraph (4) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”,

• (b) in paragraph (6) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

• (5) In regulation 25(4)(a) (supervision of firms exercising passport rights) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

• (6) In regulation 29 (use of agents)—

• (a) in sub-paragraph (a)(ii)(aa) of paragraph (3) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”,

• (b) in subparagraph (c)(i) of paragraph (6) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

• (7) In regulation 119(2) (duty to co-operate and exchange of information) for “regulation 49A of the Money Laundering Regulations 2007” substitute “ regulation 105 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

• (8) In paragraph 6 of Schedule 2 (information to be included in or with an application for authorisation)—

• (a) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”;

• (b) for “Regulation (EC) No 1781/2006 of the European Parliament and of the Council of 15 November 2006 on information on the payer accompanying transfers of funds” substitute “Regulation 2015/847/EU of the European Parliament and of the Council of 20 May 2015 on information accompanying transfers of funds”.

• (9) In paragraph 3(d)(ii) in Part 1 of Schedule 5 (application and modification of the Financial Services and Markets Act 2000) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

• (10) In paragraph 10(h) in Part 2 of Schedule 5 (application and modification of secondary legislation) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

Companies (Disclosure of Address) Regulations 2009

25

In paragraph 7(b) of Schedule 2 (disclosure to a credit reference agency) of the Companies (Disclosure of Address) Regulations 2009 —

• (a) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”;

• (b) for “Directive 2005/60/EC of the European Parliament and of the Council of 26 October 2005 on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing” substitute “Directive 2015/849/EU of the European Parliament and of the Council of 20 May 2015 on the prevention of the use of the financial system for the purpose of money laundering or terrorist financing”.

Overseas Companies Regulations 2009

26

In paragraph 7(b) of Schedule 2 (disclosure to a credit reference agency) of the Overseas Companies Regulations 2009 —

• (a) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”;

• (b) for “Directive 2005/60/EC of the European Parliament and of the Council of 26 October 2005 on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing” substitute “ Directive 2015/849/EU of the European Parliament and of the Council of 20 May 2015 on the prevention of the use of the financial system for the purpose of money laundering or terrorist financing ”.

Defence and Security Public Contracts Regulations 2011

27

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Electronic Money Regulations 2011

28

• (1) The Electronic Money Regulations 2011 are amended as follows.

• (2) In regulation 2(1) (interpretation), in the definition of “money laundering directive” for “Directive 2005/60/EC of the European Parliament and of the Council of 26th October 2005 on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing” substitute “Directive 2015/849/EU of the European Parliament and of the Council of 20th May 2015 on the prevention of the use of the financial system for the purpose of money laundering or terrorist financing”.

• (3) In regulation 6(7) (conditions for authorisation) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

• (4) In regulation 13 (conditions for registration) —

• (a) in subparagraph (a) of paragraph (8) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”;

• (b) in paragraph (10) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

• (5) In regulation 30(4)(a) (supervision of firms exercising passport rights) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

• (6) In regulation 34 (requirement for agents to be registered)—

• (a) in subparagraph (a)(ii)(aa) in paragraph (3) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”;

• (b) in subparagraph (c)(i) in paragraph (6) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

• (7) In regulation 71(2) (duty to cooperate and exchange information), in the words before sub-paragraph (a), for “regulation 49A of the Money Laundering Regulations 2007” substitute “ regulation 105 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

• (8) In paragraph 6 of Schedule 1 (information to be included in or with an application for authorisation)—

• (a) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”;

• (b) for “Regulation (EC) No 1781/2006 of the European Parliament and of the Council of 15 November 2006 on information on the payer accompanying transfers of funds” substitute “Regulation 2015/847/EU of the European Parliament and of the Council of 20 May 2015 on information accompanying transfers of funds”.

Terrorism Act 2000 and Proceeds of Crime Act 2002 (Business in the Regulated Sector) (No 2) Order 2012

29

• (1) Regulation 4 (review) of the Terrorism Act 2000 and Proceeds of Crime Act 2002 (Business in the Regulated Sector) (No 2) Order 2012 is amended as follows.

• (2) In paragraph (2) for “Directive 2005/60/EC of the European Parliament and of the Council on the protection of the use of the financial system for the purpose of money laundering and terrorist financing” substitute “ Directive 2015/849/EU of the European Parliament and of the Council of 20th May 2015 on the prevention of the use of the financial system for the purpose of money laundering or terrorist financing ” .

• (3) In paragraph (4) for “the end of the period of five years beginning with the day on which this Order comes into force” substitute “ 26th June 2022 ”.

Payment to Treasury of Penalties (Enforcement Costs) Order 2013

30

In regulation 2(1)(d) (enforcement of powers) of the Payment to Treasury of Penalties (Enforcement Costs) Order 2013 for “regulation 42 of the Money Laundering Regulations 2007” substitute “ regulation 76 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

Public Interest Disclosure (Prescribed Persons) Order 2014

31

In the Schedule (description of persons and matters) to the Public Interest Disclosure (Prescribed Persons) Order 2014 , in the entry relating to the National Crime Agency, for the words in the second column substitute—

Matters relating to— (a) corrupt individuals or companies offering or receiving bribes to secure a benefit for themselves or others; (b) compliance with— (i) the Terrorism Act 2000; (ii) the Proceeds of Crime Act 2002; or (iii) the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

Companies (Disclosure of Date of Birth Information) Regulations 2015

32

In paragraph 7(b) of Schedule 2 (disclosure to a credit reference agency) to the Companies (Disclosure of Date of Birth Information) Regulations 2015 —

• (a) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”;

• (b) for “Directive 2005/60/EC of the European Parliament and of the Council of 26 October 2005 on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing” substitute “Directive 2015/849/EU of the European Parliament and of the Council of 20 May 2015 on the prevention of the use of the financial system for the purpose of money laundering or terrorist financing”.

Payment Accounts Regulations 2015

33

In regulation 25(1)(b) of Part 4 (refusal of application) in the Payment Accounts Regulation 2015 for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

Register of People with Significant Control Regulations 2016

34

In paragraph 8(b) of Schedule 4 (disclosure to a credit reference agency) of the Register of People with Significant Control Regulations 2016 —

• (a) in paragraph (i) for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”;

• (b) in paragraph (iii) for “Directive 2005/60/EC of the European Parliament and of the Council on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing” substitute “ Directive 2015/849/EU of the European Parliament and of the Council on the prevention of the use of the financial system for the purpose of money laundering or terrorist financing ”.

Economic Growth (Regulatory Functions) Order 2017

35

In Part 1 of the Schedule to the Economic Growth (Regulatory Functions) Order 2017 , in the entry for Her Majesty's Revenue and Customs, for “the Money Laundering Regulations 2007” substitute “ the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 ”.

Signed

David Evennett — Andrew Griffiths — Two of the Lords Commissioners of Her Majesty's Treasury

Editorial notes

[^c23047331]: S.I. 2007/2133.

[^c23047341]: 1972 c. 68. Section 2(2) was amended by section 27 of the Legislative and Regulatory Reform Act 2006 (c. 51) and by section 3 of, and the Schedule to, the European Union (Amendment) Act 2008 (c. 7). By virtue of the amendment of section 1(2) by section 1 of the European Economic Area Act 1993 (c. 51), an order may be made under section 2(2) of the European Communities Act 1972 to implement obligations of the United Kingdom created or arising by or under the Agreement on the European Economic Area signed at Oporto on 2nd May 1992 (Cm 2073) and the Protocol adjusting the Agreement signed in Brussels on 17th March 1993 (Cm 2183).

[^c23047351]: 2000 c.8; section 168(4)(b) was amended by the Financial Services Act 2012 (c.21), Schedule 12, Part 1; section 402(1) was amended by the Financial Services Act 2012 (c.21), Schedule 9, Parts 1 and 7; and section 417(1) was amended by section 48(1)(d) of the Financial Services Act 2012 (c.21). There are other amendments to section 417(1) which are not relevant to these Regulations.

[^c23047361]: 2000 c.8. Section 168(4)(b) was amended by Part 1 of Schedule 12 to the Financial Services Act 2012 (c.21); and section 402(1) was amended by Parts 1 and 7 of Schedule 9 to the Financial Services Act 2012.

[^c23047391]: S.I. 2001/544. Part 2 of Schedule 1 was amended by S.I. 2005/2114 and 2015/575.

[^c23047401]: S.I. 2011/99.

[^c23047411]: S.I. 2017/694.

[^c23047421]: OJ L 302, 18.11.2010, p.1.

[^c23047431]: OJ L 141, 05.06.15, p. 73.

[^c23047441]: 2000 c.8.

[^c23047451]: OJ L 141, 05.06.2015, p.1.

[^c23047461]: Section 421 was amended by S.I. 2008/948.

[^c23047471]: 1985 c.72. Section 69 was amended by Part 4 of Schedule 1 to the Statute Law (Repeals) Act 1989 (c. 43); paragraph 75 of Schedule 16 to the Local Government (Wales) Act 1994 (c. 19) and paragraph 144 of Schedule 13 to the Local Government etc (Scotland) Act 1994 (c.39).

[^c23047481]: OJ L 173, 12.06.2014, p.349.

[^c23047491]: 2002 c. 29.

[^c23047501]: 2000 c. 11.

[^c23047521]: Section 2B was substituted, with the rest of Part 1A of the Financial Services and Markets Act 2000 (c.8) for the original Part 1 of that Act by section 6(1) of the Financial Services Act 2012 (c.21).

[^c23047541]: OJ L 173, 12.6.2014, p.1.

[^c23047571]: 2000 c.11.

[^c23047581]: 2001 c.24.

[^c23047611]: Section 415B was inserted by paragraph 41 of Schedule 9 to the Financial Services Act 2012 (c.21).

[^c23047621]: 2006 c.46.

[^c23047631]: OJ L 156, 19.06.2018, p.43-74.

[^c23047641]: S.I. 2017/694.

[^c23047651]: 2000 c.12.

[^c23047661]: 1925 (c.19). Section 32(1) was amended by section 9 of the Inheritance and Trustees' Powers Act 2014 (c.16).

[^c23047671]: 1995 (c.26). Section 34 was amended by paragraph 49 of Schedule 12 to the Pensions Act 2004 (c.35); section 5(3) of the Trustee Delegation Act 1999 (c.15) and S.I. 2001/3649.

[^c23047681]: 1996 c.47.

[^c23047691]: 1900 c.55.

[^c23047701]: Section 285 was amended by section 28 of the Financial Services and Markets Act 2000 (c.8); and S.I. 2013/504.

[^c23047711]: Paragraph 23 was substituted, and paragraph 23B was inserted, by section 7 of the Financial Services Act 2012 (c.21).

[^c23047721]: Section 22 was amended by section 7 of the Financial Services Act 2012.

[^c23047731]: S.I. 1985/1205 (N.I. 12). Article 3 was amended by S.I. 2011/2832 and S.I. 2013/496.

[^c23047741]: 1969 c.24. Part 2 was amended, but the amendments are not relevant to these Regulations.

[^c23047751]: 2005 c.19.

[^c23047801]: 1968 c.13.

[^c23047811]: 1974 c.39.

[^c23047821]: 2006 c.46. Section 1210 was amended by S.I. 2008/565; 2008/567; 2008/1950; 2012/1809 and 2013/3115.

[^c23047831]: 2014 c.2.

[^c23047841]: 1986 c.45. Section 388 was amended by section 11(1) of the Bankruptcy (Scotland) Act 1993 (c.6); section 4(2) of the Insolvency Act 2000 (c.39); paragraph 2(11) of Schedule 6 to the Deregulation Act 2015 (c.20) and by S.I 1994/2421; 2002/1240; 2002/2708; 2009/1941 and 2016/1034.

[^c23047851]: S.I. 1989/2405 (N.I. 19). Article 3 was amended by Schedule 4 to the Insolvency (Amendment) Act (Northern Ireland) 2016 (c.2) (N.I.) and by S.R. 1995/225, 2002/334, 2003/550 and by S.I. 2002/3152 (N.I. 6) and 2009/1941.

[^c23047861]: 1979 c.38. Section 1 was amended by paragraph 40 of Schedule 1 to the Law Reform (Miscellaneous Provisions) (Scotland) Act 1985 (c.73); paragraph 42 of Schedule 2 to the Planning (Consequential Provisions) Act 1990 (c.11); paragraph 28 of Schedule 2 to the Planning (Consequential Provisions) (Scotland) Act 1997 (c.11); section 70 of the Enterprise and Regulatory Reform Act 2013 (c.24) and S.I. 2001/1283.

[^c23047871]: 2005 c.19.

[^c23047881]: 1979 c. 2. Section 100A was inserted by the Finance Act 1984 (c.2), section 8 and (c.43), Schedule 4.

[^c23047891]: 1994 c. 23. Sections 21(6) to (6B) were inserted by section 12(2) of the Finance Act 1999 (c.16).

[^c23047901]: Section 6 was amended by section 10 of the Credit Unions and Co-operative and Community Benefit Societies Act (Northern Ireland) 2016 (c.16) (N.I.) and by S.R. 1991/375.

[^c23047911]: S.I. 2001/1201. Paragraph 15A was inserted by S.I. 2003/47; paragraph 15B was inserted by S.I. 2009/118; paragraph 19 was revoked by S.I. 2014/366; paragraphs 21 and 27 were substituted by S.I. 2002/1310 and 2003/1675 respectively; paragraph 30 was revoked by S.I. 2003/3225; paragraph 31 was substituted by paragraph 10 of Schedule 2 to the Tourist Boards (Scotland) Act 2006 (asp 15) and amended by S.I. 2007/1103; paragraph 33A was inserted by S.I. 2007/1821; paragraphs 34A, 34B and 34C were inserted by SI. 2005/592, 2008/682 and 2012/763 respectively; paragraph 36 was revoked by S.I. 2007/125; paragraph 40 was amended by S.I. 2013/1881; paragraph 41 was amended by S.I. 2010/86; paragraph 42 was amended by S.I. 2007/125; paragraph 44 was amended by S.I. 2014/506; paragraph 45 was amended by S.I. 2013/1773; paragraph 47 was revoked by S.I. 2014/366; paragraph 48 was substituted by S.I. 2003/1673 and paragraph 49 was inserted by S.I. 2001/3623

[^c23047921]: S.I. 2001/544. Article 3(1) was amended, but the amendments are not relevant to these Regulations.

[^c23047931]: Article 72G was inserted by S.I. 2014/366, and amended by S.I. 2015/910 and 2016/392.

[^c23047941]: 1986 c.60. Section 45 was repealed by S.I. 2001/3649.

[^c23047951]: 2006 asp.1.

[^c23047961]: 2005 c.19.

[^c23047991]: 2000 c.11.

[^c23048001]: 2002 c. 29.

[^c23048011]: 2002 c. 29. Section 3 was amended by paragraph 111 of Schedule 8 to the Crime and Courts Act 2013 (c.22), and by paragraph 120 of Schedule 8 and paragraph 1 of Schedule 14 to the Serious Crime Act 2007 (c.27).

[^c23048031]: 2005 c.19.

[^c23048041]: S.I. 2015/878, amended by S.I. 2017/598.

[^c23048081]: 2000 c.11.

[^c23048091]: 2002 c.29.

[^c23048101]: Section 21D was inserted by S.I. 2007/3398.

[^c23048111]: Section 333A was inserted by S.I. 2007/3398.

[^c23048112]: OJ L 257, 28.08.2014, p.73.

[^c23048121]: S.I. 2001/1228.

[^c23048131]: 2000 c.11.

[^c23048141]: 2002 c. 29.

[^c23048151]: Section 21ZA was inserted by S.I. 2007/3398.

[^c23048161]: S.I. 2001/544. Article 77 was amended by S.I. 2010/86, 2011/133. Article 77A was inserted by S.I. 2010/86 and amended by S.I. 2011/133.

[^c23048171]: Article 78 was amended by S.I. 2010/86.

[^c23048181]: 2006 c. 46; Part 21A was inserted by Schedule 3 to the Small Business, Enterprise and Employment Act 2015 (c.26).

[^c23048191]: S.I. 2009/2436, amended by S.I. 2017/693.

[^c23048201]: S.I. 2009/1804, amended by S.I. 2016/340.

[^c23048211]: S.I. 2007/2157.

[^c23048221]: 2016 c. 14.

[^c23048231]: Section 333U was inserted by the Bank of England and Financial Services Act 2016, s.30.

[^c23048241]: 2004 c.6.

[^c23048251]: S.I. 1998/1870. Regulation 2B was inserted by S.I. 2011/1780.

[^c23048261]: 2000 c.11.

[^c23048311]: S.I. 2015/878. Regulation 12H was inserted by S.I. 2017/598.

[^c23048321]: 1996 c.16. Section 2 was amended by paragraphs 3 and 4 of Schedule 16 to the Police Reform and Social Responsibility Act 2011 (c.13).

[^c23048331]: 2003 c.14.

[^c23048341]: 2013 asp 11.

[^c23048351]: 2000 c 8. Schedule 1ZA was substituted, with Schedule 1ZB, for Schedule 1 to the Financial Services and Markets Act by section 6(2) of the Financial Services Act 2012 (c.21), and amended by paragraphs 14 and 16 of Schedule 3 and paragraph 7 of Schedule 8 to the Financial Services (Banking Reform) Act 2013 (c.33), paragraph 13 of Schedule 3 to the Pension Scheme Act 2015 (c.8), section 18 of the Bank of England and Financial Services Act 2016 (c.14) and S.I. 2013/1388.

[^c23048361]: 2013 c.22.

[^c23048371]: 2000 c.8. Section 139A was substituted (together with the rest of Part 9A of FSMA) for the original Part 10 by section 24 of the Financial Services Act 2012 (c.21).

[^c23048381]: 2000 c. 11.

[^c23048391]: 2002 c. 29.

[^c23048401]: 2000 c. 8. Section 349 has been amended by section 964 of the Companies Act 2006 (c.46), paragraph 19 of Schedule 12 to the Financial Services Act 2012 (c.21) and by S.I. 2006/1183 and 2007/1093.

[^c23048411]: S.I. 2017/1301.

[^c23048421]: 2000 c.11.

[^c23048431]: 2002 c. 29.

[^c23048441]: S.I. 2001/3641.

[^c23048451]: S.I. 2003/3075.

[^c23048461]: S.I. 2007/2157.

[^c23048471]: 2000 c.11.

[^c23048481]: 2002 c. 29.

[^c23048491]: S.I. 2007/2157.

[^c23048501]: Section 226 was amended by the Financial Services Act 2012 (c.21), section 39 and Schedule 11 and by S.I. 2009/209, 2011/99, 2017/692 and 2017/752. Section 227 was amended by the Consumer Credit Act 2006 (c.14), section 61; the Financial Services Act 2012, section 39 and Schedule 11 and by S.I. 2013/1881.

[^c23048511]: Section 212 was amended by the Financial Services Act 2012 (c.21), section 38 and Schedule 10, and by the Financial Services (Banking Reform) Act 2013 (c.33), section 16. Section 213 was amended by the Financial Services Act 2012, section 38 and Schedule 10, and by S.I. 2017/701. Section 214 was amended by the Financial Services Act 2012, section 38 and Schedule 10, and by the Banking Act 2009 (c.1), sections 169 and 174, and by S.I. 2017/701.

[^c23048531]: S.I. 2011/99.

[^c23048541]: 2000 c.8. Section 1A was substituted, together with the rest of Part 1A for Part 1 of the Financial Services and Markets Act 2000 by section 6(1) of the Financial Services Act 2012 (c.21). Schedule 1ZA was substituted, with Schedule 1ZB, for Schedule 1 to the Financial Services and Markets Act by section 6(2) of the Financial Services Act 2012 (c.21), and amended by paragraphs 14 and 16 of Schedule 3 and paragraph 7 of Schedule 8 to the Financial Services (Banking Reform) Act 2013 (c.33), paragraph 13 of Schedule 3 to the Pension Scheme Act 2015 (c.8) section 18 of the Bank of England and Financial Services Act 2016 (c.14) and S.I. 2013/1388.

[^c23048551]: 2002 c. 29. Section 3 was amended by paragraph 111 of Schedule 8 to the Crime and Courts Act 2013 (c.22), and by paragraph 120 of Schedule 8 and paragraph 1 of Schedule 14 to the Serious Crime Act 2007 (c.27).

[^c23048561]: 1984 c.60. Sections 15(5) to (8) and 16(3) to (12) have been amended by sections 113 and 114 of the Serious Organised Crime and Police Act 2005 (c.15), and S.I. 2005/3496. Section 16 has also been amended by paragraph 281 of Schedule 8 to the Courts Act 2003 (c.39).

[^c23048571]: S.I. 1989/1341 (N.I. 12). Articles 17 and 18 have been amended by S.I. 2007/288 (N.I.).

[^c23048581]: 2002 c. 29.

[^c23048591]: 1911 c.6. Section 5 was amended by virtue of section 1(2) of the Criminal Justice Act 1948 (c.58).

[^c23048601]: S.I. 1979/1714 (NI 19).

[^c23048611]: 1995 c.39.

[^c23048631]: S.I. 2011/99.

[^c23048641]: Part 4A was substituted by section 11 of the Financial Services Act 2012 (c.21).

[^c23048651]: 2000 (c.8). Section 22 was amended by section 7 of the Financial Services Act 2012 (c.21).

[^c23048661]: Section 387 was amended by paragraph 26 of Schedule 9 to the Financial Services Act 2012 (c.21), paragraph 12 of Schedule 3 to the Financial Services (Banking Reform) Act 2013 (c.33).

[^c23048671]: Section 388 was amended (and subsection (1A) inserted) by paragraph 27 of Schedule 9 to the Financial Services Act 2012 and paragraph 13 of Schedule 3 to the Financial Services (Banking Reform) Act 2013.

[^c23048681]: Section 389 was amended by paragraph 28 of Schedule 9 to the Financial Services Act 2012. Section 390 was amended by paragraph 29 of Schedule 9 to the Financial Services Act 2012 and S.I. 2010/22. Section 392 was amended by paragraph 29 of Schedule 2 to the Financial Services Act 2010 (c.28); section 18 of, paragraph 31 of Schedule 9, paragraph 37 of Schedule 8 and paragraph 8 of Schedule 13 to, the Financial Services Act 2012; section 4 of the Financial Services (Banking Reform) Act 2013 (c.33); S.I. 2007/126 and 2013/1388. Section 395 was amended by sections 17, 18, 19 and 24 of, and paragraph 34 of Schedule 9 to the Financial Services Act 2012, and paragraph 14 of Schedule 3 to the Financial Services (Banking Reform) Act 2013; S.I. 2005/381, 2005/1433, 2007/1973, 2009/534 and 2013/1388.

[^c23048731]: 2000 c.11.

[^c23048741]: 2002 c. 29.

[^c23048751]: 1979 c.2. The definition of “assigned matter” was substituted by paragraph 22 of Schedule 4 to the Commissioners of Revenue and Customs Act 2006 (c.11) and amended by section 24(7) of the Scotland Act 2012 (c.11) and section 7 of the Wales Act 2014 (c.29).

[^c23048761]: 1995 c.86. Section 33 was amended by Schedule 6 to the Magistrates' Court Act 1952 (c.55) and paragraph 19 of Schedule 8 to the Courts Act 1971 (c.23).

[^c23048771]: 1980 c.43. Schedule 3 was amended by sections 25 and 101 and Schedule 13 to the Criminal Justice Act 1991; paragraph 51 of Schedule 3 and by Schedule 37 to the Criminal Justice Act 2003 (c.44).

[^c23048781]: 1945 c.15 (N.I.1). Section 18 was amended by paragraph 1 of Schedule 12 to the Justice (Northern Ireland) Act 2002 (c.26) and by S.I. 1972/538 (N.I.1).

[^c23048791]: S.I. 1981/1675 (N.I. 26).

[^c23048801]: 2000 c.8. Subsection 7A was inserted by section 23 of the Financial Services Act 2012 (c.21) and amended by section 4(2) of the Financial Services (Banking Reform) Act 2013 (c.33) and by S.I. 2013/1388; 20143/3329.

[^c23048811]: Section 133A was inserted by S.I. 2010/22 and amended by section 23 of the Financial Services Act 2012.

[^c23048821]: 1994 c.23.

[^c23048831]: Section 83 was amended by section 77(4) of the Finance Act 2009 (c.10), section 200(3) of the Finance Act 2012 (c.14), section 124 of the Finance Act 2016 (c.24) and by S.I. 2009/56.

[^c23048841]: Section 83A was inserted by S.I. 2009/56.

[^c23048851]: Section 84 was amended by section 31(4) of the Finance Act 1996 (c.8); section 31(3) of the Finance Act 1997 (c.16);, paragraph 4 of Schedule 2 to the Finance Act 1999 (c.16); section 23(3) of the Finance Act 2002 (c.23); section 17 of the Finance Act 2003 (c.14); paragraph 5 of Schedule 2 to the Finance Act 2004 (c.12); section 21(5) of the Finance Act 2006 (c.25); section 93(9) of the Finance Act 2007 (c.11); paragraph 17 of Schedule 22(3) to the Finance Act 2014 (c.26) and section 124(4) of the Finance Act 2016 (c.24) and by S.I. 2008/1146 and 2009/56.

[^c23048861]: Sections 85A and 85B were inserted by S.I 2009/56.

[^c23048871]: Section 82 was amended by S.I. 2009/56.

[^c23048881]: 1992 c.40. Section 65 was amended by S.I. 1994/1984; 2001/2617 and 2013/496. Section 66 was amended by S.I. 2009/1941 and 2013/496.

[^c23048891]: 2014 c.14.

[^c23048901]: 1979 c.34. Section 18 was amended by paragraph 9 of Schedule 4 to the Co-operative and Community Benefit Society Act (c.14) and by S.I. 2001/2617; 2002/1501 and 2013/496.

[^c23048911]: 1985 c.6. Section 431 was amended by section 1035(2) of the Companies Act 2006 (c.46) and S.I. 2003/1116, section 432 was amended by sections 55 and 213 of the Companies Act 1989 (c. 40), section 1035(3) of the Companies Act 2006, section 442 was amended by sections 62 and 213(2) of the Companies Act 1989 and by paragraph 1 of Schedule 16 to the Companies Act 2006 and section 446D was inserted by section 1036 of the Companies Act 2006.

[^c23048921]: 1986 c.53. Section 55 was amended by paragraph 21 of Schedule 7 to the Building Societies Act 1987 (c.37) and by S.I. 2013/496, and section 56 was amended by paragraph 22 of Schedule 7 to the Building Societies Act 1997 and by S.I. 2013/496.

[^c23048931]: Section 167 was amended by paragraph 7 of Schedule 12 to the Financial Services Act 2012 (c.21), and by S.I. 2005/575 and S.I. 2007/126, section 168(5) and been amended by paragraph 8 of Schedule 12 to the Financial Services Act 2012, section 284 was amended by paragraph 17 of Schedule 18 to the Financial Services Act 2012.

[^c23048941]: Section 262(2)(k) was amended by paragraph 9 of Schedule 18 to the Financial Services Act 2012.

[^c23048951]: 1985 c.6. Section 447 was amended by section 21 of the Companies (Audit, Investigations and Community Enterprise) Act 2004 (c.27), and by section 1038 of the Companies Act 2006.

[^c23048961]: 1989 c.40.

[^c23048971]: 2000 c.11.

[^c23048981]: 2002 c.29.

[^c23049001]: S.I. 2011/99.

[^c23049021]: 2016 c.25.

[^c23049031]: 2015 c.26.

[^c23049041]: S.I. 2007/2157.

[^c23049051]: S.I. 2007/3299.

[^c23049061]: S.I. 2011/1781.

[^c23049071]: S.I. 2012/2298.

[^c23049081]: S.I. 2015/11.

[^c23049091]: S.I. 2007/3298.

[^c23049121]: 1911 c.6.

[^c23049131]: 1967 c.80.

[^c23049141]: 1970 c.9. Section 20BB was inserted by section 145(1) of the Finance Act 1989 (c.26), and amended by section 149(3) of the Finance Act 2000 (c.17), paragraph 69 of Schedule 36 to the Finance Act 2008 (c.9), and paragraph 46 of Schedule 38 to the Finance Act 2012 (c.14), and by S.I. 2009/56.

[^c23049151]: 1972 c.68.

[^c23049161]: S.I. 1979/1714 (N.I. 19).

[^c23049171]: 1979 c.2.

[^c23049181]: S.I. 1991/1091, amended by S.I. 1992/2833.

[^c23049191]: 1981 c.45.

[^c23049201]: 1985 c.61. Section 35 was amended by paragraph 25 of Schedule 17 and Schedule 23 to the Legal Services Act 2007 (c.29)

[^c23049211]: 1986 c.46.

[^c23049221]: 1990 c.18. Section 1 was amended by s.35 of the Police and Justice Act 2006 (c.48) and paragraph 7 of Schedule 4 to the Serious Crime Act 2015 (c.9). Section 2 was amended by paragraph 17 of Schedule 14 to the Police and Justice Act 2006 (c.48) and paragraph 7 of Schedule 4 to the Serious Crime Act 2015. Section 3 was amended by section 36 of the Police and Justice Act 2006 (c.48), and paragraph 7 of Schedule 4 to the Serious Crime Act 2015. Section 3ZA was inserted by section 41(2) of the Serious Crime Act 2015. Section 3A was inserted by section 37 of the Police and Criminal Justice Act 2006 (c.48) and amended by section 41 and 42 of and paragraphs 7 and 8 of Schedule 4 to the Serious Crime Act 2015.

[^c23049231]: 1992 c.5. Section 112 was amended by paragraph 4 of Schedule 1 to the Social Security Administration (Fraud) Act 1997 (c.47), paragraph 6 of Schedule 6 and paragraph 1 of Schedule 9 to the Child Support, Pensions and Social Security Act 2000 (c.19) and by section 16(3) of the Social Security Fraud Act 2001 (c.11). Section 114 was amended by section 61 of the Social Security Act 1998 (c.14).

[^c23049241]: 1993 c.36.

[^c23049251]: 1994 c.23.

[^c23049261]: 1995 c.39.

[^c23049271]: 1998 c.29.

[^c23049281]: 2000 c.11.

[^c23049291]: 2001 c.24.

[^c23049301]: S.I. 2001/3641.

[^c23049311]: S.I. 2003/3075.

[^c23049321]: S.I. 2007/2157.

[^c23049331]: 2002 c.21. Section 35 was amended by section 124 of the Welfare Reform Act 2012 (c.5), and will be repealed when Schedule 14 to that Act comes into force.

[^c23049341]: 2002 c. 29.

[^c23049351]: 2005 c.11.

[^c23049361]: 2006 c.11.

[^c23049371]: 2010 c.23.

[^c23049381]: 2015 c.9.

[^c23049391]: 2016 c.25.

[^c23049401]: 2017 c.22.

[^c23049411]: Schedule 7A was inserted by section 48 of the Crime and Courts Act 2013 (c.22).

[^c23049421]: 2000 c.11.

[^c23049431]: 2002 c. 29.

[^c23049441]: 1980 c.46. Subsection (1A) was inserted by paragraph 12 of Schedule 1 to the Law Reform (Miscellaneous Provisions) (Scotland) Act 1985 (c.73). Subsections (1B) and (1C) were inserted by S.S.I. 2004/383, and amended by section 31(3)(a) of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990 (c.40), and section 124(2) of the Legal Services (Scotland) Act 2010 (asp 16).

[^c23049451]: 1998 c. 47.

[^c23049461]: S.I. 2007/2157.

[^c23049471]: 2000 c. 8.

[^c23049481]: Part 20C was inserted by section 30 of the Bank of England and Financial Service Act 2016 (c.14).

[^c23049491]: 2000 c. 11.

[^c23049501]: OJ No L 141, 05.06.15, p. 73.

[^c23049511]: 2000 c.11. Part 1 of Schedule 3A was substituted by S.I. 2007/3288. Paragraph 1 of that Schedule was amended by S.I. 2011/99, 2013/3115 and 2015/575. Paragraph 3 of that Schedule was amended by S.I. 2011/2701, 2013/3115 and 2015/575.

[^c23049521]: Paragraph (b) was amended by S.I. 2011/99 and 2013/3115.

[^c23049531]: 1974 c.39.

[^c23049541]: Paragraph (j) was amended by S.I. 2008/948.

[^c23049551]: Paragraph 1(6) was substituted by S.I. 2016/680.

[^c23049561]: S.I. 2001/544. Article 72G was inserted by S.I. 2014/366.

[^c23049571]: 2006 asp 1.

[^c23049581]: OJ L 176, 27.6.2013, p.338.

[^c23049591]: 2000 c.11. Part 2 of Schedule 3A was substituted by S.I. 2007/3288. Paragraph 4 was amended by paragraph 87(1), (2)(a) and (b) of Schedule 18 to the Financial Services Act 2012 (c.21), and by S.I. 2014/892.

[^c23049601]: 2001 c. 16.

[^c23049611]: S.I. 2007/2157.

[^c23049621]: 2002 c. 29.

[^c23049631]: OJ L 309, 25.11. 05, p.15.

[^c23049641]: OJ L 141, 05.06.15, p.73.

[^c23049651]: 2002 c.29. Part 1 of Schedule 9 was substituted by S.I. 2007/3287. Paragraph 1 of that Schedule was amended by S.I. 2011/99, 2013/3115 and 2015/575. Paragraph 3 of that Schedule was amended by S.I. 2011/2701, 2013/3115 and 2015/575.

[^c23049661]: Paragraph (b) was amended by S.I. 2011/99 and 2013/3115.

[^c23049671]: 1974 c.39.

[^c23049681]: 2014 c.2.

[^c23049691]: Paragraph 1(6) was amended by S.I. 2016/680.

[^c23049701]: S.I. 2001/544. Article 3(1) was amended, but the amendments are not relevant to these Regulations.

[^c23049711]: Article 72G was inserted by S.I. 2014/366, and amended by S.I. 2015/910 and 2016/392.

[^c23049721]: 2006 asp.1.

[^c23049731]: OJ L 176, 27.6.2013, p.338.

[^c23049741]: 2008 c.28.

[^c23049751]: 2009 c. 11.

[^c23049761]: OJ L 309, 25.11. 05, p.15.

[^c23049771]: OJ L 141, 05.06.15, p.73.

[^c23049781]: OJ L 345, 8.12. 06, p.1.

[^c23049791]: 2013 c. 22.

[^c23049801]: 2014 c. 26.

[^c23049811]: 2016 c. 14.

[^c23049821]: S.I. 1991/1032.

[^c23049831]: S.I. 1999/401. The Schedule was substituted by S.R. (N.I.) 2014 No 48. There are other amendments which are not relevant to these Regulations.

[^c23049841]: S.I. 2001/192. The definition of “relevant business” was amended by S.I. 2003/3075, 2007/2157.

[^c23049851]: S.I. 2001/341. Regulation 114(3)(b)was amended by S.I. 2003/3075, 2007/2157, 2013/472.

[^c23049861]: S.I. 2001/497 (S.2). Regulation 113(3)(b) was amended by S.I. 2003/3075, 2007/2157, 2013/472.

[^c23049871]: S.I. 2001/544. Regulation 72E was inserted by S.I. 2005/1518, and paragraph (9) was amended by S.I. 2007/2157.

[^c23049881]: S.I. 2007/2157.

[^c23049891]: S.I. 2001/1228.

[^c23049901]: S.I. 2003/93. Article 3(d) was amended by S.I. 2007/2157 and S.S.I. 2014/49.

[^c23049911]: S.I. 2003/171. Article 2 was amended by S.I. 2007/2157.

[^c23049921]: S.I. 2007/3544. The references to Her Majesty's Revenue and Customs and a professional body were amended by S.I. 2009/2981. There are other amendments to the Schedule which are not relevant to these Regulations.

[^c23049931]: S.I. 2008/1741.

[^c23049941]: S.I. 2009/56.

[^c23049951]: S.I. 2009/209.

[^c23049961]: Regulation 2(1) was amended, but those amendments are not relevant to these Regulations.

[^c23049971]: OJ L 345, 8.12.2006, p.1.

[^c23049981]: OJ L 141, 05.06.2015, p.1.

[^c23049991]: 2000 c. 8.

[^c23050001]: Paragraph 10(h) was amended by S.I. 2015/1911.

[^c23050011]: S.I. 2009/214. Paragraph 7(b) was amended by S.I. 2013/472.

[^c23050021]: OJ L 309, 25.11. 05, p15.

[^c23050031]: OJ L 141, 05.06.15, p73.

[^c23050041]: S.I. 2009/1801. Paragraph 7(b) was amended by S.I. 2013/472.

[^c23050061]: S.I. 2011/99.

[^c23050071]: OJ No L 309, 25.11. 05, p15.

[^c23050081]: OJ No L 141, 05.06.15, p73.

[^c23050091]: OJ No L 345, 8.12. 06, p1.

[^c23050101]: OJ L 141, 05.06.2015, p.1.

[^c23050111]: S.I. 2012/2299.

[^c23050121]: OJ L 141, 05.06.15, p.73.

[^c23050131]: S.I. 2013/418.

[^c23050141]: S.I. 2014/2418. There are amendments to the Schedule, but they are not relevant to these Regulations.

[^c23050151]: S.I. 2015/1694.

[^c23050161]: OJ L 309, 25.11. 05, p.15.

[^c23050171]: S.I. 2015/2038.

[^c23050181]: S.I. 2016/339.

[^c23050191]: S.I. 2017/267.

[^c23050201]: 2000 c. 11.

[^c23050211]: 2002 c. 29.

[^c23050221]: Sections 339ZH-339ZK (further information orders) were inserted into Part 7 by section 12 of the Criminal Finances Act 2017 (c. 22) (“the 2017 Act”). Other amendments have been made to Part 7 but none are relevant.

[^c23050231]: Sections 362A-362I (unexplained wealth orders: England and Wales and Northern Ireland) and 396A-396I (unexplained wealth orders: Scotland) were inserted into Part 8 by sections 1 and 4 of the 2017 Act. Sections 357, 358 and 362 (disclosure orders: England and Wales and Northern Ireland) and sections 391, 392 and 396 (disclosure orders: Scotland) were amended by sections 7 and 8 of the 2017 Act. Other amendments have been made to Part 8 but none are relevant.

[^c23050241]: Section 445 was amended by section 24(3) of the 2017 Act.

[^c23050251]: Part 3 was amended by Schedule 2 (disclosure orders) to the 2017 Act. Sections 22B-22E (further information orders) were inserted into Part 3 by section 37 of the 2017 Act. Other amendments have been made to Part 3 but none are relevant.

[^c23050261]: Section 341 is amended by section 75(1) of the Serious Crime Act 2007 (c. 27); paragraph 2 of Schedule 19 to the Coroners and Justice Act 2009 (c. 25); paragraph 110 of Schedule 7 to the Policing and Crime Act 2009 (c. 26); paragraphs 2 and 25 of Schedule 19 to the Crime and Courts Act 2013 (c. 22); section 38(1) of, and paragraph 55 of Schedule 4 to, the Serious Crime Act 2015 (c. 9); and section 33 of, and paragraph 39 of Schedule 5 to, the Criminal Finances Act 2017 (“the 2017 Act”).

[^c23050271]: Schedule 5 was inserted by paragraphs 3 and 4 of Schedule 2 to the 2017 Act.

[^key-0020e7b40fc308be9711ea1d0cf2173b]: Words in reg. 3(1) inserted (10.1.2020) by The Money Laundering and Terrorist Financing (Amendment) Regulations 2019 (S.I. 2019/1511), regs. 1(2), 3(1)(b)