Money Laundering, Terrorist Financing and Transfer of Funds... · CHAPTER 2 Risk assessment and controls

19A Policies, controls and procedures in relation to proliferation financing

reg. 19A · in force: yes

Captured statutory text (L5)

19A Policies, controls and procedures in relation to proliferation financing

(1)A relevant person must—

(a)establish and maintain policies, controls and procedures to mitigate and manage effectively the risks of proliferation financing identified in any risk assessment undertaken by the relevant person under regulation 18A(1);

(b)regularly review and update the policies, controls and procedures established under sub-paragraph (a);

(c)maintain a record in writing of—

(i)the policies, controls and procedures established under sub-paragraph (a);

(ii)any changes to those policies, controls and procedures made as a result of the review and update required by sub-paragraph (b); and

(iii)the steps taken to communicate those policies, controls and procedures, or any changes to them, within the relevant person’s business.

(2)The policies, controls and procedures adopted by a relevant person under paragraph (1) must be—

(a)proportionate with regard to the size and nature of the relevant person’s business; and

(b)approved by its senior management.

(3)The policies, controls and procedures referred to in paragraph (1) must include—

(a)risk management practices;

(b)internal controls (see regulations 21 to 24);

(c)the monitoring and management of compliance with, and the internal communication of, such policies, controls and procedures.

(4)The policies, controls and procedures referred to in paragraph (1) must include policies, controls and procedures—

(a)which provide for the identification and scrutiny of—

(i)any case where—

(aa)a transaction is unusually complex or unusually large in each case given the nature of the transaction, or there is an unusual pattern of transactions; or

(bb)the transaction or transactions have no apparent economic or legal purpose, and

(ii)any other activity or situation which the relevant person regards as particularly likely by its nature to be related to proliferation financing;

(b)which specify the taking of additional measures, where appropriate, to prevent the use for proliferation financing of products and transactions which might favour anonymity;

(c)which ensure that when new products, new business practices (including new delivery mechanisms) or new technology are adopted by the relevant person, appropriate measures are taken in preparation for, and during, the adoption of such products, practices or technology to assess and if necessary mitigate any proliferation financing risks this new product, practice or technology may cause;

(d)which, in the case of a money service business that uses agents for the purpose of its business, ensure that appropriate measures are taken by the business to assess—

(i)whether an agent used by the business would satisfy the fit and proper test provided for in regulation 58; and

(ii)the extent of the risk that the agent may be used for proliferation financing.

(5)A relevant person must, where relevant, communicate the policies, controls and procedures which it establishes and maintains in accordance with this regulation to its branches and subsidiary undertakings which are located outside the United Kingdom.

Full captured verbatim text

(1) A relevant person must—

(a) establish and maintain policies, controls and procedures to mitigate and manage effectively the risks of proliferation financing identified in any risk assessment undertaken by the relevant person under regulation 18A(1);

(b) regularly review and update the policies, controls and procedures established under sub-paragraph (a);

(c) maintain a record in writing of—

(i) the policies, controls and procedures established under sub-paragraph (a);

(ii) any changes to those policies, controls and procedures made as a result of the review and update required by sub-paragraph (b); and

(iii) the steps taken to communicate those policies, controls and procedures, or any changes to them, within the relevant person’s business.

(2) The policies, controls and procedures adopted by a relevant person under paragraph (1) must be—

(a) proportionate with regard to the size and nature of the relevant person’s business; and

(b) approved by its senior management.

(3) The policies, controls and procedures referred to in paragraph (1) must include—

(a) risk management practices;

(b) internal controls (see regulations 21 to 24);

(c) the monitoring and management of compliance with, and the internal communication of, such policies, controls and procedures.

(4) The policies, controls and procedures referred to in paragraph (1) must include policies, controls and procedures—

(a) which provide for the identification and scrutiny of—

(i) any case where—

(aa) a transaction is unusually complex or unusually large in each case given the nature of the transaction, or there is an unusual pattern of transactions; or

(bb) the transaction or transactions have no apparent economic or legal purpose, and

(ii) any other activity or situation which the relevant person regards as particularly likely by its nature to be related to proliferation financing;

(b) which specify the taking of additional measures, where appropriate, to prevent the use for proliferation financing of products and transactions which might favour anonymity;

(c) which ensure that when new products, new business practices (including new delivery mechanisms) or new technology are adopted by the relevant person, appropriate measures are taken in preparation for, and during, the adoption of such products, practices or technology to assess and if necessary mitigate any proliferation financing risks this new product, practice or technology may cause;

(d) which, in the case of a money service business that uses agents for the purpose of its business, ensure that appropriate measures are taken by the business to assess—

(i) whether an agent used by the business would satisfy the fit and proper test provided for in regulation 58; and

(ii) the extent of the risk that the agent may be used for proliferation financing.

(5) A relevant person must, where relevant, communicate the policies, controls and procedures which it establishes and maintains in accordance with this regulation to its branches and subsidiary undertakings which are located outside the United Kingdom.

What this provision means

Model summary, checked against the text on the left.

Relevance to Signicat: 3/3 · detailed summary (L4) Status: ok · Stored artifact; current recipe verification unavailable

Relevant persons must establish, document, and review policies, controls, and procedures mitigating proliferation financing risks.

(1) A relevant person must—

(b) which specify the taking of additional measures, where appropriate, to prevent the use for proliferation financing of products and transactions which might favour anonymity;

Under paragraph (1), a relevant person must establish, maintain, regularly review, update, and record in writing policies, controls and procedures to mitigate and manage proliferation financing risks identified under regulation 18A(1), and record communication steps within its business. Under paragraph (2), these must be proportionate to size and nature and approved by senior management. Under paragraphs (3) and (4), they must encompass risk management, internal controls, compliance monitoring and communication, transaction scrutiny (including unusually complex, large, or purpose-lacking transactions), extra measures for products or transactions favouring anonymity, pre-adoption assessments for new products, practices, or technologies, and agent screening for money service businesses under regulation 58. Under paragraph (5), policies must be communicated to foreign branches and subsidiaries.

screening.pep_sanctions_adverse_mediamonitoring.transactions_amlevidence.audit_trail

Refers to

cross-reference internal_cite · reg. 18A

cross-reference internal_cite · reg. 21

cross-reference internal_cite · reg. 22

cross-reference internal_cite · reg. 23

cross-reference internal_cite · reg. 24

cross-reference internal_cite · reg. 58

Referred to by

cross-reference internal_cite · reg. 20

cross-reference internal_cite · reg. 21

cross-reference internal_cite · reg. 46

cross-reference internal_cite · reg. 8

cross-reference internal_cite · Sch. 6 para. 1

cross-reference internal_cite · Sch. 6 para. 5

Part summaries

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synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-2

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-3

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-4

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-5

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-6

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-7

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-8

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-9

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-10

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-11

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-12

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-13

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-14

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-15

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6A-paragraph-16

synthesis coverage: missing/unverified L2 schedule-6B

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6B-paragraph-1

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6B-paragraph-2

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6B-paragraph-3

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6B-paragraph-4

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-6B-paragraph-5

synthesis coverage: missing/unverified L2 schedule-7-part-1

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-1

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-2

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-3

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-4

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-5

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-6

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-7

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-8

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-9

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-10

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-11

synthesis coverage: missing/unverified L2 schedule-7-part-2

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-12

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-13

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-14

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-15

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-16

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-17

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-18

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-19

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-20

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-21

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-22

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-23

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-24

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-25

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-26

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-27

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-28

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-29

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-30

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-31

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-32

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-33

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-34

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-7-paragraph-35

Instrument tier unavailable

Change history as published

Reg. 22 omitted (31.12.2020) by virtue of The Money Laundering and Transfer of Funds (Information) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/253), regs. 1(2), 5(4) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)

Pt. 5A omitted (1.9.2022) by virtue of The Money Laundering and Terrorist Financing (Amendment) (No. 2) Regulations 2022 (S.I. 2022/860), regs. 1(5), 10 · repeated 8×

Sch. 7 para. 27 revoked (24.2.2025) by The Procurement Act 2023 (Consequential and Other Amendments) Regulations 2025 (S.I. 2025/163), reg. 1(2), Sch. Pt. 2

Pending effects amendments not yet applied to this text

reg. 3(1) words inserted by The Money Laundering and Transfer of Funds (Information) (Amendment) (EU Exit) Regulations 2019 reg. 3(b) · Effective date unknown · reg. 3

reg. 34A inserted by The Money Laundering and Terrorist Financing (Amendment) Regulations 2026 reg. 20 · Effective date unknown

Sch. 6 para. 7(ga) inserted by The Money Laundering and Terrorist Financing (Amendment) Regulations 2026 reg. 36(b) · Effective date unknown · Sch. 6 para. 7

Provenance

Every claim the system makes about this text is traceable to these identifiers.

Instrument: uk:uksi/2017/692
Part: CHAPTER 2 Risk assessment and controls
Version: c5a0271554697d8359bede8a…
Content hash: sha256 7088705b47ebb2f5ca9fc9bc…
Source: legislation.gov.uk/uksi/2017/692