Watchtower/Law library/Money Laundering, Terrorist.../20 Policies, controls and...
As last captured

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

20 Policies, controls and procedures: group level

reg. 20 · in force: yes

Captured statutory text (L5)

20 Policies, controls and procedures: group level

(1)A relevant parent undertaking must—
(a)ensure that the policies, controls and procedures referred to in regulations 19(1) and 19A(1) apply—
(i)to all its subsidiary undertakings, including subsidiary undertakings located outside the United Kingdom; and
(ii)to any branches it has established outside the United Kingdom;
which is carrying out any activity in respect of which the relevant person is subject to these Regulations;
(b)establish and maintain throughout its group the policies, controls and procedures for data protection and sharing information for the purposes of preventing money laundering, terrorist financing and proliferation financing with other members of the group , including policies on the sharing of information about customers, customer accounts and transactions;
(c)regularly review and update the policies, controls and procedures applied and established under sub-paragraphs (a) and (b);
(d)maintain a record in writing of—
(i)the policies, controls and procedures established under sub-paragraphs (a) and (b);
(ii)any changes to those policies, controls and procedures made as a result of the review and update required by sub-paragraph (c); and
(iii)the steps taken to communicate those policies, controls and procedures, or any changes to them, to its subsidiary undertakings and branches.
(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3)If any of the subsidiary undertakings or branches of a relevant parent undertaking are established in a third country which does not impose requirements to counter money laundering, terrorist financing and proliferation financing as strict as those of the United Kingdom, the relevant parent undertaking must ensure that those subsidiary undertakings and branches apply measures equivalent to those required by these Regulations, as far as permitted under the law of the third country.
(4)Where the law of a third country does not permit the application of such equivalent measures by the subsidiary undertaking or branch established in that country, the relevant parent undertaking must—
(a)inform its supervisory authority accordingly; and
(b)take additional measures to handle the risk of money laundering, terrorist financing and proliferation financing.
(5)A relevant parent undertaking must ensure that information relevant to the prevention of money laundering, terrorist financing and proliferation financing is shared as appropriate between members of its group, subject to any restrictions on sharing information imposed by or under any enactment or otherwise.
(6)The FCA may make technical standards specifying—
(a)what additional measures are required from credit institutions and financial institutions under paragraph (4); and
(b)the minimum action to be taken by credit institutions and financial institutions where paragraph (4) applies.
Full captured verbatim text
(1) A relevant parent undertaking must—

(a) ensure that the policies, controls and procedures referred to in regulations 19(1) and 19A(1) apply—

(i) to all its subsidiary undertakings, including subsidiary undertakings located outside the United Kingdom; and

(ii) to any branches it has established outside the United Kingdom;

which is carrying out any activity in respect of which the relevant person is subject to these Regulations;

(b) establish and maintain throughout its group the policies, controls and procedures for data protection and sharing information for the purposes of preventing money laundering, terrorist financing and proliferation financing with other members of the group , including policies on the sharing of information about customers, customer accounts and transactions;

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

(d) maintain a record in writing of—

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

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

(iii) the steps taken to communicate those policies, controls and procedures, or any changes to them, to its subsidiary undertakings and branches.

(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) If any of the subsidiary undertakings or branches of a relevant parent undertaking are established in a third country which does not impose requirements to counter money laundering, terrorist financing and proliferation financing as strict as those of the United Kingdom, the relevant parent undertaking must ensure that those subsidiary undertakings and branches apply measures equivalent to those required by these Regulations, as far as permitted under the law of the third country.

(4) Where the law of a third country does not permit the application of such equivalent measures by the subsidiary undertaking or branch established in that country, the relevant parent undertaking must—

(a) inform its supervisory authority accordingly; and

(b) take additional measures to handle the risk of money laundering, terrorist financing and proliferation financing.

(5) A relevant parent undertaking must ensure that information relevant to the prevention of money laundering, terrorist financing and proliferation financing is shared as appropriate between members of its group, subject to any restrictions on sharing information imposed by or under any enactment or otherwise.

(6) The FCA may make technical standards specifying—

(a) what additional measures are required from credit institutions and financial institutions under paragraph (4); and

(b) the minimum action to be taken by credit institutions and financial institutions where paragraph (4) applies.

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 parent undertakings must ensure group-wide application of AML, CTF, and CPF policies and establish group information-sharing procedures.

(1) A relevant parent undertaking must—
(b) establish and maintain throughout its group the policies, controls and procedures for data protection and sharing information for the purposes of preventing money laundering, terrorist financing and proliferation financing with other members of the group , including policies on the sharing of information about customers, customer accounts and transactions;
(3) If any of the subsidiary undertakings or branches of a relevant parent undertaking are established in a third country which does not impose requirements to counter money laundering, terrorist financing and proliferation financing as strict as those of the United Kingdom, the relevant parent undertaking must ensure that those subsidiary undertakings and branches apply measures equivalent to those required by these Regulations, as far as permitted under the law of the third country.
Under paragraph (1), a relevant parent undertaking must ensure its AML, CTF, and CPF policies, controls, and procedures apply to all subsidiary undertakings and branches outside the UK carrying out covered activities. It must establish, maintain, regularly review, and record in writing group-wide policies for data protection and information sharing regarding customers, accounts, and transactions. Under paragraph (3), it must ensure foreign subsidiaries and branches apply equivalent measures where third-country law is less strict, as far as permitted by local law. Under paragraph (4), where local law prohibits equivalent measures, it must inform its supervisory authority and take additional measures. Under paragraph (5), it must ensure relevant information is shared across the group subject to statutory restrictions.
sharing.securedata_protection.processor_controlsevidence.audit_trail

Refers to

cross-reference internal_cite · reg. 19

cross-reference internal_cite · reg. 19A

Referred to by

cross-reference internal_cite · reg. 25

cross-reference internal_cite · reg. 39

cross-reference internal_cite · reg. 46

cross-reference internal_cite · reg. 46A

cross-reference internal_cite · reg. 8

cross-reference internal_cite · Sch. 6 para. 1

cross-reference internal_cite · Sch. 6 para. 5

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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 890655d37a619c3368c486da…
Source
legislation.gov.uk/uksi/2017/692