Money Laundering, Terrorist Financing and Transfer of Funds... · CHAPTER 1 Customer due diligence: general

30A Requirement to report discrepancies in registers

reg. 30A · in force: yes

Captured statutory text (L5)

30A Requirement to report discrepancies in registers

(1)Subject to paragraph (8A), before establishing a business relationship with—

(a)a company which is subject to the requirements of Part 21A of the Companies Act 2006 (information about people with significant control);

(b)an unregistered company which is subject to the requirements of the Unregistered Companies Regulations 2009;

(c)a limited liability partnership which is subject to the requirements of the Limited Liability Partnerships (Application of Companies Act 2006) Regulations 2009;

(d)an eligible Scottish partnership which is subject to the requirements of the Scottish Partnerships (Register of People with Significant Control) Regulations 2017, ...

(e)a trust which is subject to registration under Part 5 of these Regulations, or

(f)an overseas entity which is subject to registration under Part 1 of the Economic Crime (Transparency and Enforcement) Act 2022,

a relevant person must collect an excerpt of the register which contains full details of any information specified in paragraph (1A) held on the register at the relevant time before the business relationship is established, or must establish from its inspection of the register that there is no such information held on the register at that time.

(1A)The information specified in this paragraph is as follows—

(a)in relation to a firm of a type described in paragraphs (1)(a) to (e), information relating to beneficial owners of the customer; and

(b)in relation to an overseas entity of a type described in paragraph (1)(f), required information relating to registrable beneficial owners specified under Schedule 1 to the Economic Crime (Transparency and Enforcement) Act 2022.

(2)The relevant person must report to the person mentioned in paragraph (3) any material discrepancy the relevant person finds between information relating to the beneficial ownership of the customer—

(a)which the relevant person collects under paragraph (1), and

(b)which otherwise becomes available to the relevant person in the course of carrying out its duties under these Regulations when establishing a business relationship with the customer.

(2A)When taking measures to fulfil the duties to carry out customer due diligence and ongoing monitoring of a business relationship (including enhanced customer due diligence and enhanced ongoing monitoring) under Part 3 of these Regulations after a business relationship with a customer of a type described in paragraph (1)(a) to (f) has been established, a relevant person must also collect an excerpt of the register which contains full details of any information specified in paragraph (1A) which is held on the register at that time, or must establish from its inspection of the register that there is no such information held on the register at that time.

(2B)The relevant person must report to the person mentioned in paragraph (3) any material discrepancy the relevant person finds between information relating to the beneficial ownership of the customer—

(a)which the relevant person collects under paragraph (2A), and

(b)which otherwise becomes available to the relevant person in the course of carrying out its duties under these Regulations.

(3)A material discrepancy referred to in paragraphs (2) and (2B) must be reported—

(a)if it relates to a firm of a type described in paragraph (1)(a) to (d), to the registrar referred to in section 1060(3) of the Companies Act 2006;

(b)if it relates to a trust of a type described in paragraph (1)(e), to the Commissioners;

(c)if it relates to an overseas entity of a type described in paragraph (1)(f), to the registrar of companies for England and Wales.

(4)The relevant person is not required under paragraph (2) or (2B) to report information which that person would be entitled to refuse to provide on grounds of legal professional privilege in the High Court (or in Scotland, on the ground of confidentiality of communications in the Court of Session).

(5)The person to whom a material discrepancy is reported must take such action as that person considers appropriate to investigate and, if necessary, resolve the discrepancy in a timely manner.

(6)A discrepancy which is reported to the registrar under paragraph (3) is material excluded from public inspection for the purposes of—

(a)section 1087 of the Companies Act 2006 (material not available for public inspection), including for the purposes of that section as applied—

(i)to unregistered companies by paragraph 20 of Schedule 1 to the Unregistered Companies Regulations 2009;

(ii)to limited liability partnerships by regulation 66 of the Limited Liability Partnerships (Application of Companies Act 2006) Regulations 2009; and

(iii)to eligible Scottish partnerships by regulation 61 of the Scottish Partnerships (Register of People with Significant Control) Regulations 2017; and

(b)section 22 of the Economic Crime (Transparency and Enforcement) Act 2022 (material unavailable for inspection).

(7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8)In this regulation, a “material discrepancy” is one described in Schedule 3AZA.

(8A)In relation to an insolvent bank customer of a type described in any of sub-paragraphs (a) to (f) of paragraph (1), a credit institution may comply with the requirement in paragraph (1) after the establishment of a business relationship with that customer.

(8B)In this regulation, “insolvent bank customer” has the meaning given in regulation 30ZA(5).

(9)In this regulation “the register” means—

(a)in relation to a customer which is of the type described in paragraph (1)(a), the register within the meaning of section 1080(2) of the Companies Act 2006;

(b)in relation to a customer which is a firm of a type described in paragraph (1)(b) to (d), the records of information mentioned in section 1080(1)(a) of the Companies Act 2006 relating to such firm;

(c)in relation to a customer which is an overseas entity of a type described in paragraph (1)(f), the register referred to in section 3(1) of the Economic Crime (Transparency and Enforcement) Act 2022.

Full captured verbatim text

(1) Subject to paragraph (8A), before establishing a business relationship with—

(a) a company which is subject to the requirements of Part 21A of the Companies Act 2006 (information about people with significant control);

(b) an unregistered company which is subject to the requirements of the Unregistered Companies Regulations 2009;

(c) a limited liability partnership which is subject to the requirements of the Limited Liability Partnerships (Application of Companies Act 2006) Regulations 2009;

(d) an eligible Scottish partnership which is subject to the requirements of the Scottish Partnerships (Register of People with Significant Control) Regulations 2017, ...

(e) a trust which is subject to registration under Part 5 of these Regulations, or

(f) an overseas entity which is subject to registration under Part 1 of the Economic Crime (Transparency and Enforcement) Act 2022,

a relevant person must collect an excerpt of the register which contains full details of any information specified in paragraph (1A) held on the register at the relevant time before the business relationship is established, or must establish from its inspection of the register that there is no such information held on the register at that time.

(1A) The information specified in this paragraph is as follows—

(a) in relation to a firm of a type described in paragraphs (1)(a) to (e), information relating to beneficial owners of the customer; and

(b) in relation to an overseas entity of a type described in paragraph (1)(f), required information relating to registrable beneficial owners specified under Schedule 1 to the Economic Crime (Transparency and Enforcement) Act 2022.

(2) The relevant person must report to the person mentioned in paragraph (3) any material discrepancy the relevant person finds between information relating to the beneficial ownership of the customer—

(a) which the relevant person collects under paragraph (1), and

(b) which otherwise becomes available to the relevant person in the course of carrying out its duties under these Regulations when establishing a business relationship with the customer.

(2A) When taking measures to fulfil the duties to carry out customer due diligence and ongoing monitoring of a business relationship (including enhanced customer due diligence and enhanced ongoing monitoring) under Part 3 of these Regulations after a business relationship with a customer of a type described in paragraph (1)(a) to (f) has been established, a relevant person must also collect an excerpt of the register which contains full details of any information specified in paragraph (1A) which is held on the register at that time, or must establish from its inspection of the register that there is no such information held on the register at that time.

(2B) The relevant person must report to the person mentioned in paragraph (3) any material discrepancy the relevant person finds between information relating to the beneficial ownership of the customer—

(a) which the relevant person collects under paragraph (2A), and

(b) which otherwise becomes available to the relevant person in the course of carrying out its duties under these Regulations.

(3) A material discrepancy referred to in paragraphs (2) and (2B) must be reported—

(a) if it relates to a firm of a type described in paragraph (1)(a) to (d), to the registrar referred to in section 1060(3) of the Companies Act 2006;

(b) if it relates to a trust of a type described in paragraph (1)(e), to the Commissioners;

(c) if it relates to an overseas entity of a type described in paragraph (1)(f), to the registrar of companies for England and Wales.

(4) The relevant person is not required under paragraph (2) or (2B) to report information which that person would be entitled to refuse to provide on grounds of legal professional privilege in the High Court (or in Scotland, on the ground of confidentiality of communications in the Court of Session).

(5) The person to whom a material discrepancy is reported must take such action as that person considers appropriate to investigate and, if necessary, resolve the discrepancy in a timely manner.

(6) A discrepancy which is reported to the registrar under paragraph (3) is material excluded from public inspection for the purposes of—

(a) section 1087 of the Companies Act 2006 (material not available for public inspection), including for the purposes of that section as applied—

(i) to unregistered companies by paragraph 20 of Schedule 1 to the Unregistered Companies Regulations 2009;

(ii) to limited liability partnerships by regulation 66 of the Limited Liability Partnerships (Application of Companies Act 2006) Regulations 2009; and

(iii) to eligible Scottish partnerships by regulation 61 of the Scottish Partnerships (Register of People with Significant Control) Regulations 2017; and

(b) section 22 of the Economic Crime (Transparency and Enforcement) Act 2022 (material unavailable for inspection).

(7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8) In this regulation, a “material discrepancy” is one described in Schedule 3AZA.

(8A) In relation to an insolvent bank customer of a type described in any of sub-paragraphs (a) to (f) of paragraph (1), a credit institution may comply with the requirement in paragraph (1) after the establishment of a business relationship with that customer.

(8B) In this regulation, “insolvent bank customer” has the meaning given in regulation 30ZA(5).

(9) In this regulation “the register” means—

(a) in relation to a customer which is of the type described in paragraph (1)(a), the register within the meaning of section 1080(2) of the Companies Act 2006;

(b) in relation to a customer which is a firm of a type described in paragraph (1)(b) to (d), the records of information mentioned in section 1080(1)(a) of the Companies Act 2006 relating to such firm;

(c) in relation to a customer which is an overseas entity of a type described in paragraph (1)(f), the register referred to in section 3(1) of the Economic Crime (Transparency and Enforcement) Act 2022.

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

A relevant person must collect register excerpts for registrable corporate entities or trusts and report material discrepancies in beneficial ownership.

(1) Subject to paragraph (8A), before establishing a business relationship with—

(2) The relevant person must report to the person mentioned in paragraph (3) any material discrepancy the relevant person finds between information relating to the beneficial ownership of the customer—

(4) The relevant person is not required under paragraph (2) or (2B) to report information which that person would be entitled to refuse to provide on grounds of legal professional privilege in the High Court (or in Scotland, on the ground of confidentiality of communications in the Court of Session).

Before establishing a business relationship, and when carrying out customer due diligence or ongoing monitoring thereafter, a relevant person must collect an excerpt of the register containing details of beneficial owners or registrable beneficial owners (or establish no such information is held) for companies, unregistered companies, LLPs, eligible Scottish partnerships, registered trusts, or registered overseas entities. The relevant person must report any material discrepancy found between the collected register information and beneficial ownership information otherwise available to the relevant registrar or Commissioners.

kyb.company_verificationkyb.ubo_controlchecks.companies_house_idv

Refers to

other law external_cite · s. 1060

other law external_cite · s. 1080

other law external_cite · s. 1087

other law external_cite · Sch. 1 para. 1

other law external_cite · Sch. 1 para. 10

other law external_cite · Sch. 1 para. 2

other law external_cite · Sch. 1 para. 3

other law external_cite · Sch. 1 para. 4

other law external_cite · Sch. 1 para. 5

other law external_cite · Sch. 1 para. 6

other law external_cite · Sch. 1 para. 7

other law external_cite · Sch. 1 para. 8

other law external_cite · Sch. 1 para. 9

other law external_cite · s. 22

other law external_cite · s. 3

cross-reference internal_cite · reg. 30ZA

schedule ref schedule_ref · Sch. 3AZA para. 1

schedule ref schedule_ref · Sch. 3AZA para. 2

schedule ref schedule_ref · Sch. 3AZA para. 3

Referred to by

cross-reference internal_cite · reg. 19

cross-reference internal_cite · reg. 39

cross-reference internal_cite · reg. 40

cross-reference internal_cite · Sch. 6 para. 7

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synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-3A-paragraph-10

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-3A-paragraph-11

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-3A-paragraph-12

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-3A-paragraph-13

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synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-3A-paragraph-15

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synthesis coverage: missing/unverified L2 schedule-4

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synthesis coverage: missing/unverified L2 schedule-5

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synthesis coverage: missing/unverified L2 schedule-6A

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

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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

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

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

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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 1 Customer due diligence: general
Version: c5a0271554697d8359bede8a…
Content hash: sha256 13defb0ba62b59bb977e27fc…
Source: legislation.gov.uk/uksi/2017/692