Money Laundering, Terrorist Financing and Transfer of Funds... · PART 4 Reliance and Record-keeping

40 Record-keeping

reg. 40 · in force: yes

Captured statutory text (L5)

40 Record-keeping

(1)Subject to paragraph (5), a relevant person must keep the records specified in paragraph (2) for at least the period specified in paragraph (3).

(2)The records are—

(a)a copy of any documents and information obtained by the relevant person to satisfy the customer due diligence requirements in regulations 28, 29 and 33 to 37 and the requirements of regulation 30A , and of regulations 64C and 64G(1);

(b)sufficient supporting records (consisting of the original documents or copies) in respect of a transaction (whether or not the transaction is an occasional transaction) which is the subject of customer due diligence measures or ongoing monitoring to enable the transaction to be reconstructed.

(c)in the case of an inter-cryptoasset business transfer, in addition to the records referred to in sub-paragraphs (a) and (b), any documents and information received by an intermediary cryptoasset business and the cryptoasset business of a beneficiary by virtue of the obligations under regulations 64C(1), (2) and (7), or received by them pursuant to a request under regulation 64D(2)(a) or 64E(2)(a); and

(d)in the case of an unhosted wallet transfer, in addition to the records referred to in sub-paragraphs (a) and (b), any documents and information received by a cryptoasset business pursuant to a request under regulation 64G(1).

(3)Subject to paragraph (4), the period is five years beginning on the date on which the relevant person knows, or has reasonable grounds to believe—

(a)that the transaction is complete, for records relating to an occasional transaction; or

(b)that the business relationship has come to an end for records relating to—

(i)any transaction which occurs as part of a business relationship, or

(ii)customer due diligence measures taken in connection with that relationship.

(4)A relevant person is not required to keep the records referred to in paragraph (3)(b)(i) for more than 10 years.

(5)Once the period referred to in paragraph (3), or if applicable paragraph (4), has expired, the relevant person must delete any personal data obtained for the purposes of these Regulations unless—

(a)the relevant person is required to retain records containing personal data—

(i)by or under any enactment, or

(ii)for the purposes of any court proceedings;

(b)the data subject has given consent to the retention of that data; or

(c)the relevant person has reasonable grounds for believing that records containing the personal data need to be retained for the purpose of legal proceedings.

(6)A relevant person who is relied on by another person must keep the records specified in paragraph (2) for the period referred to in paragraph (3) or, if applicable, paragraph (4).

(7)A person referred to in regulation 39(3) (“A”) who is relied on by a relevant person (“B”) must, if requested by B within the period referred to in paragraph (3) or, if applicable, paragraph (4), immediately—

(a)make available to B any information about the customer, any person purporting to act on behalf of the customer and any beneficial owner of the customer, which A obtained when applying customer due diligence measures; and

(b)forward to B copies of any identification and verification data and other relevant documents on the identity of the customer, any person purporting to act on behalf of the customer and any beneficial owner of the customer, which A obtained when applying those measures.

(8)Paragraph (7) does not apply where a relevant person applies customer due diligence measures by means of an agent or an outsourcing service provider (within the meaning of regulation 39(8)).

(9)For the purposes of this regulation—

(a)B relies on A where B does so in accordance with regulation 39(1);

(b)“copy” means a copy of the original document which would be admissible as evidence of the original document in court proceedings;

(c)“data subject” has the same meaning as in the Data Protection Act 2018 (see section 3 of that Act);

(d)“personal data” has the same meaning as in Parts 5 to 7 of that Act (see section 3(2) and (14) of that Act).

(e)“beneficiary”, “cryptoasset business”, “inter-cryptoasset business transfer”, “intermediary cryptoasset business” and “unhosted wallet transfer” have the meanings given by regulation 64B.

Full captured verbatim text

(1) Subject to paragraph (5), a relevant person must keep the records specified in paragraph (2) for at least the period specified in paragraph (3).

(2) The records are—

(a) a copy of any documents and information obtained by the relevant person to satisfy the customer due diligence requirements in regulations 28, 29 and 33 to 37 and the requirements of regulation 30A , and of regulations 64C and 64G(1);

(b) sufficient supporting records (consisting of the original documents or copies) in respect of a transaction (whether or not the transaction is an occasional transaction) which is the subject of customer due diligence measures or ongoing monitoring to enable the transaction to be reconstructed.

(c) in the case of an inter-cryptoasset business transfer, in addition to the records referred to in sub-paragraphs (a) and (b), any documents and information received by an intermediary cryptoasset business and the cryptoasset business of a beneficiary by virtue of the obligations under regulations 64C(1), (2) and (7), or received by them pursuant to a request under regulation 64D(2)(a) or 64E(2)(a); and

(d) in the case of an unhosted wallet transfer, in addition to the records referred to in sub-paragraphs (a) and (b), any documents and information received by a cryptoasset business pursuant to a request under regulation 64G(1).

(3) Subject to paragraph (4), the period is five years beginning on the date on which the relevant person knows, or has reasonable grounds to believe—

(a) that the transaction is complete, for records relating to an occasional transaction; or

(b) that the business relationship has come to an end for records relating to—

(i) any transaction which occurs as part of a business relationship, or

(ii) customer due diligence measures taken in connection with that relationship.

(4) A relevant person is not required to keep the records referred to in paragraph (3)(b)(i) for more than 10 years.

(5) Once the period referred to in paragraph (3), or if applicable paragraph (4), has expired, the relevant person must delete any personal data obtained for the purposes of these Regulations unless—

(a) the relevant person is required to retain records containing personal data—

(i) by or under any enactment, or

(ii) for the purposes of any court proceedings;

(b) the data subject has given consent to the retention of that data; or

(c) the relevant person has reasonable grounds for believing that records containing the personal data need to be retained for the purpose of legal proceedings.

(6) A relevant person who is relied on by another person must keep the records specified in paragraph (2) for the period referred to in paragraph (3) or, if applicable, paragraph (4).

(7) A person referred to in regulation 39(3) (“A”) who is relied on by a relevant person (“B”) must, if requested by B within the period referred to in paragraph (3) or, if applicable, paragraph (4), immediately—

(a) make available to B any information about the customer, any person purporting to act on behalf of the customer and any beneficial owner of the customer, which A obtained when applying customer due diligence measures; and

(b) forward to B copies of any identification and verification data and other relevant documents on the identity of the customer, any person purporting to act on behalf of the customer and any beneficial owner of the customer, which A obtained when applying those measures.

(8) Paragraph (7) does not apply where a relevant person applies customer due diligence measures by means of an agent or an outsourcing service provider (within the meaning of regulation 39(8)).

(9) For the purposes of this regulation—

(a) B relies on A where B does so in accordance with regulation 39(1);

(b) “copy” means a copy of the original document which would be admissible as evidence of the original document in court proceedings;

(c) “data subject” has the same meaning as in the Data Protection Act 2018 (see section 3 of that Act);

(d) “personal data” has the same meaning as in Parts 5 to 7 of that Act (see section 3(2) and (14) of that Act).

(e) “beneficiary”, “cryptoasset business”, “inter-cryptoasset business transfer”, “intermediary cryptoasset business” and “unhosted wallet transfer” have the meanings given by regulation 64B.

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 and relied-upon third parties must retain customer due diligence and transaction records for five years, deleting personal data upon expiry unless exceptions apply.

(1) Subject to paragraph (5), a relevant person must keep the records specified in paragraph (2) for at least the period specified in paragraph (3).

(3) Subject to paragraph (4), the period is five years beginning on the date on which the relevant person knows, or has reasonable grounds to believe—

(5) Once the period referred to in paragraph (3), or if applicable paragraph (4), has expired, the relevant person must delete any personal data obtained for the purposes of these Regulations unless—

Under (1), a relevant person must keep specified records for the period in (3). Under (2), records include CDD documents and sufficient supporting transaction reconstruction records. Under (3), the period is five years from completion of an occasional transaction or end of a business relationship. Under (4), records under (3)(b)(i) need not be kept for more than 10 years. Under (5), expired personal data must be deleted. Under (6) and (7), relied-upon persons must retain records and provide copies immediately on request.

retention.archiveevidence.audit_trailsharing.securedata_protection.processor_controls

Refers to

cross-reference internal_cite · reg. 28

cross-reference internal_cite · reg. 29

cross-reference internal_cite · reg. 30A

cross-reference internal_cite · reg. 33

cross-reference internal_cite · reg. 34

cross-reference internal_cite · reg. 35

cross-reference internal_cite · reg. 36

cross-reference internal_cite · reg. 37

cross-reference internal_cite · reg. 39

cross-reference internal_cite · reg. 64B

cross-reference internal_cite · reg. 64C

cross-reference internal_cite · reg. 64D

cross-reference internal_cite · reg. 64E

cross-reference internal_cite · reg. 64G

Referred to by

cross-reference internal_cite · reg. 19

cross-reference internal_cite · reg. 39

cross-reference internal_cite · reg. 46A

cross-reference internal_cite · Sch. 6 para. 8

Part summaries

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synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-4-paragraph-12A

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-4-paragraph-13

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-4-paragraph-14

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-4-paragraph-15

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-4-paragraph-15A

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-4-paragraph-16

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-4-paragraph-17

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-4-paragraph-18

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-4-paragraph-19

synthesis coverage: missing/unverified L2 schedule-5

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-5-paragraph-1

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-5-paragraph-2

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-5-paragraph-3

synthesis coverage: missing evaluation uk:uksi/2017/692#schedule-5-paragraph-4

synthesis coverage: missing/unverified L2 schedule-6

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

synthesis coverage: missing/unverified L2 schedule-6A

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

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: PART 4 Reliance and Record-keeping
Version: c5a0271554697d8359bede8a…
Content hash: sha256 ef73da83e7a7d89e92ab6719…
Source: legislation.gov.uk/uksi/2017/692