Money Laundering, Terrorist Financing and Transfer of Funds... · CHAPTER 1 Duties of supervisory authorities

49 Duties of self-regulatory organisations

reg. 49 · in force: yes

Captured statutory text (L5)

49 Duties of self-regulatory organisations

(1)Self-regulatory organisations must make arrangements to ensure that—

(a)their supervisory functions are exercised independently of any of their other functions which do not relate to disciplinary matters;

(b)sensitive information relating to the supervisory functions is appropriately handled within the organisation;

(c)they employ only persons with appropriate qualifications, integrity and professional skills to carry out the supervisory functions;

(d)contravention of a relevant requirement by a relevant person they are responsible for supervising renders that person liable to effective, proportionate and dissuasive disciplinary measures under their rules;

(e)potential conflicts of interest within the organisation are appropriately handled.

(2)Self-regulatory organisations must—

(a)provide adequate resources to carry out the supervisory functions;

(b)appoint a person to monitor and manage the organisation's compliance with its duties under these Regulations.

(3)The person appointed under paragraph (2)(b) is to be responsible—

(a)for liaison with—

(i)another supervisory authority or a registering authority (within the meaning of regulation 53);

(ii)any law enforcement authority; and

(iii)any overseas authority (within the meaning of regulation 50(4))

(b)for ensuring that the self-regulatory organisation responds fully and rapidly to any request from an authority referred to in paragraph (a)(i) or (ii) for information about any person it supervises, whether that request concerns an application by that person for registration or any other matter.

Full captured verbatim text

(1) Self-regulatory organisations must make arrangements to ensure that—

(a) their supervisory functions are exercised independently of any of their other functions which do not relate to disciplinary matters;

(b) sensitive information relating to the supervisory functions is appropriately handled within the organisation;

(c) they employ only persons with appropriate qualifications, integrity and professional skills to carry out the supervisory functions;

(d) contravention of a relevant requirement by a relevant person they are responsible for supervising renders that person liable to effective, proportionate and dissuasive disciplinary measures under their rules;

(e) potential conflicts of interest within the organisation are appropriately handled.

(2) Self-regulatory organisations must—

(a) provide adequate resources to carry out the supervisory functions;

(b) appoint a person to monitor and manage the organisation's compliance with its duties under these Regulations.

(3) The person appointed under paragraph (2)(b) is to be responsible—

(a) for liaison with—

(i) another supervisory authority or a registering authority (within the meaning of regulation 53);

(ii) any law enforcement authority; and

(iii) any overseas authority (within the meaning of regulation 50(4))

(b) for ensuring that the self-regulatory organisation responds fully and rapidly to any request from an authority referred to in paragraph (a)(i) or (ii) for information about any person it supervises, whether that request concerns an application by that person for registration or any other matter.

What this provision means

Model summary, checked against the text on the left.

Relevance to Signicat: 1/3 · detailed summary (L4) Status: not needed for a short provision · Stored artifact; current recipe verification unavailable

Self-regulatory organisations must ensure independent supervisory functions, allocate adequate resources, and appoint a compliance liaison lead.

Only the one-line summary above is stored for this provision; the text itself is the evidence.

Refers to

cross-reference internal_cite · reg. 50

cross-reference internal_cite · reg. 53

Referred to by

No captured references.

Part summaries

0 of 0 parts have a verified summary.

L1 unavailable for current verification: the overall summary needs every part verified. Provisions and the verified summaries remain readable.

Verification findings (348)

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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 1 Duties of supervisory authorities
Version: c5a0271554697d8359bede8a…
Content hash: sha256 fdc3bbf15b5ffcdc7980f122…
Source: legislation.gov.uk/uksi/2017/692