Money Laundering, Terrorist Financing and Transfer of Funds... · CHAPTER 2 Civil penalties and notices

77 Power to impose civil penalties: suspension and removal of authorisation

reg. 77 · in force: yes

Captured statutory text (L5)

77 Power to impose civil penalties: suspension and removal of authorisation

(1)Paragraph (2) applies if the FCA is satisfied that a relevant person or a payment service provider has—

(a)repeatedly or systematically failed to include the information it is required to include on the payer or the payee under Articles 4, 5 or 6 of the funds transfer regulation;

(b)failed to implement effective risk-based procedures in breach of Articles 8 or 12 of the funds transfer regulation;

(c)failed to comply with Articles 11, 12 or 16 of the funds transfer regulation, where the failure is a serious one;

(d)repeatedly or systematically failed to retain records in breach of Article 16 of the funds transfer regulation; or

(e)failed to comply with a relevant requirement.

(2)The FCA may take one or more of the measures set out in sub-paragraphs (a) and (b)—

(a)to cancel or suspend, for such period as it considers appropriate—

(i)any permission which an authorised person has to carry on a regulated activity;

(ii)the authorisation of a payment service provider as an authorised payment institution under the Payment Services Regulations 2017;

(iii)the registration of a payment service provider as a small payment institution under the Payment Services Regulations 2017;

(iv)the authorisation of a payment service provider as an authorised electronic money institution under the Electronic Money Regulations 2011 ; or

(v)the registration of a payment service provider as a small electronic money institution under the Electronic Money Regulations 2011;

(b)to impose, for such period as it considers appropriate, such limitations or other restrictions as it considers appropriate—

(i)in relation to the carrying on of a regulated activity by an authorised person;

(ii)on the authorisation of a payment service provider as a payment institution under the Payment Services Regulations 2017;

(iii)on the registration of a payment service provider as a small payment institution under the Payment Services Regulations 2017;

(iv)on the authorisation of a payment service provider as an electronic money institution under the Electronic Money Regulations 2011; or

(v)on the registration of a payment service provider as a small electronic money institution under the Electronic Money Regulations 2011.

(3)In paragraph (2)—

(a)“permission” means any permission that the authorised person has, whether given (or treated as given) under Part 4A of FSMA ;

(b)“regulated activity” has the meaning given by section 22 of FSMA ).

(4)The period for which a suspension, limitation or other restriction is to have effect may not exceed 12 months.

(5)A suspension may relate only to the carrying on of an activity in circumstances specified by the FCA when the suspension is imposed.

(6)A restriction may, in particular, be imposed so as to require the person concerned to take, or refrain from taking, specified action.

(7)The FCA may—

(a)withdraw a suspension, limitation or other restriction; or

(b)vary a suspension, limitation or other restriction so as to reduce the period for which it has effect or otherwise to limit its effect.

(8)For the purposes of this regulation, “appropriate” means effective, proportionate and dissuasive.

Full captured verbatim text

(1) Paragraph (2) applies if the FCA is satisfied that a relevant person or a payment service provider has—

(a) repeatedly or systematically failed to include the information it is required to include on the payer or the payee under Articles 4, 5 or 6 of the funds transfer regulation;

(b) failed to implement effective risk-based procedures in breach of Articles 8 or 12 of the funds transfer regulation;

(c) failed to comply with Articles 11, 12 or 16 of the funds transfer regulation, where the failure is a serious one;

(d) repeatedly or systematically failed to retain records in breach of Article 16 of the funds transfer regulation; or

(e) failed to comply with a relevant requirement.

(2) The FCA may take one or more of the measures set out in sub-paragraphs (a) and (b)—

(a) to cancel or suspend, for such period as it considers appropriate—

(i) any permission which an authorised person has to carry on a regulated activity;

(ii) the authorisation of a payment service provider as an authorised payment institution under the Payment Services Regulations 2017;

(iii) the registration of a payment service provider as a small payment institution under the Payment Services Regulations 2017;

(iv) the authorisation of a payment service provider as an authorised electronic money institution under the Electronic Money Regulations 2011 ; or

(v) the registration of a payment service provider as a small electronic money institution under the Electronic Money Regulations 2011;

(b) to impose, for such period as it considers appropriate, such limitations or other restrictions as it considers appropriate—

(i) in relation to the carrying on of a regulated activity by an authorised person;

(ii) on the authorisation of a payment service provider as a payment institution under the Payment Services Regulations 2017;

(iii) on the registration of a payment service provider as a small payment institution under the Payment Services Regulations 2017;

(iv) on the authorisation of a payment service provider as an electronic money institution under the Electronic Money Regulations 2011; or

(v) on the registration of a payment service provider as a small electronic money institution under the Electronic Money Regulations 2011.

(3) In paragraph (2)—

(a) “permission” means any permission that the authorised person has, whether given (or treated as given) under Part 4A of FSMA ;

(b) “regulated activity” has the meaning given by section 22 of FSMA ).

(4) The period for which a suspension, limitation or other restriction is to have effect may not exceed 12 months.

(5) A suspension may relate only to the carrying on of an activity in circumstances specified by the FCA when the suspension is imposed.

(6) A restriction may, in particular, be imposed so as to require the person concerned to take, or refrain from taking, specified action.

(7) The FCA may—

(a) withdraw a suspension, limitation or other restriction; or

(b) vary a suspension, limitation or other restriction so as to reduce the period for which it has effect or otherwise to limit its effect.

(8) For the purposes of this regulation, “appropriate” means effective, proportionate and dissuasive.

What this provision means

Model summary, checked against the text on the left.

Relevance to Signicat: 2/3 · detailed summary (L4) Status: ok · Stored artifact; current recipe verification unavailable

The FCA may cancel or suspend authorisations, permissions, or registrations, or impose restrictions for up to 12 months for specified regulatory failures.

(1) Paragraph (2) applies if the FCA is satisfied that a relevant person or a payment service provider has—

(2) The FCA may take one or more of the measures set out in sub-paragraphs (a) and (b)—

(4) The period for which a suspension, limitation or other restriction is to have effect may not exceed 12 months.

The FCA may cancel or suspend permissions, authorisations, or registrations, or impose limitations or restrictions for up to 12 months on an authorised person or payment service provider under (2) where satisfied under (1) that the entity failed regarding payer or payee information, risk-based procedures, record retention under the funds transfer regulation, or contravened a relevant requirement.

retention.archivemonitoring.transactions_aml

Refers to

No captured references.

Referred to by

cross-reference internal_cite · reg. 79

cross-reference internal_cite · reg. 8

cross-reference internal_cite · reg. 81

cross-reference internal_cite · reg. 82

cross-reference internal_cite · reg. 83

cross-reference internal_cite · reg. 93

cross-reference internal_cite · Sch. 6 para. 1

cross-reference internal_cite · Sch. 6 para. 12

Part summaries

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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: CHAPTER 2 Civil penalties and notices
Version: c5a0271554697d8359bede8a…
Content hash: sha256 1525151d6c0383dfa3a32780…
Source: legislation.gov.uk/uksi/2017/692