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

78 Power to impose civil penalties: prohibitions on management

reg. 78 · in force: yes

Captured statutory text (L5)

78 Power to impose civil penalties: prohibitions on management

(1)Paragraph (2) applies if a designated supervisory authority considers that another person who was at the material time an officer of P was knowingly concerned in a contravention of a relevant requirement by P.

(2)The designated supervisory authority may impose one of the following measures on the person concerned—

(a)a temporary prohibition on the individual concerned holding an office or position involving responsibility for taking decisions about the management of a relevant person or a payment service provider (“having a management role”);

(b)a permanent prohibition on the individual concerned having a management role.

(3)A prohibition may be expressed to expire at the end of such period as the designated supervisory authority may specify, but the imposition of a prohibition under paragraph (2)(a) that expires at the end of a specified period does not affect the designated supervisory authority's power to impose a new prohibition under paragraph (2)(a).

(4)A prohibition imposed under paragraph (2) may be expressed to be a prohibition on an individual having a management role in—

(a)a named relevant person or payment service provider;

(b)a relevant person or payment service provider of a description specified by the designated supervisory authority when the prohibition is imposed; or

(c)any relevant person or payment service provider.

(5)A relevant person or payment service provider must take reasonable care to ensure that no individual who is subject to a prohibition under paragraph (2) on having a management role with that relevant person or payment service provider is given such a role, or continues to act in such a role.

Full captured verbatim text

(1) Paragraph (2) applies if a designated supervisory authority considers that another person who was at the material time an officer of P was knowingly concerned in a contravention of a relevant requirement by P.

(2) The designated supervisory authority may impose one of the following measures on the person concerned—

(a) a temporary prohibition on the individual concerned holding an office or position involving responsibility for taking decisions about the management of a relevant person or a payment service provider (“having a management role”);

(b) a permanent prohibition on the individual concerned having a management role.

(3) A prohibition may be expressed to expire at the end of such period as the designated supervisory authority may specify, but the imposition of a prohibition under paragraph (2)(a) that expires at the end of a specified period does not affect the designated supervisory authority's power to impose a new prohibition under paragraph (2)(a).

(4) A prohibition imposed under paragraph (2) may be expressed to be a prohibition on an individual having a management role in—

(a) a named relevant person or payment service provider;

(b) a relevant person or payment service provider of a description specified by the designated supervisory authority when the prohibition is imposed; or

(c) any relevant person or payment service provider.

(5) A relevant person or payment service provider must take reasonable care to ensure that no individual who is subject to a prohibition under paragraph (2) on having a management role with that relevant person or payment service provider is given such a role, or continues to act in such a role.

What this provision means

Model summary, checked against the text on the left.

Relevance to Signicat: 2/3 · detailed summary (L4) Status: not needed for a short provision · Stored artifact; current recipe verification unavailable

Supervisory authorities may impose management prohibitions on officers knowingly concerned in contraventions, and firms must ensure prohibited individuals hold no management roles.

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

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 · reg. 99

cross-reference internal_cite · Sch. 6 para. 12

Part summaries

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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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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 6848bd12a64e55f777f4771b…
Source: legislation.gov.uk/uksi/2017/692