ECSH64000 - Regulation 57 - Applications for registration in a register maintained under regulations 54 and 55

Category Heading	Description
The Law	https://www.legislation.gov.uk/uksi/2017/692/regulation/57
What it means	When applying for registration, there is specific information that businesses must provide and update if appropriate
Purpose	This regulation details the information that must be provided or is required in a new application to be on a register under Regulation 54 (HVD, MSB, TCSP) or 55 (AMP, ASP, BPSP, EAB, LAB, TDITPSP).
Time Line	Applications for registration were covered in Regulation 27 of MLR2007.
What to establish	Has the applicant completed all relevant boxes on its application? - 57(1). Information required on the application includes names, address, nominated officer details, nature of business/ sector, business’s agents’ details (if an MSB), details of other supervisors, any Sch 3 offences or information that shows how the business is meeting its requirements with the regulations. - 57(2). This also includes a risk assessment- this is shown as a yes or no question on the application and if answered no we can assume they do not have a risk assessment. The application also requires supplementary information such as turnover, throughput etc For most applications, these will be completed and filed online through ETMP, however, large traders still are able to provide manual paper application but the above still applies. If further information is required, HMRC can request this and allow 21 days for this to be provided. - 57(3) If a Reg57(3) Notice to Provide Information is issued to the business, it must provide the information required. Ensure any information you are requiring is relevant to your case and decision. Failure to provide this information can result in the registration being refused. Where the information either on the application or provided under 57(3), has had a material change or it becomes apparent the application/ information contains an inaccuracy, HMRC must be notified of the change, or the business must correct the inaccuracy within 30 days of the change/discovery of inaccuracy. - 57(4) The obligations under 57(4) also apply to any supplementary information provided. - 57(5). Material changes could include a change of address or change of BOOMs. An inaccuracy could be anything provided on the application such as addresses, reference numbers or trading sectors. Any information provided to HMRC under Reg 57 must be in the manor we specify. -57(6). This includes the application being made online (large traders are still able to file a paper application if they wish) or can include information/documents we require under 57(3) to be in a specific format.
How to test compliance and evidence to obtain	Most of the information will be completed on the application and can be checked against other sources, i.e. Companies House for details of Registered Office, Directors and Beneficial owners, can help verify accuracy. Where additional information is required, a formal notice to provide this can be issued under 57(3), allowing 21 days for it to be provided. There are templates for these Notices. Information required under 57(3) only applies to the business/applicant itself and not any of the BOOMs. If information is needed from a BOOM (for example in relation to the fit and proper test), a letter requesting this information can be issued but this is not a requirement for them to provide it under 57. When a business provides information required, you are able to issue further Notices under 57(3) to require further information or ask further questions if needed. Penalties for failure to update HMRC may be applied if appropriate.
Scenario	A relevant business applies for registration with HMRC. It submits its online application and provides the specified information as required by regulation 57(1) (i.e any information that is specified on the online application). Upon reviewing the application, a caseworker considers it necessary to require further information from the business. The caseworker issues a Notice to provide Information under regulation 57(3), giving the business 21 days to provide the information required. Later, the business updated Companies House to show that they have a new director. As this is a material change to the business (and to the information provided on the application for registration), the business must provide HMRC with the details of the new director within 30 days as per regulation 57(4)(a) and update its online registration to add the new director as a responsible person.
Best Practice	If there are missing BOOMs from the application of an MSB or TCSP, this would be a failure to comply with 57(1) as 57(2)(h) specifies that they must provide these details. However, for the other sectors, as this is not specified, a failure to provide BOOMs would fall under Reg 26 (approvals). If the business is already registered (including auto-expired cases which have not been formally cancelled), information would be requested under Regulation 66 instead of Regulation 57(3).
AMP	No additional Best Practice.
ASP	No additional Best Practice.
EAB	No additional Best Practice.
LAB	No additional Best Practice.
HVD	No additional Best Practice.
MSB	No additional Best Practice.
TCSP	No additional Best Practice.
Further Reading	Regulation 59 - Determination of applications for registration Regulation 66 - Power to require information ECS Handbook – ECSH 82800
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