MLR1PP14500 - Penalties guidance: How to issue failure to register penalties: Quick guide

Regulation 26 - Failure to be registered and Regulation 33 - Failure to register within 6 months. Registration application received.

  • issue Pre-Penalty Notice where a business has failed to register with us on time. (When considering a penalty, refer to the fixed sums shown at MLR1PP9410)
  • if you receive application and additional details within 30 days (from the date of Registration Pre Penalty Notice) consider if the penalty is still appropriate or whether it should be amended/no longer issued.

  • 31 days after - Follow up pre-penalty notice by issuing appropriate penalty notice which will be one of the following:

  • original penalty as notified in ‘Registration Pre-Penalty Notice’
  • reduced penalty
  • letter explaining that penalty will not be issued

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Regulation 26 - Failure to be registered and Regulation 33 - Failure to register within 6 months. Registration application not received.

  • issue Pre-Penalty Notice where a business has failed to register
  • if you receive application and additional details within 30 days (from the date of the Registration Pre-penalty Notice) consider if the penalty is still appropriate or whether it should be amended/no longer issued.
  • If application not received - Issue a penalty in the sum of £1000.(see MLR1PP9420) advising the business that if they submit an acceptable application to register within 30 days, the penalty will be recalculated on the basis used for prompted disclosure i.e. £500 plus the amount of any unpaid fees. (see MLR1PP9410)
  • If application still not received - Consider whether criminal investigation is appropriate where failure to register continues.