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HMRC internal manual

MLR1 Penalties Guidance

Penalties guidance: other related breaches

Other customer due diligence measures:

  • Regulation 31 – failure to cease transactions where a relevant person is unable to apply customer due diligence measures

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Other breaches:

  • Regulation 24 – failure to take appropriate measures to ensure relevant employees are trained, made aware of the law relating to money laundering and terrorist financing, data protection requirements and to maintain a written record of the measures taken to train relevant employees

Registration breaches: {#}

  • Regulation 56 (1) and (5) failure of a relevant person to be included in the appropriate register
  • Regulation 57(1) - failure to provide the specified information at registration
  • Regulation 57(4) failure to notify changes affecting registration or subsequent information within the specified time.
  • Regulation 57 –failure to comply with a requirement imposed by a registering authority

See MLR1PP9400 

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