Section 46A

A self-regulatory organisation must publish or make arrangements to publish an annual report containing information about— measures taken by the self-regulatory organisation to encourage the reporting of actual or potential breaches as referred to in regulation 46(2)(e); the number of reports of actual or potential breaches received by that self-regulatory organisation as referred to in regulation 46(2)(e); the number and description of measures carried out by the self-regulatory organisation to monitor, and enforce, compliance by relevant persons with their obligations under— Part 3 (customer due diligence); Part 3 of the Terrorism Act 2000 (terrorist property) and Part 7 of the Proceeds of Crime Act 2002 (money laundering) ; regulation 40 (record-keeping); and regulations 20 to 24 (policies and controls etc.).

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Source: legislation.gov.uk · retrieved 2026-09-04