UK annual return for supervisors Information current as at: Reporting period used: Supervisor name: Date appointed supervisor: Sectors supervised: If more than one sector repeat this table for each sector – 2007 2008 2009 2010 2011 2012 2013 2014 2015 Number of Firms No of individuals Firm demographic the size or turnover of firms in your sector varies or is otherwise information relevant to risk assessments provide a breakdown of the sector by the – most relevant feature to help provide context. Also outline the proportion of which firms are solely UK based or part of an international group (i.e. have branches / subsidiaries / parents in other jurisdiction) Services provided by supervised population Authority to supervise In addition to the MLR - what legislation, charter, code of conduct and governance and provides the supervisor with authority over their supervised population operational structure or note that powers are solely based on the MLR. Resources applied to AML/CFT compliance (including FTE and spend) Is this function AML specific or integrated if it is integrated, explain – how this integration works. What is the governance structure for the supervisory role Outline briefly any plans’ etc in place to change or improve ‘action approach to or resources for supervision (attach annex where relevant) AML/CFT threats to and Outline what you see as the key reasons / products / services that make vulnerabilities of the your sector attractive to money laundering and terrorist financing sector including any UK or regional specific factors. [Please also note any nuclear proliferation financing threats or vulnerabilities] Outline any aspects of your sector that you consider to be low risk.
UK annual return for supervisors Information current as at: Reporting period used: Supervisor name: Date appointed supervisor: Sectors supervised: If more than one sector – repeat this table for each sector 2007 2008 2009 2010 2011 2012 2013 2014 2015 Number of Firms No of individuals Firm demographic information the size or turnover of firms in your sector varies or is otherwise relevant to risk assessments – provide a breakdown of the sector by the most relevant feature to help provide context. Also outline the proportion of which firms are solely UK based or part of an international group (i.e. have branches / subsidiaries / parents in other jurisdiction) Services provided by supervised population Authority to supervise and governance and operational structure In addition to the MLR - what legislation, charter, code of conduct provides the supervisor with authority over their supervised population or note that powers are solely based on the MLR. Resources applied to AML/CFT compliance (including FTE and spend) Is this function AML specific or integrated – if it is integrated, explain how this integration works. What is the governance structure for the supervisory role Outline briefly any ‘action plans’ etc in place to change or improve approach to or resources for supervision (attach annex where relevant) AML/CFT threats to and vulnerabilities of the sector Outline what you see as the key reasons / products / services that make your sector attractive to money laundering and terrorist financing including any UK or regional specific factors. [Please also note any nuclear proliferation financing threats or vulnerabilities] Outline any aspects of your sector that you consider to be low risk.
UK_annual_return_for_supervisors.docx