reg 46A Annual reports by self-regulatory organisations
A self-regulatory organisation must publish or make arrangements to publish an annual report containing information about— (a) measures taken by the self-regulatory organisation to encourage the reporting of actual or potential breaches as referred to in regulation 46(2)(e); (b) the number of reports of actual or potential breaches received by that self-regulatory organisation as referred to in regulation 46(2)(e); (c) 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— (i) Part 3 (customer due diligence); (ii) Part 3 of the Terrorism Act 2000 (terrorist property) and Part 7 of the Proceeds of Crime Act 2002 (money laundering) ; (iii) regulation 40 (record-keeping); and (iv) regulations 20 to 24 (policies and controls etc.).