ECSH32615 - Face to Face visits

Compliance interventions may be carried out face to facewhich enablesyou to see how a business operates and to talk to the relevant people in the business. This will help you to determine what information and level of checking is needed to establish the business’s compliance with the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017). 

Where you are conducting an announced visit, whereby you give prior notice of the visit to the business, you should follow the guidance for initial contact [ECSH 32800 Initial contact].  

Sometimes it is necessary to carry out a visit without giving prior notice. You should follow the guidance for unannounced visits [ECSH 32620 Unannounced visits]. 

You must plan your visit to make effective use of your time on the business premises following [ECSH 32900, Planning the intervention].  

A visit will usually involve observing the carrying on of the business activities and an examination of business records [ECSH 33700 Records testing]. You may also inspect the premises and any cash found on it, where appropriate to do so. These checks are usually carried out with the business’s consent, although you can use powers afforded by MLR 2017 - see ECSH70000 Powers for more details.  

(This content has been withheld because of exemptions in the Freedom of Information Act 2000)

For guidance on arranging a visit, see ECSH 32840 Arranging a visit. 

If you intend to change the intervention approach set out in the PID, for example escalation of a DBI to a face-to-face visit or de-escalation of a face-to-face visit to a DBI, follow the guidance set out under the subheading “The intervention approach” in [ECSH 32600 Types of intervention]. Any divergence from the planned approach will require escalation through the senior officer and authorisation by the G7 Compliance Leads.