ECSH47532 - Refusing an application for registration: Contents : Refusing registration: Operational guidance: The refusal process
When refusing a business’ application for registration, the authorisations Decision Maker (DM) will:
- Send a notice to refuse letter via post to the registered office address as appropriate. If the business has accepted email protocol, a PDF copy of the Notice letter can also be sent to it via email.
- If the business is an Accountancy Service Provider (ASP), the DM will send an email to HMRC’s agent maintainer team to advise the team that the ASP has been refused. The agent maintainer team are responsible for the provision and management of ASP agent codes.
- Send a secure communication to the business’ government gateway account advising that its application for registration has been refused.
For further details see the SWIs in Economic Crime - Supervision (EC-S) Knowledge Library under the heading 2900 SWI.
Refusal process: fit and proper sectors:
When refusing a business’ application for registration, the authorisations fit and proper (F&P) DM will:
- Send a notice to refuse letter via post to the registered office address as appropriate. If the business has accepted email protocol, a PDF copy of the notice letter can also be sent to it via email.
- Send F&P determination letters to all beneficial owners, officers, or managers (BOOMs) who have failed the F&P test via post. F&P determination letters can be found in the EC-S Knowledge Library in the folder 2004 F&P Determinations. If the BOOM has accepted email protocol, a copy of the determination letter can also be sent to them via email.
- Send a secure communication to the business’ government gateway account advising that its application for registration has been refused.
- If the business is a Money Service Business (MSB) agent and the business or its BOOMs have been refused due to failing the F&P test, the F&P DM should also send a notice to its MSB principal, informing the principal that its agent has failed the F&P test. Further guidance on contacting an MSB principal is available in ECSH47535.
- If the business is a MSB providing money transmission services, the DM will send an email to the EC-S gateway team who will inform the Financial Conduct Authority (FCA) that its application for registration has been rejected. Further guidance on contacting the FCA when refusing a money transmitter is available in ECSH47534.
For further details see the SWIs in EC-S Knowledge Library under the heading 2900 SWI.