# The Compensation (Claims Management Services) Regulations 2006 (revoked) S.I. 2006/3322 · made 12 December 2006 · revised to 1 April 2019 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PDFs: Printed copy https://openlegislation.uk/compensation-claims-management-services-regulations-2006-revoked/pdf/uksi_20063322_en.pdf; Explanatory Memorandum https://openlegislation.uk/compensation-claims-management-services-regulations-2006-revoked/pdf/uksiem_20063322_en.pdf ## Introductory text Consumer Protection, England and Wales Made 12th December 2006 Coming into force in accordance with regulation 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part 1: Preliminary ## 1 Citation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 Commencement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 4 Documents in electronic form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 5 Use of electronic communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part 2: Waiver of requirement for authorisation ## 6 Circumstances in which Regulator may waive requirement for authorisation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 7 Conditions on waiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part 3: Grant of authorisations ## 8 Application for authorisations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 9 Payment of application fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 10 Decisions about authorisations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 11 Time for deciding applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 12 Conditions of authorisation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 13 Grant and refusal of authorisations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 14 Surrender of authorisations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 14A Notice lifting a restriction on surrender . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part 4: Fees ## 15 Determination of fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 16 Amendment etc of fees determination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 17 Invoicing for fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 18 Payment of fees by cheque . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 19 Refund etc of fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 20 Cancellation for non-payment of fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part 5: Indemnity insurance ## 21 Definitions for this Part . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 21A Requirement to have professional indemnity insurance for persons who provide representation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 21B Minimum terms of professional indemnity insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part 6: Rules and codes of practice ## 22 Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 23 Matters that the rules may cover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 24 Codes of practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 25 Amendment etc of rules or code of practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 26 Charge for supply of copies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 27 Redress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part 7: Information and Directions ## 28 Review by the Regulator of complaint handling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 28A Power to share information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 29 Directions of the Regulator about complaints handling and related matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part 8: Routine audit ## 30 Routine inspection of records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part 9: Investigation ### Chapter 1: Preliminary ## 31 Definitions for this Part . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 2: Investigation—offences by unauthorised persons ## 32 Investigation of offences against section 4(1) of Act: requirement to provide information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 33 Requirements for information under section 8(4) of Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 34 Search warrants under section 8 of the Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 3: Investigation—failures by authorised persons to comply with conditions of authorisation ## 35 Regulator to investigate complaints or suspicions of unprofessional conduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 36 Breaches by authorised persons of condition: requirement to provide information etc . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 37 Search warrants for purposes of investigation of professional conduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 4: Search warrants generally ## 38 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 39 Application generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 40 Issue of warrants generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 41 Search warrants—form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 42 Execution of warrants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 43 Copying of documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 44 Record to be given of records copied . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 44A Record to be given of records seized . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 45 Retention of copies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part 10: Cancellation, suspension and variation of authorisations ## 46 Cancellation etc of authorisations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 47 Procedure for cancellation etc . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part 11: FINANCIAL PENALTIES ## 48 Requirement to pay a penalty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 49 Determining the amount of a penalty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 50 Relevant turnover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 51 Notice of proposed penalty and written submissions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 52 Procedure for requiring an authorised person to pay a penalty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 53 Treatment of unpaid penalty as a debt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 54 Treatment of income from penalties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 55 Service of notices under this Part . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Signature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Explanatory note . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . --- Source: https://www.legislation.gov.uk/uksi/2006/3322 (the official version) Page: https://openlegislation.uk/compensation-claims-management-services-regulations-2006-revoked Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.