Regulation 69 Offences

(1)

A person commits an offence if the person—

(a)

contravenes regulation 7;

(b)

is an authorised person and fails to comply with regulation 8;

(c)

fails to comply with or contravenes a general binding rule;

(d)

fails to comply with or contravenes a condition of a registration;

(e)

fails to comply with or contravenes a condition of a permit;

(f)

fails to comply with the requirements of a regulatory notice;

(g)

fails to comply with the requirements of a revocation notice;

(h)

fails to comply, without reasonable excuse, with the requirements of a notice issued under regulation 37(1) (power to require provision of information);

(i)

fails to comply with an order made by a court under regulation 75;

(j)

makes a statement which that person knows to be false or misleading in a material particular, or recklessly makes a statement which is false or misleading in a material particular, if the statement is made—

(i)

in purported compliance with a requirement by an enforcing officer in exercise of that officer’s powers or duties;

(ii)

in purported compliance with a requirement imposed by or under these Regulations; or

(iii)

for the purpose of obtaining an authorisation, or securing the variation, transfer or surrender of an authorisation;

(k)

intentionally makes a false entry in any record required to be kept—

(i)

as a condition of an authorisation; or

(ii)

in compliance with a requirement imposed by or under these Regulations;

(l)

with intent to deceive, forges or uses an authorisation or a document issued or authorised to be issued under a condition of a registration or permit or required for any purpose under a condition of such a registration or permit or makes or possesses a document so closely resembling any such authorisation or document so as to be likely to deceive; or

(m)

causes or permits any other person to commit an offence under sub-paragraphs (a) to (k).

(2)

A person commits an offence if the person—

(a)

refuses, wilfully neglects, or fails without reasonable excuse to attend a hearing which they are required to attend by a notice under paragraph 23 of schedule 4 to give evidence;

(b)

wilfully alters, suppresses, conceals, destroys or refuses to produce any book or other document which the person is required, or is liable to be required, to produce by a notice under paragraph 23 of schedule 4; or

(c)

causes or permits any other person to commit an offence under sub-paragraph (a) or (b).

(3)

A person who commits an offence under paragraph (1) is liable—

(a)

on summary conviction—

(i)

to a fine not exceeding £40,000 or to imprisonment for a term not exceeding 12 months, or to both; and

(ii)

in the case of a continuing offence, to a further fine not exceeding £250 for every day during which the offence is continued after conviction;

(b)

on conviction on indictment—

(i)

to a fine or to imprisonment for a term not exceeding 5 years, or to both; and

(ii)

in the case of a continuing offence to a further fine not exceeding £1,000 for every day during which the offence is continued after conviction.

(4)

A person who commits an offence under paragraph (2) is liable on summary conviction to a fine not exceeding level 2 on the standard scale or to imprisonment for a term not exceeding three months, or to both.