Paragraph 5 Conditions relating to enforcement

(1)

The scheme must provide that—

(a)

where the responsible individual reasonably suspects that a scheme member has failed to comply with the scheme, a redress order or any other decision made under the scheme, the responsible individual may—

(i)

take enforcement action in accordance with the scheme;

(ii)

make an order requiring the member to take a specified action within a specified period (“an enforcement order”);

(b)

before taking enforcement action or making an enforcement order, the responsible individual must consider—

(i)

any reasonable excuse for the member’s failure to comply raised by the member, and

(ii)

whether the enforcement action or enforcement order is in the public interest.

(2)

The scheme must include provision setting out a process for assessing and responding to scheme members’ non-compliance.