Paragraph 28 Guidance as to use of civil sanctions

United Kingdom

(1)

The market surveillance authority must publish guidance about its use of civil sanctions.

(2)

The market surveillance authority must revise and update the guidance where appropriate.

(3)

The market surveillance authority must have regard to the guidance or revised and updated guidance in exercising its functions.

(4)

In the case of guidance about compliance notices, stop notices, variable monetary penalties and non-compliance penalties the guidance must contain information as to—

(a)

the circumstances in which the civil sanction is likely to be imposed; and

(b)

the circumstances in which it is not likely to be imposed.

(5)

In the case of guidance about variable monetary penalties and non-compliance penalties, the guidance must contain information about—

(a)

the matters likely to be taken into account by the market surveillance authority in determining the amount of the penalty (including voluntary reporting by a person of their own non-compliance); and

(b)

rights to make representations and objections and rights of appeal.

(6)

In the case of guidance about enforcement undertakings the guidance must contain information as to—

(a)

the circumstances in which the market surveillance authority is likely to accept an enforcement undertaking; and

(b)

the circumstances in which the market surveillance authority is not likely to accept an enforcement undertaking.