Paragraph 35 Guidance as to use of civil sanctionsI1

United Kingdom

(1)

The regulator must publish guidance about its use of civil sanctions.

(2)

The regulator must revise and update the guidance where appropriate.

(3)

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

(4)

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

(a)

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

(b)

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

(c)

where relevant, rights to make representations and objections;

(d)

rights of appeal; and

(e)

in the case of guidance about variable monetary penalties and non-compliance penalties, the matters likely to be taken into account by the regulator in determining the amount of the penalty (including voluntary reporting by a person of the person's own non-compliance).

(5)

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

(a)

the circumstances in which the regulator is likely to accept an enforcement undertaking; and

(b)

the circumstances in which the regulator is not likely to accept an enforcement undertaking.

Annotations

Commencement

I1: Sch. 3 para. 35 in force at 1.12.2019, see art. 1(1)