The Financial Assistance Scheme (Appeals) Regulations 2005

Restriction on use of documents and information provided for investigations U.K.

28.—(1) It is a condition of the supply or making available for inspection of any document or other information under these Regulations that any person to whom it is supplied or made available for inspection may only use it—

(a) for the purposes of the appeal; or

(b) if the Ombudsman proposes to exercise, or has exercised, his power to combine appeals under regulation 25(1), (2) or (3), for the purposes of any other appeal which is combined with the appeal to which the information or document relates.

(2) The Ombudsman must not disclose any information which he obtains for the purposes of the investigation of matters arising on an appeal under these Regulations unless the disclosure is to—

(a) a person or body specified in paragraph (3) and the Ombudsman considers that disclosure would enable or assist that person or body to discharge the functions of that person or body; or

(b) a person specified in paragraph (4) and the Ombudsman considers that disclosure is necessary to enable the Ombudsman to carry out his functions under these Regulations.

(3) The persons or bodies specified in this paragraph are—

(a) the scheme manager;

(b) the High Court or the Court of Session (where a question of law arising out of an appeal has been referred to it) M1 ;

(c) the Regulator;

(d) the Board;

(e) the Pensions Ombudsman M2 ;

(f) the Financial Services Authority M3 ;

(g) any government department (including a Northern Ireland department);

(h) a person appointed under—

(i) section 167 of the Financial Services and Markets Act 2000 M4 (appointment of persons to carry out general investigations),

(ii) section 168(3) or (5) of that Act (appointment of persons to carry out investigations in particular cases), or

(iii) section 284 of that Act (power to investigate),

to conduct an investigation;

(i) an inspector appointed under Part 14 of the Companies Act 1985 M5 (investigation of companies and their affairs; requisition of documents) or under Part 15 of the Companies (Northern Ireland) Order 1986 M6 (investigation of companies and their affairs; requisition of documents);

(j) a body designated under section 326(1) of the Financial Services and Markets Act 2000 (designation of professional bodies);

(k) a recognised investment exchange or recognised clearing house (as defined by section 285 of that Act (exemption for recognised investment exchanges and clearing houses)); and

(l) a member of the Council on Tribunals or a member of the Scottish Committee of the Council on Tribunals.

(4) The persons specified in this paragraph are—

(a) the scheme manager;

(b) an appellant, or, if applicable, the appellant's representative;

(c) any interested person in relation to an appeal; and

(d) any person providing an expert opinion, or other evidence, in connection with an appeal.

Marginal Citations

M1 See section 215 of the Act as modified by regulation 3(4), and applied, as modified, by regulation 2, of S.I. 2005/3256.

M2 The Pensions Ombudsman is appointed under section 145(2) of the Pension Schemes Act 1993 (c. 48), as amended by section 274(1) of the Act.

M3 The Financial Services Authority has the functions conferred on it by the Financial Services and Markets Act 2000 (c. 8) (see section 1 of that Act).

M4 2000 c. 8.

M5 1985 c. 6; see in particular sections 431 (as amended by S.I. 2003/1116 and modified by S.I. 2001/1090) and 432 (as amended by section 55 of the Companies Act 1989 (c. 40) and modified by S.I. 2001/1090).

M6 S.I. 1986/1032 (N.I. 6); see in particular Articles 424 (as amended by S.R. 2004 No. 275 and modified by S.R. 2004 No. 307) and 425 (as amended by Article 3 of the Companies (No. 2) (Northern Ireland) Order 1990 (S.I. 1990/1504 (N.I. 10)) and modified by S.R. 2004 No. 307).