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The Compensation (Claims Management Services) (Amendment) Regulations 2014
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- UK Statutory Instruments
- 2014 No. 3239
- Regulation 3
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3.—(1) A restriction on surrender under regulation 14(3) of the 2006 Regulations only applies where the act or omission that gives rise to the investigation of which the authorised person is given notice takes place on or after the date regulation 2(4) comes into force.
(2) A restriction on surrender under regulation 14(4) of the 2006 Regulations only applies where the act or omission that gives rise to the notice under regulation 36 of the 2006 Regulations takes place on or after the date regulation 2(4) comes into force.
(3) A restriction on surrender under regulation 14(5) of the 2006 Regulations only applies where the alleged failure to comply with a condition of authorisation takes place on or after the date regulation 2(4) comes into force.
(4) The power of the Regulator to require an authorised person to pay a penalty under Part 11 of the 2006 Regulations (as inserted by regulation 2(6) of these Regulations) only applies to an act or omission that takes place on or after the date regulation 2(6) comes into force.
(5) For the purpose of paragraph (4), if an act or omission starts before the date regulation 2(6) comes into force but continues on or after that date the Regulator may require an authorised person to pay a penalty only in relation to so much of the act or omission as takes place on or after the date regulation 2(6) comes into force.
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