1. Introductory Text

  2. PART 1 General

    1. 1.Citation and commencement

    2. 2.Interpretation

    3. 3.Regulated person

    4. 4.REMIT requirement

    5. 5.Application to the Crown etc

    6. 6.Service of Notices

  3. PART 2 Functions of the Authority

    1. 7.Authority's general functions

  4. PART 3 Information and Investigations

    1. Obligation to record and retain records

      1. 8.Obligation to record and retain records

    2. Power to require information: regulated persons etc

      1. 9.Authority's power to require information: regulated persons etc

    3. Investigations

      1. 10.Power of Authority to investigate

      2. 11.Authority's power to require information

      3. 12.Authority's power to summon and hear

    4. Powers to require information: supplemental provisions

      1. 13.Reports by skilled persons

      2. 14.Information and documents: supplemental provisions

      3. 15.Admissibility of statements

    5. Investigations: Power to enter premises for the purposes of an investigation under regulation 10(1)(a) or (c)

      1. 16.Power to enter premises under a warrant

      2. 17.Search warrants – safeguards

      3. 18.Execution of search warrant

      4. 19.Retention of documents taken under regulation 16

    6. Offences

      1. 20.Offences

  5. PART 4 Injunctions and Restitution

    1. Injunctions

      1. 21.Injunctions

    2. Restitution

      1. 22.Restitution orders

      2. 23.Power of Authority to require restitution

      3. 24.Warning notices

      4. 25.Decision notices

  6. PART 5 Penalties

    1. 26.Power of Authority to impose penalty

    2. 27.Statement of policy

    3. 28.Statement of policy: transitory provision

    4. 29.Statement of policy: procedure

    5. 30.Warning notices

    6. 31.Decision notice and right to refer to Tribunal

    7. 32.Power of court to impose penalty

    8. 33.Effect on transactions

    9. 34.Penalties

  7. PART 6 Notices

    1. Warning notices

      1. 35.Warning notices

    2. Decision notices

      1. 36.Decision notes

    3. Conclusion of proceedings

      1. 37.Notices of discontinuance

      2. 38.Final notices

    4. Publication

      1. 39.Publication

    5. Third party rights and access to evidence

      1. 40.Third party rights

      2. 41.Access to Authority material

    6. The Authority's procedures

      1. 42.The Authority's procedures

      2. 43.Statements under regulation 42: consultation

  8. PART 7 Hearings and appeals

    1. 44.Proceedings before Tribunal: general provisions

    2. 45.Proceedings before Tribunal: decision notices etc

    3. 46.Offences

  9. PART 8 Offences

    1. 47.Offences by bodies corporate etc

    2. 48.Proceedings for offences

    3. 49.Jurisdiction and procedure in respect of offences

  10. PART 9 MISCELLANEOUS PROVISIONS

    1. 50.Protected disclosures

    2. 51.Limitation on power to require documents

    3. 52.Review

  11. Signature

    1. SCHEDULE 1

      Application to the Crown etc

      1. 1.Crown application

      2. 2.The Crown is not liable for any penalty under any...

      3. 3.(1) Nothing in these Regulations affects Her Majesty in her...

      4. 4.Entry to Crown premises

      5. 5.(1) If the Secretary of State for Northern Ireland considers...

    2. SCHEDULE 2

      Service of notices

      1. 1.Interpretation

      2. 2.Methods of service

      3. 3.Appropriate person to be served

      4. 4.Proper address for service

      5. 5.Service by electronic means of communication

      6. 6.Deemed service

      7. 7.Service on the Authority

      8. 8.Electronic service on the Authority

    3. SCHEDULE 3

      Transitory provision

      1. 1.This Schedule has effect until the Authority has issued a...

      2. 2.In exercising, or deciding whether to exercise, its power under...

      3. 3.The Authority must have regard to— (a) the seriousness of...

      4. 4.The Authority must have regard to paragraph 3.1 to 7.2...

      5. 5.(1) For references to “licence holder” or “licensee” read “person...

  13. Explanatory Note