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[F1SCHEDULE 4Procedure in financial sanctions cases

Exceptions to disclosure

6.(1) A list provided in accordance with paragraph 3(3), 4(3) or 5(1) need not include any document:

(a)that is material the disclosure of which for the purposes of or in connection with any legal proceedings is prohibited by section 17 of the Regulation of Investigatory Powers Act 2000; or

(b)in respect of which an application has been or is being made under sub-paragraph (2).

(2) A party may apply to the Upper Tribunal (without giving notice to any other party) for a direction authorising the party making the application not to include in the list required by paragraph 3(3), 4(3) or 5(1) a document on the ground that disclosure of the document—

(a)would not be in the public interest; or

(b)should not otherwise be given.

(3) For the purpose of deciding an application by a party under sub-paragraph (2), the Upper Tribunal may—

(a)require the document to be produced to the Upper Tribunal together with a statement of the reasons why—

(i)in the case of an application under sub-paragraph (2)(a), its disclosure would not be in the public interest; or

(ii)in the case of an application under sub-paragraph (2)(b), its disclosure should not be given; and

(b)invite the other party to make representations.

(4) If the Upper Tribunal refuses an application under sub-paragraph (2), it must direct the party—

(a)to revise its list so as to include the document; and

(b)to send or deliver a copy of the revised list to the Upper Tribunal and to the other party.

(7) A party (“P”) who has sent or delivered a list under paragraph 3(3), 4(3) or 5(1) must, upon the request of the other party, provide that party with a copy of any document which P has which is specified in the list, or make it available for inspection or copying, and if P does not have it, tell the other party where to the best of P’s knowledge and belief it may be found.

(8) Sub-paragraph (7) does not apply to any document in respect of which a claim to legal professional privilege, or (in Scotland) to confidentiality of communications as between client and professional legal adviser, could be maintained in legal proceedings]