The Co-ordination of Regulatory Enforcement (Procedure for References to LBRO) Order 2009

Information to be included with an application to LBRO for consent to a reference

3.—(1) All applications to LBRO for consent to a reference must contain the following information—

(a) the applicant’s name;

(b) the applicant’s business address and the name and contact details of an individual within the applicant’s organisation who has responsibility for the application and reference;

(c) the names and business addresses of the other parties; and

(d) a description of the proposed enforcement action.

(2) In addition, in each case, the following information must also be provided—

(a) where the enforcing authority is the applicant—

(i) a copy of any written notification sent to the primary authority under section 28(1) of the Act regarding the proposed enforcement action;

(ii) a copy of any written direction by the primary authority under section 28(2) of the Act that the enforcing authority must not take the enforcement action;

(iii) a copy of the advice and guidance given by the primary authority to the enforcing authority under section 27(1) of the Act which is relevant to the proposed enforcement action; and

(iv) a statement as to why the enforcing authority considers that—

(aa) the proposed enforcement action is consistent with advice or guidance previously given by the primary authority (generally or specifically) under section 27(1) of the Act,

(bb) the advice or guidance given was not correct, or

(cc) the advice or guidance was not properly given;

(b) where the regulated person is the applicant—

(i) a copy of the advice and guidance received from the primary authority under section 27(1) of the Act which is relevant to the proposed enforcement action;

(ii) a copy of any document informing the regulated person, in accordance with section 28(3) of the Act, of the proposed enforcement action; and

(iii) a statement as to why the regulated person considers that—

(aa) the proposed enforcement action is inconsistent with advice or guidance previously given by the primary authority (generally or specifically) under section 27(1) of the Act,

(bb) the advice or guidance given was correct, and

(cc) the advice or guidance was properly given;

(c) where the primary authority is the applicant—

(i) a copy of advice and guidance it has previously given under section 27(1) of the Act which is relevant to the proposed enforcement action;

(ii) a copy of any written notification received by it under section 28(1) of the Act regarding the proposed enforcement action; and

(iii) a statement as to why the primary authority considers that

(aa) the proposed enforcement action is inconsistent with advice or guidance previously given by the primary authority (generally or specifically) under section 27(1) of the Act,

(bb) the advice or guidance given was correct, and

(cc) the advice or guidance was properly given.