PART 5COMPLIANCE AND OFFENCES
Offences27
1
A failure to comply with any of the provisions of regulations 9 to 24 shall be an offence.
2
The Commission may not bring proceedings in respect of a failure by a registered person to comply with any of those provisions unless—
a
the alleged failure is one in respect of which the Commission has given a warning notice to the registered person under section 29 of the Act;
b
that warning notice specified a time within which the registered person must take action to secure compliance pursuant to section 29(2)(c)(ii) of the Act; and
c
the registered person did not secure compliance within the specified time.
3
A person guilty of an offence under paragraph (1) is liable, on summary conviction, to F2a fine.
4
In any proceedings for an offence under this regulation, it is a defence for the registered person to prove that they F1took all reasonable steps and exercised all due diligence to ensure that the provision in question was complied with.