The Compensation (Claims Management Services) Regulations 2006

CHAPTER 2Investigation—offences by unauthorised persons

Investigation of offences against section 4(1) of Act: requirement to provide information

32.—(1) Before requiring a person to provide information or documents for the purpose of investigating whether a person has contravened section 4(1) of the Act, the Regulator must consider whether investigation is justified.

(2) If an allegation of such a contravention has been made, the Regulator must consider whether the allegation—

(a)is on its face credible; and

(b)taken with any information offered by the complainant in support of it, is sufficiently detailed and specific for an investigation to be practicable.

(3) In all cases the Regulator must take into account—

(a)if the person alleged or suspected to have contravened section 4(1) has applied for an authorisation under section 5(1)(a), or has sought exemption under section 6, of the Act, the application or request, its result and anything else in the Regulator’s records about it; and

(b)anything else in the Regulator’s records that is relevant (for example, anything that tends to establish a pattern of allegations against, or apparent contraventions by, the person).

(4) For the purposes of paragraph (3)(a), the Regulator may consider material in, or the result of, an application or a request for exemption even if the application was for authorisation to provide, or the exemption was sought in relation to, another kind of regulated claims management service than that in relation to which the contravention is alleged or suspected to have occurred.

Requirements for information under section 8(4) of Act

33.—(1) The Regulator may require a person to give the Regulator information or documents for the purpose of investigating an alleged or suspected contravention of section 4(1) of the Act, if the person—

(a)is the person alleged to have, or suspected of having, contravened the subsection; or

(b)is otherwise likely to be able to provide information relevant to the investigation of the alleged or suspected contravention.

(2) Such a requirement must be by notice in writing.

(3) Such a notice—

(a)must specify or describe the information or documents that are to be given to the Regulator;

(b)must specify the place at which, and the period within which, the information or documents are to be given to the Regulator; and

(c)may specify the form in which the information or a document is to be given.

(4) If such a notice specifies that information or a document is to be given in a particular form, the notice has not been complied with until the information or document is given in that form.

(5) The period specified must be a period that is, in all the circumstances, reasonable.

(6) The Regulator may allow more time for the giving of the information or documents if—

(a)the person required to give the information or documents so requests in writing; and

(b)the Regulator is satisfied that, because of exceptional circumstances, it is reasonable to allow the extra time.

(7) Nothing in this regulation authorises a search of any premises.

Search warrants under section 8 of the Act

34.—(1) For the purposes of section 8(8) of the Act, the matters of which a judicial officer must be satisfied when considering an application under section 8(5) are that—

(a)there is reason to believe that information or documents relevant, and of substantial value, to the investigation of an alleged or suspected contravention of subsection 4(1) of the Act are likely to be found at the premises concerned; and

(b)paragraph (2), (3) or (5) applies in the particular case.

(2) This paragraph applies if there is reason to believe that if the Regulator were to require, under regulation 33, to be given the information or documents, the information or documents would be removed, tampered with or destroyed.

(3) This paragraph applies if the person has been required to give information or documents to the Regulator under regulation 33, and has not done so within the period permitted by the requirement.

(4) An application for a search warrant in relation to which paragraph (3) applies must set out the steps taken to require the person to provide information or documents under regulation 33, and the person’s response, if any.

(5) This paragraph applies if there is reason to believe, on the basis of information or documents provided to the Regulator in answer to a requirement under regulation 33, that—

(a)further investigation is justified of the alleged or suspected contravention in relation to which the requirement was made;

(b)there are further documents relevant to the investigation; and

(c)if the Regulator were to require, under regulation 33, to be given the further documents, they would be removed, tampered with or destroyed.