|
| |
|
| |
(1) | The inquirer may by notice require a person to attend at a specified time and |
| |
| |
| |
(b) | produce specified documents. |
| 5 |
(2) | The inquirer may take evidence on oath (and for that purpose administer |
| |
| |
(3) | The power under subsection (1) may be exercised only in relation to persons |
| |
and information of a kind in respect of which the regulator can impose a |
| |
requirement under section 104. |
| 10 |
(4) | Sections 104(4), (5), (6) and (7) and 105 apply for the purposes of this section |
| |
(with any necessary modifications). |
| |
| |
(1) | Where an inquiry in respect of a registered provider is being held, or has been |
| |
held, under section 183, the regulator may require the registered provider to |
| 15 |
allow its accounts and balance sheet to be audited by a qualified auditor |
| |
appointed by the regulator. |
| |
(2) | “Qualified auditor” means a person eligible for appointment as auditor of the |
| |
registered provider’s ordinary accounts. |
| |
(3) | On completion of the audit, the auditor shall report to the regulator about such |
| 20 |
matters and in such form as the regulator determines. |
| |
(4) | The registered provider shall pay the costs of the audit (including the auditor’s |
| |
| |
Management and constitution |
| |
187 | Non-profit providers only |
| 25 |
This group of sections applies only to non-profit registered providers. |
| |
188 | Industrial and provident society: change of rules |
| |
(1) | This section applies to an industrial and provident society. |
| |
(2) | The society must notify the regulator if it changes its— |
| |
| 30 |
| |
(3) | Any other amendment of the society’s rules is effective only if the regulator has |
| |
| |
(4) | The requirement in section 10(1) of the Industrial and Provident Societies Act |
| |
1965 (c. 12) (sending copies of amendment of rules to FSA) is satisfied only if |
| 35 |
the copies are accompanied by a copy of the regulator’s consent. |
| |
(5) | This section shall be treated as if it formed part of that Act as well as of this Act. |
| |
|
| |
|
| |
|
189 | Charity: change of objects |
| |
(1) | This section applies to a registered charity which is not a registered company. |
| |
(2) | An amendment of the charity’s objects is effective only if the Charity |
| |
Commission has first consented. |
| |
(3) | Before giving consent the Charity Commission must consult the regulator. |
| 5 |
190 | Companies: change of articles |
| |
(1) | This section applies to a registered company. |
| |
(2) | The company must notify the regulator if it changes its— |
| |
| |
| 10 |
(3) | An amendment of the company’s articles of association is effective only if the |
| |
regulator has first consented. |
| |
(4) | The requirement in section 30 of the Companies Act 2006 (c. 46) (sending copy |
| |
of resolution to registrar) is satisfied only if the copy is accompanied by a copy |
| |
of the regulator’s consent. |
| 15 |
| |
| |
The regulator may give guidance to registered providers. |
| |
192 | Use of intervention powers |
| |
(1) | The regulator shall give registered providers guidance on how it uses and |
| 20 |
intends to use powers under this Chapter and Chapter 7. |
| |
(2) | The regulator shall have regard to the guidance in exercising those powers. |
| |
| |
Before giving guidance the regulator must consult— |
| |
(a) | one or more bodies appearing to it to represent the interests of |
| 25 |
| |
(b) | one or more bodies appearing to it to represent the interests of tenants, |
| |
| |
| |
Managers of social housing |
| 30 |
| |
(1) | The regulator may operate a scheme for the purpose of accrediting persons |
| |
who provide services in connection with the management of social housing. |
| |
(2) | The regulator may approve a scheme operated by someone else for that |
| |
| 35 |
|
| |
|
| |
|
(3) | Approval may be withdrawn. |
| |
(4) | A scheme may include provision about— |
| |
(a) | eligibility for accreditation; |
| |
(b) | standards to be met by accredited persons (which may operate by |
| |
reference to standards under section 173); |
| 5 |
(c) | monitoring compliance; |
| |
(d) | complaints against accredited persons; |
| |
(e) | renewal, suspension and withdrawal of accreditation. |
| |
(5) | Accreditation, or continued accreditation, may be conditional on the payment |
| |
| 10 |
(6) | Standards under section 173 may require a registered provider to ensure that |
| |
anyone providing services in connection with the management of its social |
| |
| |
| |
| 15 |
| |
| |
This group of sections allows the regulator to require a registered provider to |
| |
take specified action to resolve a specified failure or other problem. |
| |
196 | Grounds for giving notice |
| 20 |
(1) | The regulator may give an enforcement notice to a registered provider if the |
| |
regulator is satisfied that— |
| |
(a) | any of the following cases applies, and |
| |
(b) | giving an enforcement notice is appropriate (whether it is likely to be |
| |
sufficient in itself or a prelude to further action). |
| 25 |
(2) | Case 1 is where the registered provider has failed to meet a standard under |
| |
| |
(3) | Case 2 is where the affairs of the registered provider have been mismanaged. |
| |
(4) | Case 3 is where the interests of tenants of the registered provider require |
| |
| 30 |
(5) | Case 4 is where the assets of the registered provider require protection. |
| |
(6) | Case 5 is where the registered provider has given an undertaking under section |
| |
121 and failed to comply with it. |
| |
(7) | Case 6 is where an offence under this Part has been committed by the |
| |
| 35 |
(8) | Where the regulator is satisfied that an offence under this Part has been |
| |
committed in respect of a registered provider but by another person (such as a |
| |
member, employee or agent of the registered provider)— |
| |
| |
|
| |
|
| |
|
(b) | the regulator may give an enforcement notice to the other person, and |
| |
(c) | this Chapter applies with the substitution of references to that other |
| |
person for references to the registered provider. |
| |
| |
An enforcement notice must— |
| 5 |
(a) | specify the grounds on which it is given, |
| |
(b) | specify the action the regulator wants the registered provider to take in |
| |
| |
(c) | specify when the action is to be taken (which may be immediately on |
| |
receipt of the notice), and |
| 10 |
(d) | explain the effect of sections 200 to 202. |
| |
| |
(1) | Before giving an enforcement notice to a registered provider the regulator |
| |
must give the provider a notice (a “pre-enforcement warning”)— |
| |
(a) | specifying grounds on which the regulator thinks an enforcement |
| 15 |
| |
(b) | warning the provider that the regulator is considering giving an |
| |
enforcement notice in respect of specified matters, |
| |
(c) | specifying the action that the enforcement notice might require the |
| |
registered provider to take, and |
| 20 |
(d) | explaining the effect of sections 199 to 202. |
| |
(2) | If the regulator gives a pre-enforcement warning it must send a copy to— |
| |
| |
(b) | any other persons it thinks appropriate. |
| |
(3) | For the purposes of subsection (2)(b) the regulator shall consider, in particular, |
| 25 |
any person who provided information as a result of which the pre-enforcement |
| |
| |
(4) | A pre-enforcement warning must— |
| |
(a) | refer to section 121 (voluntary undertaking), and |
| |
(b) | indicate whether or to what extent the regulator would accept a |
| 30 |
voluntary undertaking instead of, or in mitigation of, an enforcement |
| |
| |
(5) | A pre-enforcement warning may be combined with notice under one or more |
| |
| |
| 35 |
(1) | A pre-enforcement warning must specify a period during which the registered |
| |
provider may make representations to the regulator. |
| |
| |
(a) | be a period of at least 28 days, and |
| |
(b) | begin with the date on which the registered provider receives the pre- |
| 40 |
| |
(3) | After the end of the period the regulator shall— |
| |
|
| |
|
| |
|
(a) | consider any representations made, and |
| |
(b) | decide whether to give an enforcement notice. |
| |
| |
A registered provider who is given an enforcement notice may appeal to the |
| |
| 5 |
| |
The regulator may withdraw an enforcement notice by notice to the registered |
| |
| |
| |
(1) | If a registered provider does not comply with an enforcement notice the |
| 10 |
regulator shall consider exercising another power under Chapter 6 or this |
| |
| |
(2) | In the case of an enforcement notice given to a person other than the registered |
| |
provider by virtue of section 196(8), the regulator may only— |
| |
(a) | exercise the power to issue a penalty notice to the person in accordance |
| 15 |
with the next group of sections, or |
| |
(b) | take steps to have the person prosecuted for the offence by reference to |
| |
which the enforcement notice was given. |
| |
(3) | A person to whom an enforcement notice is given on the ground in Case 6 of |
| |
section 196 may not be prosecuted for the offence by reference to which the |
| 20 |
enforcement notice was given unless the person fails to comply with the |
| |
| |
| |
| |
This group of sections allows the regulator to penalise failures on the part of |
| 25 |
registered providers by the imposition of fines. |
| |
204 | Grounds for imposition |
| |
(1) | The regulator may require a registered provider to pay a penalty if the |
| |
regulator is satisfied that— |
| |
(a) | any of the following cases applies, and |
| 30 |
(b) | the imposition of a penalty is appropriate (whether or not as part of a |
| |
response including other action). |
| |
(2) | Case 1 is where the registered provider has failed to meet a standard under |
| |
| |
(3) | Case 2 is where the affairs of the registered provider have been mismanaged. |
| 35 |
(4) | Case 3 is where the registered provider has failed to comply with an |
| |
| |
|
| |
|
| |
|
(5) | Case 4 is where the registered provider has given an undertaking under section |
| |
121 and failed to comply with it. |
| |
(6) | Case 5 is where an offence under this Part has been committed by the |
| |
| |
(7) | Where the regulator is satisfied that an offence under this Part has been |
| 5 |
committed in respect of a registered provider but by another person (such as a |
| |
member, employee or agent of the registered provider)— |
| |
| |
(b) | the regulator may require the other person to pay a penalty, and |
| |
(c) | this Chapter applies with the substitution of references to that other |
| 10 |
person for references to the registered provider. |
| |
(8) | In order to rely on Case 5 the regulator must be satisfied beyond reasonable |
| |
| |
| |
(1) | A penalty is imposed by the regulator giving notice (a “penalty notice”) to the |
| 15 |
| |
(2) | The notice must specify— |
| |
(a) | the grounds on which the penalty is imposed, |
| |
(b) | the amount of the penalty, and |
| |
(c) | a period within which it must be paid. |
| 20 |
(3) | The Secretary of State— |
| |
(a) | shall make regulations about the period under subsection (2)(c), |
| |
(b) | may make other regulations about the form and content of a penalty |
| |
| |
(c) | may make regulations about the manner in which a penalty notice is |
| 25 |
| |
| |
(1) | This section applies when the regulator is considering whether to require a |
| |
registered provider to pay a penalty. |
| |
(2) | The regulator must take account of any information available to it about the |
| 30 |
financial situation of the registered provider. |
| |
(3) | The regulator must consider the likely impact of the penalty on the registered |
| |
provider’s ability to provide services. |
| |
(4) | In particular, the regulator must aim to avoid— |
| |
(a) | jeopardising the financial viability of the registered provider, |
| 35 |
(b) | preventing the registered provider from honouring financial |
| |
| |
(c) | preventing the registered provider from taking action to remedy the |
| |
matters on the grounds of which the penalty might be imposed. |
| |
|
| |
|