C10C11C12C13C14C16C21C18C22 Part XI Information Gathering and Investigations
Pt. 11 applied (with modifications) (1.5.2009 for certain purposes and 1.11.2009 otherwise) by The Payment Services Regulations 2009 (S.I. 2009/209), regs. 1(2), 95, Sch. 5 para. 3 (with reg. 3) (as amended (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 155(6)(c) (with Sch. 2 para. 156); and (26.6.2017) by The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (S.I. 2017/692), reg. 1(2), Sch. 7 para. 24(9) (with regs. 8, 15))
Pt. 11 applied (with modifications) (11.2.2010) by The Cross-Border Payments in Euro Regulations 2010 (S.I. 2010/89), reg. 19, Sch. para. 2
Pt. 11 applied (with modifications) (30.4.2011) by The Electronic Money Regulations 2011 (S.I. 2011/99), reg. 62, Sch. 3 para. 3 (with reg. 3) (as amended (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 196(5)(c); and (14.2.2014 for specified purposes, 1.4.2014 in so far as not already in force) by The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2014 (S.I. 2014/366), arts. 1(4), 18(4)(b); and (10.1.2020) by The Money Laundering and Terrorist Financing (Amendment) Regulations 2019 (S.I. 2019/1511), regs. 1(2), 19 and (31.12.2020) by S.I. 2018/1201, reg. 1(3), Sch. 2 para. 21(3)(a)-(c) (with reg. 4, Sch. 3 Pt. 1) (with further transitional provisions in Sch. 3 Pt. 1A as inserted by S.I. 2019/405, regs. 1, 10 and as amended by S.I. 2019/1010, regs. 1(3), 7; S.I. 2019/1212, regs. 1(2), 7; and S.I. 2020/56, regs. 1, 8))
Pt. 11 applied (with modifications) (15.1.2013) by The Payments in Euro (Credit Transfers and Direct Debits) Regulations 2012 (S.I. 2012/3122), reg. 1, Sch. para. 2 (as amended (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), Sch. 2 para. 248(6)(b))
Pt. 11 applied (with modifications) (E.W.) (9.7.2013) by The Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013 (S.I. 2013/1635), regs. 1, 13
Pt. 11 applied (with modifications) (26.7.2013 for specified purposes, 1.4.2014 in so far as not already in force) by The Financial Services Act 2012 (Consumer Credit) Order 2013 (S.I. 2013/1882), arts. 1(1), 3(5)
Pt. 11 modified (temp. to 1.4.2014) (31.12.2013) by The Financial Services and Markets Act 2000 (Consumer Credit) (Transitional Provisions) Order 2013 (S.I. 2013/3128), arts. 1(1), 4(1)(2)
Pt. 11 applied (with modifications) (12.12.2014) by The Immigration Act 2014 (Bank Accounts) Regulations 2014 (S.I. 2014/3085), regs. 1, 14
Conduct of investigations
C1C2C15C17C23176 Entry of premises under warrant.
C3C4C191
A justice of the peace may issue a warrant under this section if satisfied on information on oath given by or on behalf of the Secretary of State, F4either regulator or an investigator that there are reasonable grounds for believing that the first, second or third set of conditions is satisfied.
C5C3C4C192
The first set of conditions is—
a
that a person on whom an information requirement has been imposed has failed (wholly or in part) to comply with it; and
b
that on the premises specified in the warrant—
i
there are documents which have been required; or
ii
there is information which has been required.
C3C4C193
The second set of conditions is—
a
that the premises specified in the warrant are premises of an authorised person or an appointed representative;
b
that there are on the premises documents or information in relation to which an information requirement could be imposed; and
c
that if such a requirement were to be imposed—
i
it would not be complied with; or
ii
the documents or information to which it related would be removed, tampered with or destroyed.
C3C44
The third set of conditions is—
a
that an offence mentioned in section 168 for which the maximum sentence on conviction on indictment is two years or more has been (or is being) committed by any person;
b
that there are on the premises specified in the warrant documents or information relevant to whether that offence has been (or is being) committed;
c
that an information requirement could be imposed in relation to those documents or information; and
d
that if such a requirement were to be imposed—
i
it would not be complied with; or
ii
the documents or information to which it related would be removed, tampered with or destroyed.
C6C3C4C205
A warrant under this section shall authorise a constable—
a
to enter the premises specified in the warrant;
b
to search the premises and take possession of any documents or information appearing to be documents or information of a kind in respect of which a warrant under this section was issued (“the relevant kind”) or to take, in relation to any such documents or information, any other steps which may appear to be necessary for preserving them or preventing interference with them;
c
to take copies of, or extracts from, any documents or information appearing to be of the relevant kind;
d
to require any person on the premises to provide an explanation of any document or information appearing to be of the relevant kind or to state where it may be found; and
e
to use such force as may be reasonably necessary.
C20F35A
A warrant under this section may be executed by any constable.
C205B
The warrant may authorise persons to accompany any constable who is executing it.
C205C
The powers in subsection (5) may be exercised by a person authorised by the warrant to accompany a constable; but that person may exercise those powers only in the company of, and under the supervision of, a constable.
C7C3C4C206
C3C4C207
F5C8C3C4C208
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
C3C209
In the application of this section to Scotland—
a
for the references to a justice of the peace substitute references to a justice of the peace or a sheriff; and
b
for the references to information on oath substitute references to evidence on oath.
C2010
“Investigator” means a person appointed under section 167 or 168(3) or (5).
C9C2011
“Information requirement” means a requirement imposed—
b
by an investigator under section 171, 172, 173 or 175.
Pt. 11 modified (1.12.2001) by S.I. 2001/2657, arts. 1(1), 18(2) (which was revoked (8.10.2001) by S.I. 2001/3083, arts. 1(2), 23); S.I. 2001/3538, art. 2(1)
Pt. 11 modified (1.12.2001) by S.I. 2001/3083, arts. 1(2), 18(2)(4); S.I. 2001/3538, art. 2(1)
Pt. 11 extended (with modifications) (1.12.2001) by S.I. 2001/3646, arts. 1(1), 6-9