Part 8Investigations
Chapter 2England and Wales and Northern Ireland
Judges and courts
I1343 Judges
1
In this Chapter references to a judge in relation to an application must be construed in accordance with this section.
2
In relation to an application for the purposes of a confiscation investigation or a money laundering investigation a judge is—
a
in England and Wales, a judge entitled to exercise the jurisdiction of the Crown Court;
b
in Northern Ireland, a Crown Court judge.
3
I2344 Courts
In this Chapter references to the court are to—
a
the Crown Court, in relation to an order for the purposes of a confiscation investigation or a money laundering investigation;
Production orders
I3345 Production orders
1
A judge may, on an application made to him by an appropriate officer, make a production order if he is satisfied that each of the requirements for the making of the order is fulfilled.
2
The application for a production order must state that—
a
a person specified in the application is subject to a confiscation investigation F81, an exploitation proceeds investigation or a money laundering investigation, or
b
property specified in the application is subject to a civil recovery investigation F51or a detained cash investigation .
3
The application must also state that—
a
the order is sought for the purposes of the investigation;
b
the order is sought in relation to material, or material of a description, specified in the application;
c
a person specified in the application appears to be in possession or control of the material.
C1C27C48C544
A production order is an order either—
a
requiring the person the application for the order specifies as appearing to be in possession or control of material to produce it to an appropriate officer for him to take away, or
b
requiring that person to give an appropriate officer access to the material,
within the period stated in the order.
5
The period stated in a production order must be a period of seven days beginning with the day on which the order is made, unless it appears to the judge by whom the order is made that a longer or shorter period would be appropriate in the particular circumstances.
I4346 Requirements for making of production order
1
These are the requirements for the making of a production order.
2
There must be reasonable grounds for suspecting that—
a
in the case of a confiscation investigation, the person the application for the order specifies as being subject to the investigation has benefited from his criminal conduct;
b
in the case of a civil recovery investigation, the property the application for the order specifies as being subject to the investigation is recoverable property or associated property;
F52ba
in the case of a detained cash investigation into the derivation of cash, the property the application for the order specifies as being subject to the investigation, or a part of it, is recoverable property;
bb
in the case of a detained cash investigation into the intended use of cash, the property the application for the order specifies as being subject to the investigation, or a part of it, is intended by any person to be used in unlawful conduct;
c
in the case of a money laundering investigation, the person the application for the order specifies as being subject to the investigation has committed a money laundering offence.
F82d
in the case of an exploitation proceeds investigation, the person the application for the order specifies as being subject to the investigation is within subsection (2A).
F832A
A person is within this subsection if, for the purposes of Part 7 of the Coroners and Justice Act 2009 (criminal memoirs etc), exploitation proceeds have been obtained by the person from a relevant offence by reason of any benefit derived by the person.
This subsection is to be construed in accordance with that Part.
3
There must be reasonable grounds for believing that the person the application specifies as appearing to be in possession or control of the material so specified is in possession or control of it.
4
There must be reasonable grounds for believing that the material is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the order is sought.
5
There must be reasonable grounds for believing that it is in the public interest for the material to be produced or for access to it to be given, having regard to—
a
the benefit likely to accrue to the investigation if the material is obtained;
b
the circumstances under which the person the application specifies as appearing to be in possession or control of the material holds it.
I5347 Order to grant entry
1
This section applies if a judge makes a production order requiring a person to give an appropriate officer access to material on any premises.
2
The judge may, on an application made to him by an appropriate officer and specifying the premises, make an order to grant entry in relation to the premises.
C28C2C49C553
An order to grant entry is an order requiring any person who appears to an appropriate officer to be entitled to grant entry to the premises to allow him to enter the premises to obtain access to the material.
I6348 Further provisions
C6C8C58C34C52C321
A production order does not require a person to produce, or give access to, privileged material.
C6C8C58C34C52C322
Privileged material is any material which the person would be entitled to refuse to produce on grounds of legal professional privilege in proceedings in the High Court.
C6C8C58C34C52C323
A production order does not require a person to produce, or give access to, excluded material.
C6C8C58C34C52C324
A production order has effect in spite of any restriction on the disclosure of information (however imposed).
C29C50C56C35
An appropriate officer may take copies of any material which is produced, or to which access is given, in compliance with a production order.
6
Material produced in compliance with a production order may be retained for so long as it is necessary to retain it (as opposed to copies of it) in connection with the investigation for the purposes of which the order was made.
C4C50C56C307
But if an appropriate officer has reasonable grounds for believing that—
a
the material may need to be produced for the purposes of any legal proceedings, and
b
it might otherwise be unavailable for those purposes,
it may be retained until the proceedings are concluded.
I7C31C5C51C57349 Computer information
1
This section applies if any of the material specified in an application for a production order consists of information contained in a computer.
2
If the order is an order requiring a person to produce the material to an appropriate officer for him to take away, it has effect as an order to produce the material in a form in which it can be taken away by him and in which it is visible and legible.
3
If the order is an order requiring a person to give an appropriate officer access to the material, it has effect as an order to give him access to the material in a form in which it is visible and legible.
I8C35C33C53C59C9C7350 Government departments
1
A production order may be made in relation to material in the possession or control of an authorised government department.
2
An order so made may require any officer of the department (whether named in the order or not) who may for the time being be in possession or control of the material to comply with it.
3
An order containing such a requirement must be served as if the proceedings were civil proceedings against the department.
4
If an order contains such a requirement—
a
the person on whom it is served must take all reasonable steps to bring it to the attention of the officer concerned;
b
any other officer of the department who is in receipt of the order must also take all reasonable steps to bring it to the attention of the officer concerned.
5
If the order is not brought to the attention of the officer concerned within the period stated in the order (in pursuance of section 345(4)) the person on whom it is served must report the reasons for the failure to—
a
a judge entitled to exercise the jurisdiction of the Crown Court or (in Northern Ireland) a Crown Court judge, in the case of an order made for the purposes of a confiscation investigation or a money laundering investigation;
6
An authorised government department is a government department, or a Northern Ireland department, which is an authorised department for the purposes of the Crown Proceedings Act 1947 (c. 44).
I9351 Supplementary
1
An application for a production order or an order to grant entry may be made ex parte to a judge in chambers.
2
Rules of court may make provision as to the practice and procedure to be followed in connection with proceedings relating to production orders and orders to grant entry.
3
An application to discharge or vary a production order or an order to grant entry may be made to the court by—
a
the person who applied for the order;
b
any person affected by the order.
4
The court—
a
may discharge the order;
b
may vary the order.
5
If an accredited financial investigator, F13a member of SOCA's staff, a constable or a customs officer applies for a production order or an order to grant entry, an application to discharge or vary the order need not be by the same accredited financial investigator, F14member of SOCA's staff, constable or customs officer.
6
References to a person who applied for a production order or an order to grant entry must be construed accordingly.
7
Production orders and orders to grant entry have effect as if they were orders of the court.
8
Search and seizure warrants
I10352C79C80 Search and seizure warrants
1
A judge may, on an application made to him by an appropriate officer, issue a search and seizure warrant if he is satisfied that either of the requirements for the issuing of the warrant is fulfilled.
2
The application for a search and seizure warrant must state that—
a
a person specified in the application is subject to a confiscation investigation F86, an exploitation proceeds investigation or a money laundering investigation, or
b
property specified in the application is subject to a civil recovery investigation F60or a detained cash investigation .
3
The application must also state—
a
that the warrant is sought for the purposes of the investigation;
b
that the warrant is sought in relation to the premises specified in the application;
c
that the warrant is sought in relation to material specified in the application, or that there are reasonable grounds for believing that there is material falling within section 353(6), (7) F55, (7A), (7B) or (8) on the premises.
C60C10C63C364
A search and seizure warrant is a warrant authorising an appropriate person—
a
to enter and search the premises specified in the application for the warrant, and
b
to seize and retain any material found there which is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the application is made.
C37C64C61C115
An appropriate person is—
a
a constable F58, an accredited financial investigator or a customs officer, if the warrant is sought for the purposes of a confiscation investigation or a money laundering investigation;
b
a F15member of SOCA's staff or of the staff of the relevant Director , if the warrant is sought for the purposes of a civil recovery investigation.
F56c
a constable F59, an accredited financial investigator or an officer of Revenue and Customs, if the warrant is sought for the purposes of a detained cash investigation.
F87d
a member of SOCA's staff, if the warrant is sought for the purposes of an exploitation proceeds investigation.
F165A
In this Part “relevant Director”—
a
in relation to England and Wales, means the Director of Public Prosecutions, the Director of Revenue and Customs Prosecutions or the Director of the Serious Fraud Office; and
b
in relation to Northern Ireland, means the Director of the Serious Fraud Office or the Director of Public Prosecutions for Northern Ireland.
6
The requirements for the issue of a search and seizure warrant are—
a
that a production order made in relation to material has not been complied with and there are reasonable grounds for believing that the material is on the premises specified in the application for the warrant, or
b
that section 353 is satisfied in relation to the warrant.
F577
The reference in paragraph (a) or (c) of subsection (5) to an accredited financial investigator is a reference to an accredited financial investigator who falls within a description specified in an order made for the purposes of that paragraph by the Secretary of State under section 453.
I11353 Requirements where production order not available
1
This section is satisfied in relation to a search and seizure warrant if—
a
subsection (2) applies, and
b
either the first or the second set of conditions is complied with.
2
This subsection applies if there are reasonable grounds for suspecting that—
a
in the case of a confiscation investigation, the person specified in the application for the warrant has benefited from his criminal conduct;
b
in the case of a civil recovery investigation, the property specified in the application for the warrant is recoverable property or associated property;
F62ba
in the case of a detained cash investigation into the derivation of cash, the property specified in the application for the warrant, or a part of it, is recoverable property;
bb
in the case of a detained cash investigation into the intended use of cash, the property specified in the application for the warrant, or a part of it, is intended by any person to be used in unlawful conduct;
c
in the case of a money laundering investigation, the person specified in the application for the warrant has committed a money laundering offence.
F88d
in the case of an exploitation proceeds investigation, the person specified in the application for the warrant is within section 346(2A).
3
The first set of conditions is that there are reasonable grounds for believing that—
a
any material on the premises specified in the application for the warrant is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the warrant is sought,
b
it is in the public interest for the material to be obtained, having regard to the benefit likely to accrue to the investigation if the material is obtained, and
c
it would not be appropriate to make a production order for any one or more of the reasons in subsection (4).
4
The reasons are—
a
that it is not practicable to communicate with any person against whom the production order could be made;
b
that it is not practicable to communicate with any person who would be required to comply with an order to grant entry to the premises;
c
that the investigation might be seriously prejudiced unless an appropriate person is able to secure immediate access to the material.
5
The second set of conditions is that—
a
b
there are reasonable grounds for believing that it is in the public interest for the material to be obtained, having regard to the benefit likely to accrue to the investigation if the material is obtained, and
c
any one or more of the requirements in subsection (9) is met.
6
In the case of a confiscation investigation, material falls within this subsection if it cannot be identified at the time of the application but it—
a
relates to the person specified in the application, the question whether he has benefited from his criminal conduct or any question as to the extent or whereabouts of his benefit from his criminal conduct, and
b
is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the warrant is sought.
7
In the case of a civil recovery investigation, material falls within this subsection if it cannot be identified at the time of the application but it—
a
relates to the property specified in the application, the question whether it is recoverable property or associated property, the question as to who holds any such property, any question as to whether the person who appears to hold any such property holds other property which is recoverable property, or any question as to the extent or whereabouts of any property mentioned in this paragraph, and
b
is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the warrant is sought.
F617A
In the case of a detained cash investigation into the derivation of cash, material falls within this subsection if it cannot be identified at the time of the application but it—
a
relates to the property specified in the application, the question whether the property, or a part of it, is recoverable property or any other question as to its derivation, and
b
is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the warrant is sought.
7B
In the case of a detained cash investigation into the intended use of cash, material falls within this subsection if it cannot be identified at the time of the application but it—
a
relates to the property specified in the application or the question whether the property, or a part of it, is intended by any person to be used in unlawful conduct, and
b
is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the warrant is sought.
8
In the case of a money laundering investigation, material falls within this subsection if it cannot be identified at the time of the application but it—
a
relates to the person specified in the application or the question whether he has committed a money laundering offence, and
b
is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the warrant is sought.
F908A
In the case of an exploitation proceeds investigation, material falls within this subsection if it cannot be identified at the time of the application but it—
a
relates to the person specified in the application, the question whether exploitation proceeds have been obtained from a relevant offence in relation to that person, any question as to the extent or whereabouts of any benefit as a result of which exploitation proceeds are obtained or any question about the person's available amount, and
b
is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the warrant is sought.
This subsection is to be construed in accordance with Part 7 of the Coroners and Justice Act 2009 (criminal memoirs etc).”, and
9
The requirements are—
a
that it is not practicable to communicate with any person entitled to grant entry to the premises;
b
that entry to the premises will not be granted unless a warrant is produced;
c
that the investigation might be seriously prejudiced unless an appropriate person arriving at the premises is able to secure immediate entry to them.
10
An appropriate person is—
a
a constable F63, an accredited financial investigator or a customs officer, if the warrant is sought for the purposes of a confiscation investigation or a money laundering investigation;
b
a member of F17SOCA's staff or of the staff of the relevant Director , if the warrant is sought for the purposes of a civil recovery investigation.
F65c
a constable F67 , an accredited financial investigator or an officer of Revenue and Customs, if the warrant is sought for the purposes of a detained cash investigation.
F91d
a member of SOCA's staff, if the warrant is sought for the purposes of an exploitation proceeds investigation.
F6411
The reference in paragraph (a) or (c) of subsection (10) to an accredited financial investigator is a reference to an accredited financial investigator who falls within a description specified in an order made for the purposes of that paragraph by the Secretary of State under section 453.
I12C62C39C65C38C12C13354 Further provisions: general
1
A search and seizure warrant does not confer the right to seize privileged material.
2
Privileged material is any material which a person would be entitled to refuse to produce on grounds of legal professional privilege in proceedings in the High Court.
3
A search and seizure warrant does not confer the right to seize excluded material.
I13355 Further provisions: confiscation and money laundering
1
This section applies to—
a
search and seizure warrants sought for the purposes of a confiscation investigation or a money laundering investigation, and
b
powers of seizure under them.
2
3
This subsection applies to the following provisions of the Police and Criminal Evidence Act 1984 (c. 60)—
a
section 15 (search warrants -safeguards);
b
section 16 (execution of warrants);
c
section 21 (access and copying);
d
section 22 (retention).
F1033A
In relation to such warrants and powers, the Department of Justice in Northern Ireland may make an order which applies, in relation to Northern Ireland, the provisions to which subsection (4) applies subject to any specified modifications.
4
This subsection applies to the following provisions of the Police and Criminal Evidence (Northern Ireland) Order 1989 (S.I. 1989/1341 (N.I. 12))—
a
Article 17 (search warrants -safeguards);
b
Article 18 (execution of warrants);
c
Article 23 (access and copying);
d
Article 24 (retention).
I14356 Further provisions: civil recovery F48and detained cash
1
2
An application for a warrant may be made ex parte to a judge in chambers.
3
A warrant may be issued subject to conditions.
4
A warrant continues in force until the end of the period of one month starting with the day on which it is issued.
5
A warrant authorises the person it names to require any information which is held in a computer and is accessible from the premises specified in the application for the warrant, and which the named person believes relates to any matter relevant to the investigation, to be produced in a form—
a
in which it can be taken away, and
b
in which it is visible and legible.
F186
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7
A warrant may include provision authorising a person who is exercising powers under it to do other things which—
a
are specified in the warrant, and
b
need to be done in order to give effect to it.
8
Copies may be taken of any material seized under a warrant.
9
Material seized under a warrant may be retained for so long as it is necessary to retain it (as opposed to copies of it) in connection with the investigation for the purposes of which the warrant was issued.
10
But F46if the appropriate person has reasonable grounds for believing that—
a
the material may need to be produced for the purposes of any legal proceedings, and
b
it might otherwise be unavailable for those purposes,
it may be retained until the proceedings are concluded.
F4711
The appropriate person is—
a
F19an appropriate officer , if the warrant was issued for the purposes of a civil recovery investigation;
b
a constable F69, an accredited financial investigator or an officer of Revenue and Customs, if the warrant was issued for the purposes of a detained cash investigation.
F7012
The reference in paragraph (b) of subsection (11) to an accredited financial investigator is a reference to an accredited financial investigator who falls within a description specified in an order made for the purposes of that paragraph by the Secretary of State under section 453.
Disclosure orders
I15357 Disclosure orders
1
A judge may, on an application made to him by F20the relevant authority , make a disclosure order if he is satisfied that each of the requirements for the making of the order is fulfilled.
2
No application for a disclosure order may be made in relation to a F71detained cash investigation or a money laundering investigation.
F212A
The relevant authority may only make an application for a disclosure order in relation to a confiscation investigation if the relevant authority is in receipt of a request to do so from an appropriate officer.
3
The application for a disclosure order must state that—
a
a person specified in the application is subject to a confiscation investigation which is being carried out by F22an appropriate officer and the order is sought for the purposes of the investigation, or
b
property specified in the application is subject to a civil recovery investigation and the order is sought for the purposes of the investigationF93, or
c
a person specified in the application is subject to an exploitation proceeds investigation and the order is sought for the purposes of the investigation.
4
A disclosure order is an order authorising F23an appropriate officer to give to any person F24the appropriate officer considers has relevant information notice in writing requiring him to do, with respect to any matter relevant to the investigation for the purposes of which the order is sought, any or all of the following—
a
answer questions, either at a time specified in the notice or at once, at a place so specified;
b
provide information specified in the notice, by a time and in a manner so specified;
c
produce documents, or documents of a description, specified in the notice, either at or by a time so specified or at once, and in a manner so specified.
5
Relevant information is information (whether or not contained in a document) which F25the appropriate officer concerned considers to be relevant to the investigation.
6
A person is not bound to comply with a requirement imposed by a notice given under a disclosure order unless evidence of authority to give the notice is produced to him.
F267
In this Part “relevant authority” means—
a
in relation to a confiscation investigation, a prosecutor; and
b
in relation to a civil recovery investigation, a member of SOCA's staff or the relevant DirectorF94; and
c
in relation to an exploitation proceeds investigation, a member of SOCA's staff.
8
For the purposes of subsection (7)(a) a prosecutor is—
a
in relation to a confiscation investigation carried out by a member of SOCA's staff, the relevant Director or any specified person;
b
in relation to a confiscation investigation carried out by an accredited financial investigator, the Director of Public Prosecutions, the Director of Public Prosecutions for Northern Ireland or any specified person;
c
in relation to a confiscation investigation carried out by a constable, the Director of Public Prosecutions, the Director of Public Prosecutions for Northern Ireland, the Director of the Serious Fraud Office or any specified person; and
d
in relation to a confiscation investigation carried out by an officer of Revenue and Customs, the Director of Revenue and Customs Prosecutions, the Director of Public Prosecutions for Northern Ireland or any specified person.
9
In subsection (8) “specified person” means any person specified, or falling within a description specified, by an order of the Secretary of State.
I16358 Requirements for making of disclosure order
1
These are the requirements for the making of a disclosure order.
2
There must be reasonable grounds for suspecting that—
a
in the case of a confiscation investigation, the person specified in the application for the order has benefited from his criminal conduct;
b
in the case of a civil recovery investigation, the property specified in the application for the order is recoverable property or associated property.
F95c
in the case of an exploitation proceeds investigation, the person specified in the application for the order is a person within section 346(2A).
3
There must be reasonable grounds for believing that information which may be provided in compliance with a requirement imposed under the order is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the order is sought.
4
There must be reasonable grounds for believing that it is in the public interest for the information to be provided, having regard to the benefit likely to accrue to the investigation if the information is obtained.
I17C16C66359 Offences
1
A person commits an offence if without reasonable excuse he fails to comply with a requirement imposed on him under a disclosure order.
2
A person guilty of an offence under subsection (1) is liable on summary conviction to—
a
imprisonment for a term not exceeding six months,
b
a fine not exceeding level 5 on the standard scale, or
c
both.
3
A person commits an offence if, in purported compliance with a requirement imposed on him under a disclosure order, he—
a
makes a statement which he knows to be false or misleading in a material particular, or
b
recklessly makes a statement which is false or misleading in a material particular.
4
A person guilty of an offence under subsection (3) is liable—
a
on summary conviction, to imprisonment for a term not exceeding six months or to a fine not exceeding the statutory maximum or to both, or
b
on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both.
I18C14C67C68360 Statements
1
A statement made by a person in response to a requirement imposed on him under a disclosure order may not be used in evidence against him in criminal proceedings.
2
But subsection (1) does not apply—
a
in the case of proceedings under Part 2 or 4,
b
on a prosecution for an offence under section 359(1) or (3),
c
on a prosecution for an offence under section 5 of the Perjury Act 1911 (c. 6) or Article 10 of the Perjury (Northern Ireland) Order 1979 (S.I. 1979/1714 (N.I. 19)) (false statements), or
d
on a prosecution for some other offence where, in giving evidence, the person makes a statement inconsistent with the statement mentioned in subsection (1).
3
A statement may not be used by virtue of subsection (2)(d) against a person unless—
a
evidence relating to it is adduced, or
b
a question relating to it is asked,
by him or on his behalf in the proceedings arising out of the prosecution.
I19C17C15C18361 Further provisions
1
A disclosure order does not confer the right to require a person to answer any privileged question, provide any privileged information or produce any privileged document, except that a lawyer may be required to provide the name and address of a client of his.
2
A privileged question is a question which the person would be entitled to refuse to answer on grounds of legal professional privilege in proceedings in the High Court.
3
Privileged information is any information which the person would be entitled to refuse to provide on grounds of legal professional privilege in proceedings in the High Court.
4
Privileged material is any material which the person would be entitled to refuse to produce on grounds of legal professional privilege in proceedings in the High Court.
5
A disclosure order does not confer the right to require a person to produce excluded material.
6
A disclosure order has effect in spite of any restriction on the disclosure of information (however imposed).
7
F27An appropriate officer may take copies of any documents produced in compliance with a requirement to produce them which is imposed under a disclosure order.
8
Documents so produced may be retained for so long as it is necessary to retain them (as opposed to a copy of them) in connection with the investigation for the purposes of which the order was made.
9
But if F28an appropriate officer has reasonable grounds for believing that—
a
the documents may need to be produced for the purposes of any legal proceedings, and
b
they might otherwise be unavailable for those purposes,
they may be retained until the proceedings are concluded.
I20362 Supplementary
1
An application for a disclosure order may be made ex parte to a judge in chambers.
2
Rules of court may make provision as to the practice and procedure to be followed in connection with proceedings relating to disclosure orders.
3
An application to discharge or vary a disclosure order may be made to the court by—
a
the F29person who applied for the order ;
b
any person affected by the order.
4
The court—
a
may discharge the order;
b
may vary the order.
F304A
If a member of SOCA's staff or a person falling within a description of persons specified by virtue of section 357(9) applies for a disclosure order, an application to discharge or vary the order need not be by the same member of SOCA's staff or (as the case may be) the same person falling within that description.
4B
References to a person who applied for a disclosure order must be construed accordingly.
5
Customer information orders
I21363 Customer information orders
1
A judge may, on an application made to him by an appropriate officer, make a customer information order if he is satisfied that each of the requirements for the making of the order is fulfilled.
F721A
No application for a customer information order may be made in relation to a detained cash investigation.
2
The application for a customer information order must state that—
a
a person specified in the application is subject to a confiscation investigation F97, an exploitation proceeds investigation or a money laundering investigation, or
b
property specified in the application is subject to a civil recovery investigation and a person specified in the application appears to hold the property.
3
The application must also state that—
a
the order is sought for the purposes of the investigation;
b
the order is sought against the financial institution or financial institutions specified in the application.
4
An application for a customer information order may specify—
a
all financial institutions,
b
a particular description, or particular descriptions, of financial institutions, or
c
a particular financial institution or particular financial institutions.
5
A customer information order is an order that a financial institution covered by the application for the order must, on being required to do so by notice in writing given by an appropriate officer, provide any such customer information as it has relating to the person specified in the application.
6
A financial institution which is required to provide information under a customer information order must provide the information to an appropriate officer in such manner, and at or by such time, as an appropriate officer requires.
7
If a financial institution on which a requirement is imposed by a notice given under a customer information order requires the production of evidence of authority to give the notice, it is not bound to comply with the requirement unless evidence of the authority has been produced to it.
I22C78364 Meaning of customer information
1
“Customer information”, in relation to a person and a financial institution, is information whether the person holds, or has held, F106 an account or accounts at the financial institution (whether solely or jointly with another) and (if so) information as to—
a
the matters specified in subsection (2) if the person is an individual;
b
the matters specified in subsection (3) if the person is a company or limited liability partnership or a similar body incorporated or otherwise established outside the United Kingdom.
2
The matters referred to in subsection (1)(a) are—
a
the account number or numbersF3or the number of any safe deposit box;
b
the person’s full name;
c
his date of birth;
d
his most recent address and any previous addresses;
e
F4in the case of an account or accounts,the date or dates on which he began to hold the account or accounts and, if he has ceased to hold the account or any of the accounts, the date or dates on which he did so;
F5ee
in the case of any safe deposit box, the date on which the box was made available to him and if the box has ceased to be available to him the date on which it so ceased;
f
such evidence of his identity as was obtained by the financial institution under or for the purposes of any legislation relating to money laundering;
g
the full name, date of birth and most recent address, and any previous addresses, of any person who holds, or has held, an account at the financial institution jointly with him;
h
the account number or numbers of any other account or accounts held at the financial institution to which he is a signatory and details of the person holding the other account or accounts.
3
The matters referred to in subsection (1)(b) are—
a
the account number or numbersF6 or the number of any safe deposit box;
b
the person’s full name;
c
a description of any business which the person carries on;
d
the country or territory in which it is incorporated or otherwise established and any number allocated to it under F77the Companies Act 2006 or corresponding legislation of any country or territory outside the United Kingdom;
e
any number assigned to it for the purposes of value added tax in the United Kingdom;
f
its registered office, and any previous registered offices, under F78the Companies Act 2006 (or corresponding earlier legislation) or anything similar under corresponding legislation of any country or territory outside the United Kingdom;
g
its registered office, and any previous registered offices, under the Limited Liability Partnerships Act 2000 (c. 12) or anything similar under corresponding legislation of any country or territory outside Great Britain;
h
F7in the case of an account or accounts, the date or dates on which it began to hold the account or accounts and, if it has ceased to hold the account or any of the accounts, the date or dates on which it did so;
F8hh
in the case of any safe deposit box, the date on which the box was made available to it and if the box has ceased to be available to it the date on which it so ceased;
i
such evidence of its identity as was obtained by the financial institution under or for the purposes of any legislation relating to money laundering;
j
the full name, date of birth and most recent address and any previous addresses of any person who is a signatory to the account or any of the accounts.
4
The Secretary of State may by order provide for information of a description specified in the order—
a
to be customer information, or
b
no longer to be customer information.
5
Money laundering is an act which—
a
constitutes an offence under section 327, 328 or 329 of this Act or section 18 of the Terrorism Act 2000 (c. 11), or
F1aa
constitutes an offence specified in section 415(1A) of this Act,
b
would constitute an offence specified in paragraph (a)F2or (aa) if done in the United Kingdom.
F96
A “safe deposit box” includes any procedure under which a financial institution provides a facility to hold items for safe keeping on behalf of another person.
I23C69365 Requirements for making of customer information order
1
These are the requirements for the making of a customer information order.
2
In the case of a confiscation investigation, there must be reasonable grounds for suspecting that the person specified in the application for the order has benefited from his criminal conduct.
3
In the case of a civil recovery investigation, there must be reasonable grounds for suspecting that—
a
the property specified in the application for the order is recoverable property or associated property;
b
the person specified in the application holds all or some of the property.
4
In the case of a money laundering investigation, there must be reasonable grounds for suspecting that the person specified in the application for the order has committed a money laundering offence.
5
In the case of any investigation, there must be reasonable grounds for believing that customer information which may be provided in compliance with the order is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the order is sought.
6
In the case of any investigation, there must be reasonable grounds for believing that it is in the public interest for the customer information to be provided, having regard to the benefit likely to accrue to the investigation if the information is obtained.
I24C42C70C21C72366 Offences
1
A financial institution commits an offence if without reasonable excuse it fails to comply with a requirement imposed on it under a customer information order.
2
A financial institution guilty of an offence under subsection (1) is liable on summary conviction to a fine not exceeding level 5 on the standard scale.
3
A financial institution commits an offence if, in purported compliance with a customer information order, it—
a
makes a statement which it knows to be false or misleading in a material particular, or
b
recklessly makes a statement which is false or misleading in a material particular.
4
A financial institution guilty of an offence under subsection (3) is liable—
a
on summary conviction, to a fine not exceeding the statutory maximum, or
b
on conviction on indictment, to a fine.
I25C73C71C40C19367 Statements
1
A statement made by a financial institution in response to a customer information order may not be used in evidence against it in criminal proceedings.
2
But subsection (1) does not apply—
a
in the case of proceedings under Part 2 or 4,
b
on a prosecution for an offence under section 366(1) or (3), or
c
on a prosecution for some other offence where, in giving evidence, the financial institution makes a statement inconsistent with the statement mentioned in subsection (1).
3
A statement may not be used by virtue of subsection (2)(c) against a financial institution unless—
a
evidence relating to it is adduced, or
b
a question relating to it is asked,
by or on behalf of the financial institution in the proceedings arising out of the prosecution.
I26C41C20C43C22368 Disclosure of information
A customer information order has effect in spite of any restriction on the disclosure of information (however imposed).
I27369 Supplementary
1
An application for a customer information order may be made ex parte to a judge in chambers.
2
Rules of court may make provision as to the practice and procedure to be followed in connection with proceedings relating to customer information orders.
3
An application to discharge or vary a customer information order may be made to the court by—
a
the person who applied for the order;
b
any person affected by the order.
4
The court—
a
may discharge the order;
b
may vary the order.
5
If an accredited financial investigator, F32a member of SOCA's staff, a constable or a customs officer applies for a customer information order, an application to discharge or vary the order need not be by the same accredited financial investigator, F33member of SOCA's staff, constable or customs officer.
6
References to a person who applied for a customer information order must be construed accordingly.
7
An accredited financial investigator, F34a member of SOCA's staff, a constable or a customs officer may not make an application for a customer information order or an application to vary such an order unless he is a senior appropriate officer or he is authorised to do so by a senior appropriate officer.
8
Subsections (2) to (6) do not apply to orders made in England and Wales for the purposes of a civil recovery investigation.
Account monitoring orders
I28370 Account monitoring orders
1
A judge may, on an application made to him by an appropriate officer, make an account monitoring order if he is satisfied that each of the requirements for the making of the order is fulfilled.
F731A
No application for an account monitoring order may be made in relation to a detained cash investigation.
2
The application for an account monitoring order must state that—
a
a person specified in the application is subject to a confiscation investigation F98, an exploitation proceeds investigation or a money laundering investigation, or
b
property specified in the application is subject to a civil recovery investigation and a person specified in the application appears to hold the property.
3
The application must also state that—
a
the order is sought for the purposes of the investigation;
b
the order is sought against the financial institution specified in the application in relation to account information of the description so specified.
4
Account information is information relating to an account or accounts held at the financial institution specified in the application by the person so specified (whether solely or jointly with another).
5
The application for an account monitoring order may specify information relating to—
a
all accounts held by the person specified in the application for the order at the financial institution so specified,
b
a particular description, or particular descriptions, of accounts so held, or
c
a particular account, or particular accounts, so held.
C74C23C76C446
An account monitoring order is an order that the financial institution specified in the application for the order must, for the period stated in the order, provide account information of the description specified in the order to an appropriate officer in the manner, and at or by the time or times, stated in the order.
7
The period stated in an account monitoring order must not exceed the period of 90 days beginning with the day on which the order is made.
I29371 Requirements for making of account monitoring order
1
These are the requirements for the making of an account monitoring order.
2
In the case of a confiscation investigation, there must be reasonable grounds for suspecting that the person specified in the application for the order has benefited from his criminal conduct.
3
In the case of a civil recovery investigation, there must be reasonable grounds for suspecting that—
a
the property specified in the application for the order is recoverable property or associated property;
b
the person specified in the application holds all or some of the property.
4
In the case of a money laundering investigation, there must be reasonable grounds for suspecting that the person specified in the application for the order has committed a money laundering offence.
5
In the case of any investigation, there must be reasonable grounds for believing that account information which may be provided in compliance with the order is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the order is sought.
6
In the case of any investigation, there must be reasonable grounds for believing that it is in the public interest for the account information to be provided, having regard to the benefit likely to accrue to the investigation if the information is obtained.
I30C75C24C77C45372 Statements
1
A statement made by a financial institution in response to an account monitoring order may not be used in evidence against it in criminal proceedings.
2
But subsection (1) does not apply—
a
in the case of proceedings under Part 2 or 4,
b
in the case of proceedings for contempt of court, or
c
on a prosecution for an offence where, in giving evidence, the financial institution makes a statement inconsistent with the statement mentioned in subsection (1).
3
A statement may not be used by virtue of subsection (2)(c) against a financial institution unless—
a
evidence relating to it is adduced, or
b
a question relating to it is asked,
by or on behalf of the financial institution in the proceedings arising out of the prosecution.
I31373 Applications
An application for an account monitoring order may be made ex parte to a judge in chambers.
I32C47C25C26C46374 Disclosure of information
An account monitoring order has effect in spite of any restriction on the disclosure of information (however imposed).
I33375 Supplementary
1
Rules of court may make provision as to the practice and procedure to be followed in connection with proceedings relating to account monitoring orders.
2
An application to discharge or vary an account monitoring order may be made to the court by—
a
the person who applied for the order;
b
any person affected by the order.
3
The court—
a
may discharge the order;
b
may vary the order.
4
If an accredited financial investigator, F35a member of SOCA's staff, a constable or a customs officer applies for an account monitoring order, an application to discharge or vary the order need not be by the same accredited financial investigator, F36member of SOCA's staff, constable or customs officer.
5
References to a person who applied for an account monitoring order must be construed accordingly.
6
Account monitoring orders have effect as if they were orders of the court.
7
This section does not apply to orders made in England and Wales for the purposes of a civil recovery investigation.
Evidence overseas
F37I34376 Evidence overseas
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Code of practice
I35377 Code of practice F12of Secretary of State etc.
1
The Secretary of State must prepare a code of practice as to the exercise by all of the following of functions they have under this Chapter—
a
F38the Director General of SOCA ;
b
F39other members of SOCA's staff ;
c
F104in relation to England and Wales, accredited financial investigators;
d
F104in relation to England and Wales, constables;
e
customs officers.
2
After preparing a draft of the code the Secretary of State—
a
must publish the draft;
b
must consider any representations made to him about the draft;
c
may amend the draft accordingly.
3
After the Secretary of State has proceeded under subsection (2) he must lay the code before Parliament.
4
When he has done so the Secretary of State may bring the code into operation on such day as he may appoint by order.
5
A person specified in subsection (1)(a) to (e) must comply with a code of practice which is in operation under this section in the exercise of any function he has under this Chapter.
6
If such a person fails to comply with any provision of such a code of practice he is not by reason only of that failure liable in any criminal or civil proceedings.
7
But the code of practice is admissible in evidence in such proceedings and a court may take account of any failure to comply with its provisions in determining any question in the proceedings.
8
The Secretary of State may from time to time revise a code previously brought into operation under this section; and the preceding provisions of this section apply to a revised code as they apply to the code as first prepared.
F1059
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
377ZAF100Code of practice (Northern Ireland)
1
The Department of Justice in Northern Ireland must prepare a code of practice as to the exercise, in relation to Northern Ireland, by constables and accredited financial investigators of functions they have under this Chapter.
2
After preparing a draft of the code the Department of Justice—
a
must publish the draft;
b
must consider any representations made to the Department of Justice about the draft;
c
may amend the draft accordingly.
3
After the Department of Justice has proceeded under subsection (2) it must lay the code before the Northern Ireland Assembly.
4
When the Department of Justice has done so it may bring the code into operation on such day as the Department of Justice may appoint by order.
5
Section 41(3) of the Interpretation Act (Northern Ireland) 1954 applies for the purposes of subsection (3) in relation to the laying of a code as it applies in relation to the laying of a statutory document under an enactment.
6
A constable or accredited financial investigator must comply with a code of practice which is in operation under this section in the exercise of any function he has under this Chapter.
7
If a constable or accredited financial investigator fails to comply with any provision of such a code of practice he is not by reason only of that failure liable in any criminal or civil proceedings.
8
But the code of practice is admissible in evidence in such proceedings and a court may take account of any failure to comply with its provisions in determining any question in the proceedings.
9
The Department of Justice may from time to time revise a code previously brought into operation under this section; and the preceding provisions of this section apply to a revised code as they apply to the code as first prepared.
377ZBDisapplication of PACE codes
The following provisions do not apply to an appropriate officer or the relevant authority in the exercise of any function either has under this Chapter—
a
section 67(9) of the Police and Criminal Evidence Act 1984 (application of codes of practice under that Act to persons other than police officers);
b
Article 66(8) of the Police and Criminal Evidence (Northern Ireland) Order 1989 (which makes similar provision for Northern Ireland).
377AF11Code of practice of Attorney General or Advocate General for Northern Ireland
1
The Attorney General must prepare a code of practice as to—
a
the exercise by the Director of Public Prosecutions, the Director of Revenue and Customs Prosecutions and the Director of the Serious Fraud Office of functions they have under this Chapter; and
b
the exercise by any other person, who is the relevant authority by virtue of section 357(9) in relation to a confiscation investigation, of functions he has under this Chapter in relation to England and Wales as the relevant authority.
2
The Advocate General for Northern Ireland must prepare a code of practice as to—
a
the exercise by the Director of Public Prosecutions for Northern Ireland of functions he has under this Chapter; and
b
the exercise by any other person, who is the relevant authority by virtue of section 357(9) in relation to a confiscation investigation, of functions he has under this Chapter in relation to Northern Ireland as the relevant authority.
3
After preparing a draft of the code the Attorney General or (as the case may be) the Advocate General for Northern Ireland—
a
must publish the draft;
b
must consider any representations made to him about the draft;
c
may amend the draft accordingly.
4
After the Attorney General or the Advocate General for Northern Ireland has proceeded under subsection (3) he must lay the code before Parliament.
5
When the code has been so laid the Attorney General or (as the case may be) the Advocate General for Northern Ireland may bring the code into operation on such day as he may appoint by order.
6
A person specified in subsection (1)(a) or (b) or (2)(a) or (b) must comply with a code of practice which is in operation under this section in the exercise of any function he has under this Chapter to which the code relates.
7
If such a person fails to comply with any provision of such a code of practice the person is not by reason only of that failure liable in any criminal or civil proceedings.
8
But the code of practice is admissible in evidence in such proceedings and a court may take account of any failure to comply with its provisions in determining any question in the proceedings.
9
The Attorney General or (as the case may be) the Advocate General for Northern Ireland may from time to time revise a code previously brought into operation under this section; and the preceding provisions of this section apply to a revised code as they apply to the code as first prepared.
10
In this section references to the Advocate General for Northern Ireland are to be read, before the coming into force of section 27(1) of the Justice (Northern Ireland) Act 2002 (c. 26), as references to the Attorney General for Northern Ireland.
Interpretation
I36378 Officers
1
In relation to a confiscation investigation these are appropriate officers—
a
F40a member of SOCA's staff ;
b
an accredited financial investigator;
c
a constable;
d
a customs officer.
2
In relation to a confiscation investigation these are senior appropriate officers—
a
F41a senior member of SOCA's staff ;
b
a police officer who is not below the rank of superintendent;
c
a customs officer who is not below such grade as is designated by the Commissioners of Customs and Excise as equivalent to that rank;
d
an accredited financial investigator who falls within a description specified in an order made for the purposes of this paragraph by the Secretary of State under section 453.
3
In relation to a civil recovery investigation
F42—
a
a member of SOCA's staff or the relevant Director is an appropriate officer;
b
a senior member of SOCA's staff is a senior appropriate officer.
F743A
In relation to a detained cash investigation these are appropriate officers—
a
a constable;
F75ab
an accredited financial investigator;
b
an officer of Revenue and Customs.
F763B
The reference in paragraph (ab) of subsection (3A) to an accredited financial investigator is a reference to an accredited financial investigator who falls within a description specified in an order made for the purposes of that paragraph by the Secretary of State under section 453.
4
In relation to a money laundering investigation these are appropriate officers—
a
an accredited financial investigator;
b
a constable;
c
a customs officer.
5
6
In relation to a money laundering investigation these are senior appropriate officers—
a
a police officer who is not below the rank of superintendent;
b
a customs officer who is not below such grade as is designated by the Commissioners of Customs and Excise as equivalent to that rank;
c
an accredited financial investigator who falls within a description specified in an order made for the purposes of this paragraph by the Secretary of State under section 453.
F996A
In relation to an exploitation proceeds investigation, a member of SOCA's staff is an appropriate officer.
F457
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F448
For the purposes of this Part a senior member of SOCA's staff is—
a
the Director General of SOCA; or
b
any member of SOCA's staff authorised by the Director General (whether generally or specifically) for this purpose.
I37379 Miscellaneous
“Document”, “excluded material” and “premises” have the same meanings as in the Police and Criminal Evidence Act 1984 (c. 60) or (in relation to Northern Ireland) the Police and Criminal Evidence (Northern Ireland) Order 1989 (S.I. 1989/1341 (N.I. 12)).