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- Original (As enacted)
Competition Act 1998, Chapter III is up to date with all changes known to be in force on or before 09 October 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
Revised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the legislation in the affected provisions. Use the ‘more’ link to open the changes and effects relevant to the provision you are viewing.
Whole provisions yet to be inserted into this Act (including any effects on those provisions):
Modifications etc. (not altering text)
C1Pt. 1 Ch. 3 applied in part (31.10.2023) by The Transport (Scotland) Act 2019 (Consequential Provisions and Modifications) Order 2023 (S.I. 2023/80), arts. 1(3), 22
(1)In any of the following cases, the [F3CMA] may conduct an investigation.
(2)The first case is where there are reasonable grounds for suspecting that there is an agreement which—
(a)may affect trade within the United Kingdom; and
(b)has as its object or effect the prevention, restriction or distortion of competition within the United Kingdom.
F4(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4)The third case is where there are reasonable grounds for suspecting that the Chapter II prohibition has been infringed.
F5(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(6)The fifth case is where there are reasonable grounds for suspecting that, at some time in the past, there was an agreement which at that time—
(a)may have affected trade within the United Kingdom; and
(b)had as its object or effect the prevention, restriction or distortion of competition within the United Kingdom.
F6(7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(8)Subsection (2) does not permit an investigation to be conducted in relation to an agreement if the [F7CMA] —
(a)considers that the agreement is exempt from the Chapter I prohibition as a result of a block exemption or [F8an assimilated] [F9exemption]; and
(b)does not have reasonable grounds for suspecting that the circumstances may be such that it could exercise its power to cancel the exemption.
F10(9). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(10)Subsection (6) does not permit an investigation to be conducted in relation to any agreement if the [F7CMA] considers that, at the time in question, the agreement was exempt from the Chapter I prohibition as a result of a block exemption or [F11an assimilated] [F12exemption].
F13(11). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(12)It is immaterial for the purposes of subsection (6) F14... whether the agreement in question remains in existence.]
Textual Amendments
F1S. 25 substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 10
F2Word in s. 25 heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 5(3) (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F3Word in s. 25(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 5(2) (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F4S. 25(3) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 6(2) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F5S. 25(5) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 6(2) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F6S. 25(7) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 6(2) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F7Word in s. 25(8)-(11) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 5(2) (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F8Words in s. 25(8)(a) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 41(3)(c)
F9Words in s. 25(8)(a) substituted (31.12.2020) by The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 6(3) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F10S. 25(9) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 6(4) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F11Words in s. 25(10) substituted (1.1.2024) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendment) Regulations 2023 (S.I. 2023/1424), reg. 1(2), Sch. para. 41(3)(c)
F12Words in s. 25(10) substituted (31.12.2020) by The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 6(5) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F13S. 25(11) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 6(6) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F14Words in s. 25(12) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 6(7) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
(1)Where the CMA decides to conduct an investigation it may publish a notice which may, in particular—
(a)state its decision to do so;
(b)indicate which of [F16subsections (2), (4) and (6)] of section 25 the investigation falls under;
(c)summarise the matter being investigated;
(d)identify any undertaking whose activities are being investigated as part of the investigation;
(e)identify the market which is or was affected by the matter being investigated.
(2)Section 57 does not apply to a notice under subsection (1) to the extent that it includes information other than information mentioned in that subsection.
(3)Subsection (4) applies if—
(a)the CMA has published a notice under subsection (1) which identifies an undertaking whose activities are being investigated, and
(b)the CMA subsequently decides (without making a decision within the meaning given by section 31(2)) to terminate the investigation of the activities of the undertaking so identified.
(4)The CMA must publish a notice stating that the activities of the undertaking in question are no longer being investigated.]
Textual Amendments
F15S. 25A inserted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 42(2), 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
F16Words in s. 25A(1)(b) substituted (31.12.2020) by The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 7 (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
(1)For the purposes of an investigation [F18under section 25], the [F19CMA] may require any person to produce to [F20it] a specified document, or to provide [F20it] with specified information, which [F20it] considers relates to any matter relevant to the investigation.
(2)The power conferred by subsection (1) is to be exercised by a notice in writing.
(3)A notice under subsection (2) must indicate—
(a)the subject matter and purpose of the investigation; and
(b)the nature of the offences created by sections [F2143 and] 44.
(4)In subsection (1) “specified” means—
(a)specified, or described, in the notice; or
(b)falling within a category which is specified, or described, in the notice.
(5)The [F22CMA] may also specify in the notice—
(a)the time and place at which any document is to be produced or any information is to be provided;
(b)the manner and form in which it is to be produced or provided.
(6)The power under this section to require a person to produce a document includes power—
(a)if the document is produced—
(i)to take copies of it or extracts from it;
(ii)to require him, or any person who is a present or past officer of his, or is or was at any time employed by him, to provide an explanation of the document;
(b)if the document is not produced, to require him to state, to the best of his knowledge and belief, where it is.
Textual Amendments
F17S. 26 heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 39(3), 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
F18Words in s. 26(1) cease to have effect (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 11 (with reg. 6(2))
F19Word in s. 26(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 6 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F20Words in s. 26(1) substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(20)(a); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
F21Words in s. 26(3)(b) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 15 para. 9; S.I. 2014/416, art. 2(1)(f) (with Sch.)
F22Word in s. 26(5) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 6 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
Modifications etc. (not altering text)
C2S. 26 applied (prosp.) by Company Directors Disqualification Act 1986 (c. 46), s. 9C(2) (as inserted (prosp.) by Enterprise Act 2002 (c. 40), ss. 204(2), 279)
C3Ss. 26-30 applied by 1986 c. 46, s. 9C(2) (as inserted (20.6.2003) by Enterprise Act 2002 (c. 40), ss. 204(2), 279; S.I. 2003/1397, art. 2(1), Sch.)
C4Ss. 26-30 applied by S.I. 2002/3150 (N.I. 4), art. 13C(2) (as inserted (19.12.2005) by The Company Directors Disqualification (Amendment) (Northern Ireland) Order 2005 (S.I. 2005/1454), arts. 1(3), 3; S.R. 2005/514, art. 2)
(1)For the purposes of an investigation, the CMA may give notice to an individual who has a connection with a relevant undertaking requiring the individual to answer questions with respect to any matter relevant to the investigation—
(a)at a place specified in the notice, and
(b)either at a time so specified or on receipt of the notice.
(2)The CMA must give a copy of the notice under subsection (1) to each relevant undertaking with which the individual has a current connection at the time the notice is given to the individual.
(3)The CMA must take such steps as are reasonable in all the circumstances to comply with the requirement under subsection (2) before the time at which the individual is required to answer questions.
(4)Where the CMA does not comply with the requirement under subsection (2) before the time mentioned in subsection (3), it must comply with that requirement as soon as practicable after that time.
(5)A notice under subsection (1) must be in writing and must indicate—
(a)the subject matter and purpose of the investigation, and
(b)the nature of the offence created by section 44.
(6)For the purposes of this section—
(a)an individual has a connection with an undertaking if he or she is or was—
(i)concerned in the management or control of the undertaking, or
(ii)employed by, or otherwise working for, the undertaking, and
(b)an individual has a current connection with an undertaking if, at the time in question, he or she is so concerned, is so employed or is so otherwise working.
(7)In this section, a “relevant undertaking” means an undertaking whose activities are being investigated as part of the investigation in question.]
Textual Amendments
F23S. 26A inserted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 39(2), 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
(1)Any officer of the [F25CMA] who is authorised in writing by the [F25CMA] to do so (“an investigating officer”) may enter [F26any business premises] in connection with an investigation [F27under section 25].
(2)No investigating officer is to enter any premises in the exercise of his powers under this section unless he has given to the occupier of the premises a written notice which—
(a)gives at least two working days’ notice of the intended entry;
(b)indicates the subject matter and purpose of the investigation; and
(c)indicates the nature of the offences created by sections 42 to 44.
(3)Subsection (2) does not apply—
(a)if the [F28CMA] has a reasonable suspicion that the premises are, or have been, occupied by—
(i)a party to an agreement which [F29it] is investigating [F30section 25]; or
(ii)an undertaking the conduct of which [F29it] is investigating under [F31section 25]; or
(b)if the investigating officer has taken all such steps as are reasonably practicable to give notice but has not been able to do so.
(4)In a case falling within subsection (3), the power of entry conferred by subsection (1) is to be exercised by the investigating officer on production of—
(a)evidence of his authorisation; and
(b)a document containing the information referred to in subsection (2)(b) and (c).
(5)An investigating officer entering any premises under this section may—
(a)take with him such equipment as appears to him to be necessary;
(b)require any person on the premises—
(i)to produce any document which he considers relates to any matter relevant to the investigation; and
(ii)if the document is produced, to provide an explanation of it;
(c)require any person to state, to the best of his knowledge and belief, where any such document is to be found;
(d)take copies of, or extracts from, any document which is produced;
(e)require any information which is [F32stored in any electronic form] and is accessible from the premises and which the investigating officer considers relates to any matter relevant to the investigation, to be produced in a form—
(i)in which it can be taken away, and
(ii)in which it is visible and legible [F33or from which it can readily be produced in a visible and legible form].
[F34(f)take any steps which appear to be necessary for the purpose of preserving or preventing interference with any document which he considers relates to any matter relevant to the investigation.]
[F35(6)In this section “business premises” means premises (or any part of premises) not used as a dwelling.]
Textual Amendments
F24Words in s. 27 sidenote substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 12(6)
F25Word in s. 27(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 7 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F26Words in s. 27(1) substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 12(2)(a)
F27Words in s. 27(1) cease to have effect (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 12(2)(b) (with reg. 6(2))
F28Word in s. 27(3) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 7 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F29Word in s. 27(3) substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(21)(b); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
F30Words in s. 27(3)(a)(i) substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 12(3)(a)
F31Words in s. 27(3)(a)(ii) substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 12(3)(b)
F32Words in s. 27(5)(e) substituted (1.4.2003) by Criminal Justice and Police Act 2001 (c. 16), s. 138(2), Sch. 2 para. 21(a); S.I. 2003/708, art. 2(k)
F33Words in s. 27(5)(e) inserted (1.4.2003) by Criminal Justice and Police Act 2001 (c. 16), s. 138(2), Sch. 2 para. 21(b); S.I. 2003/708, art. 2(k)
F34S. 27(5)(f) inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 12(4)
F35S. 27(6) inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 12(5)
Modifications etc. (not altering text)
C3Ss. 26-30 applied by 1986 c. 46, s. 9C(2) (as inserted (20.6.2003) by Enterprise Act 2002 (c. 40), ss. 204(2), 279; S.I. 2003/1397, art. 2(1), Sch.)
C4Ss. 26-30 applied by S.I. 2002/3150 (N.I. 4), art. 13C(2) (as inserted (19.12.2005) by The Company Directors Disqualification (Amendment) (Northern Ireland) Order 2005 (S.I. 2005/1454), arts. 1(3), 3; S.R. 2005/514, art. 2)
C5S. 27 applied (prosp.) by Company Directors Disqualification Act 1986 (c. 46), s. 9C(2) (as inserted (prosp.) by Enterprise Act 2002 (c. 40), ss. 204(2), 279)
(1)[F37On an application made to it by the CMA, the court or the Tribunal may issue a warrant if it is satisfied that—]
(a)there are reasonable grounds for suspecting that there are on [F38any business premises] documents—
(i)the production of which has been required under section 26 or 27; and
(ii)which have not been produced as required;
(b)there are reasonable grounds for suspecting that—
(i)there are on [F39any business premises] documents which the [F40CMA] has power under section 26 to require to be produced; and
(ii)if the documents were required to be produced, they would not be produced but would be concealed, removed, tampered with or destroyed; or
(c)an investigating officer has attempted to enter premises in the exercise of his powers under section 27 but has been unable to do so and that there are reasonable grounds for suspecting that there are on the premises documents the production of which could have been required under that section.
(2)A warrant under this section shall authorise a named officer of the [F41CMA] , and any other of [F42the [F43“CMA's] officers whom the [F41CMA]] has authorised in writing to accompany the named officer—
(a)to enter the premises specified in the warrant, using such force as is reasonably necessary for the purpose;
(b)to search the premises and take copies of, or extracts from, any document appearing to be of a kind in respect of which the application under subsection (1) was granted (“the relevant kind”);
(c)to take possession of any documents appearing to be of the relevant kind if—
(i)such action appears to be necessary for preserving the documents or preventing interference with them; or
(ii)it is not reasonably practicable to take copies of the documents on the premises;
(d)to take any other steps which appear to be necessary for the purpose mentioned in paragraph (c)(i);
(e)to require any person to provide an explanation of any document appearing to be of the relevant kind or to state, to the best of his knowledge and belief, where it may be found;
(f)to require any information which is [F44stored in any electronic form] and is accessible from the premises and which the named officer considers relates to any matter relevant to the investigation, to be produced in a form—
(i)in which it can be taken away, and
(ii)in which it is visible and legible [F45or from which it can readily be produced in a visible and legible form].
(3)If, in the case of a warrant under subsection (1)(b), [F46the court or (as the case may be) the Tribunal] is satisfied that it is reasonable to suspect that there are also on the premises other documents relating to the investigation concerned, the warrant shall also authorise action mentioned in subsection (2) to be taken in relation to any such document.
[F47(3A)A warrant under this section may authorise persons specified in the warrant to accompany the named officer who is executing it.]
(4)Any person entering premises by virtue of a warrant under this section may take with him such equipment as appears to him to be necessary.
(5)On leaving any premises which he has entered by virtue of a warrant under this section, the named officer must, if the premises are unoccupied or the occupier is temporarily absent, leave them as effectively secured as he found them.
(6)A warrant under this section continues in force until the end of the period of one month beginning with the day on which it is issued.
(7)Any document of which possession is taken under subsection (2)(c) may be retained for a period of three months.
[F48(7A)An application for a warrant under this section must be made—
(a)in the case of an application to the court, in accordance with rules of court;
(b)in the case of an application to the Tribunal, in accordance with Tribunal rules.]
[F49(8)In this section “business premises” has the same meaning as in section 27.]
Textual Amendments
F36Words in s. 28 sidenote substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 13(4)
F37Words in s. 28(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 13 para. 2(2); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F38Words in s. 28(1)(a) substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 13(2)(a)
F39Words in s. 28(1)(b)(i) substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 13(2)(b)
F40Word in s. 28(1)(b)(i) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 8(2) (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F41Word in s. 28(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 8(3)(a) (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F42Words in s. 28(2) substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(22)(b)(ii); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
F43Word in s. 28(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 8(3)(b) (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F44Words in s. 28(2)(f) substituted (1.4.2003) by Criminal Justice and Police Act 2001 (c. 16), s. 138(2), Sch. 2 para. 21(a); S.I. 2003/708, art. 2(k)
F45Words in s. 28(2)(f) inserted (1.4.2003) by Criminal Justice and Police Act 2001 (c. 16), s. 138(2), Sch. 2 para. 21(b); S.I. 2003/708, art. 2(k)
F46Words in s. 28(3) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 13 para. 2(3); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F47S. 28(3A) inserted (20.6.2003) by Enterprise Act 2002 (c. 40), ss. 203(2), 279; S.I. 2003/1397, art. 2(1), Sch.
F48S. 28(7A) inserted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 13 para. 2(4); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F49S. 28(8) inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 13(3)
Modifications etc. (not altering text)
C3Ss. 26-30 applied by 1986 c. 46, s. 9C(2) (as inserted (20.6.2003) by Enterprise Act 2002 (c. 40), ss. 204(2), 279; S.I. 2003/1397, art. 2(1), Sch.)
C4Ss. 26-30 applied by S.I. 2002/3150 (N.I. 4), art. 13C(2) (as inserted (19.12.2005) by The Company Directors Disqualification (Amendment) (Northern Ireland) Order 2005 (S.I. 2005/1454), arts. 1(3), 3; S.R. 2005/514, art. 2)
C6S. 28 applied (prosp.) by Company Directors Disqualification Act 1986 (c. 46), s. 9C(2) (as inserted (prosp.) by Enterprise Act 2002 (c. 40), ss. 204(2), 279)
C7S. 28(2): powers of seizure extended (prosp.) by 2001 c. 16, ss. 50, 52-54, 68, 138(2), Sch. 1 Pt. 1 para. 67
C8S. 28(2) powers of seizure extended (1.6.2004) by Criminal Justice and Police Act 2001 (c. 16), ss. 50, 138(2), Sch. 1 para. 67 (with ss. 52-54, 68); S.I. 2004/1376, art. 2(b)
C9S. 28(2)(f) modified (prosp.) by 2001 c. 16, ss. 63(2)(h), 138(2)
C10S. 28(2)(f) modified (1.4.2003) by Criminal Justice and Police Act 2001 (c. 16), ss. 63, 138(2); S.I. 2003/708, art. 2(a)
C11S. 28(7) applied (prosp.) by 2001 c. 16, ss. 57(1)(n)(2)(4), 138(2)
C12S. 28(7) applied (1.4.2003) by Criminal Justice and Police Act 2001 (c. 16), ss. 57(1)(n), 138(2) (with s. 57(4)); S.I. 2003/708, art. 2(a)
(1)[F51On an application made to it by the CMA, the court or the Tribunal may issue a warrant if it is satisfied that—]
(a)there are reasonable grounds for suspecting that there are on any domestic premises documents—
(i)the production of which has been required under section 26; and
(ii)which have not been produced as required; or
(b)there are reasonable grounds for suspecting that—
(i)there are on any domestic premises documents which the [F52CMA] has power under section 26 to require to be produced; and
(ii)if the documents were required to be produced, they would not be produced but would be concealed, removed, tampered with or destroyed.
(2)A warrant under this section shall authorise a named officer of the [F52CMA] , and any other of its officers whom the [F52CMA] has authorised in writing to accompany the named officer—
(a)to enter the premises specified in the warrant, using such force as is reasonably necessary for the purpose;
(b)to search the premises and take copies of, or extracts from, any document appearing to be of a kind in respect of which the application under subsection (1) was granted (“the relevant kind”);
(c)to take possession of any documents appearing to be of the relevant kind if—
(i)such action appears to be necessary for preserving the documents or preventing interference with them; or
(ii)it is not reasonably practicable to take copies of the documents on the premises;
(d)to take any other steps which appear to be necessary for the purpose mentioned in paragraph (c)(i);
(e)to require any person to provide an explanation of any document appearing to be of the relevant kind or to state, to the best of his knowledge and belief, where it may be found;
(f)to require any information which is stored in any electronic form and is accessible from the premises and which the named officer considers relates to any matter relevant to the investigation, to be produced in a form—
(i)in which it can be taken away, and
(ii)in which it is visible and legible or from which it can readily be produced in a visible and legible form.
(3)If, in the case of a warrant under subsection (1)(b), [F53the court or (as the case may be) the Tribunal] is satisfied that it is reasonable to suspect that there are also on the premises other documents relating to the investigation concerned, the warrant shall also authorise action mentioned in subsection (2) to be taken in relation to any such document.
(4)A warrant under this section may authorise persons specified in the warrant to accompany the named officer who is executing it.
(5)Any person entering premises by virtue of a warrant under this section may take with him such equipment as appears to him to be necessary.
(6)On leaving any premises which he has entered by virtue of a warrant under this section, the named officer must, if the premises are unoccupied or the occupier is temporarily absent, leave them as effectively secured as he found them.
(7)A warrant under this section continues in force until the end of the period of one month beginning with the day on which it is issued.
(8)Any document of which possession is taken under subsection (2)(c) may be retained for a period of three months.
[F54(8A)An application for a warrant under this section must be made—
(a)in the case of an application to the court, in accordance with rules of court;
(b)in the case of an application to the Tribunal, in accordance with Tribunal rules.]
(9)In this section, “domestic premises” means premises (or any part of premises) that are used as a dwelling and are—
(a)premises also used in connection with the affairs of an undertaking or association of undertakings; or
(b)premises where documents relating to the affairs of an undertaking or association of undertakings are kept.]
Textual Amendments
F50S. 28A inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 14
F51Words in s. 28A(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 13 para. 3(2); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F52Word in s. 28A(1)(b)(i)(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 9 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F53Words in s. 28A(3) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 13 para. 3(3); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F54S. 28A(8A) inserted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 13 para. 3(4); S.I. 2014/416, art. 2(1)(d) (with Sch.)
Modifications etc. (not altering text)
C4Ss. 26-30 applied by S.I. 2002/3150 (N.I. 4), art. 13C(2) (as inserted (19.12.2005) by The Company Directors Disqualification (Amendment) (Northern Ireland) Order 2005 (S.I. 2005/1454), arts. 1(3), 3; S.R. 2005/514, art. 2)
(1)A warrant issued under section 28 [F55or 28A] must indicate—
(a)the subject matter and purpose of the investigation;
(b)the nature of the offences created by sections 42 to 44.
(2)The powers conferred by section 28 [F56or 28A] are to be exercised on production of a warrant issued under that section.
(3)If there is no one at the premises when the named officer proposes to execute such a warrant he must, before executing it—
(a)take such steps as are reasonable in all the circumstances to inform the occupier of the intended entry; and
(b)if the occupier is informed, afford him or his legal or other representative a reasonable opportunity to be present when the warrant is executed.
(4)If the named officer is unable to inform the occupier of the intended entry he must, when executing the warrant, leave a copy of it in a prominent place on the premises.
(5)In this section—
“named officer” means the officer named in the warrant; and
“occupier”, in relation to any premises, means a person whom the named officer reasonably believes is the occupier of those premises.
Textual Amendments
F55Words in s. 29(1) inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 15(2)
F56Words in s. 29(2) inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 15(3)
Modifications etc. (not altering text)
C3Ss. 26-30 applied by 1986 c. 46, s. 9C(2) (as inserted (20.6.2003) by Enterprise Act 2002 (c. 40), ss. 204(2), 279; S.I. 2003/1397, art. 2(1), Sch.)
C4Ss. 26-30 applied by S.I. 2002/3150 (N.I. 4), art. 13C(2) (as inserted (19.12.2005) by The Company Directors Disqualification (Amendment) (Northern Ireland) Order 2005 (S.I. 2005/1454), arts. 1(3), 3; S.R. 2005/514, art. 2)
C13S. 29 applied (prosp.) by Company Directors Disqualification Act 1986 (c. 46), s. 9C(2) (as inserted (prosp.) by Enterprise Act 2002 (c. 40), ss. 204(2), 279)
(1)A person shall not be required, under any provision of this Part, to produce or disclose a privileged communication.
(2)“Privileged communication” means a communication—
(a)between a professional legal adviser and his client, or
(b)made in connection with, or in contemplation of, legal proceedings and for the purposes of those proceedings,
which in proceedings in the High Court would be protected from disclosure on grounds of legal professional privilege.
(3)In the application of this section to Scotland—
(a)references to the High Court are to be read as references to the Court of Session; and
(b)the reference to legal professional privilege is to be read as a reference to confidentiality of communications.
Modifications etc. (not altering text)
C3Ss. 26-30 applied by 1986 c. 46, s. 9C(2) (as inserted (20.6.2003) by Enterprise Act 2002 (c. 40), ss. 204(2), 279; S.I. 2003/1397, art. 2(1), Sch.)
C4Ss. 26-30 applied by S.I. 2002/3150 (N.I. 4), art. 13C(2) (as inserted (19.12.2005) by The Company Directors Disqualification (Amendment) (Northern Ireland) Order 2005 (S.I. 2005/1454), arts. 1(3), 3; S.R. 2005/514, art. 2)
C14S. 30 applied (prosp.) by Company Directors Disqualification Act 1986 (c. 46), s. 9C(2) (as inserted (prosp.) by Enterprise Act 2002 (c. 40), ss. 204(2), 279)
[F58(1)]A statement made by a person in response to a requirement imposed by virtue of any of [F59sections 26, 27 to 28A and 40ZD] may not be used in evidence against him on a prosecution for an offence under section 188 of the Enterprise Act 2002 unless, in the proceedings—
(a)in giving evidence, he makes a statement inconsistent with it, and
(b)evidence relating to it is adduced, or a question relating to it is asked, by him or on his behalf.]
[F60(2)A statement by an individual in response to a requirement imposed by virtue of section 26A (a “section 26A statement”) may only be used in evidence against the individual—
(a)on a prosecution for an offence under section 44, or
(b)on a prosecution for some other offence in a case falling within subsection (3).
(3)A prosecution falls within this subsection if, in the proceedings—
(a)in giving evidence, the individual makes a statement inconsistent with the section 26A statement, and
(b)evidence relating to the section 26A statement is adduced, or a question relating to it is asked, by or on behalf of the individual.
(4)A section 26A statement may not be used in evidence against an undertaking with which the individual who gave the statement has a connection on a prosecution for an offence unless the prosecution is for an offence under section 44.
(5)For the purposes of subsection (4), an individual has a connection with an undertaking if he or she is or was—
(a)concerned in the management or control of the undertaking, or
(b)employed by, or otherwise working for, the undertaking.]
Textual Amendments
F57S. 30A inserted (20.6.2003) by Enterprise Act 2002 (c. 40), ss. 198, 279; S.I. 2003/1397, art. 2(1), Sch.
F58S. 30A renumbered as s. 30A(1) (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 39(5), 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
F59Words in s. 30A(1) substituted (31.12.2020) by S.I. 2019/93, reg. 7A (as inserted by The Competition (Amendment etc.) (EU Exit) Regulations 2020 (S.I. 2020/1343), regs. 1(1), 3)
F60S. 30A(2)-(5) inserted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 39(7), 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
(1)If as a result of an investigation the [F62CMA] proposes to make a decision, the [F62CMA] must—
(a)give written notice to the person (or persons) likely to be affected by the proposed decision; and
(b)give that person (or those persons) an opportunity to make representations.]
[F61(2)For the purposes of this section and sections 31A and 31B “decision” means a decision of the [F62CMA] —
(a)that the Chapter I prohibition has been infringed; [F63or]
(b)that the Chapter II prohibition has been infringed;
F64(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F65(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]
Textual Amendments
F61S. 31 substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 17
F62Word in s. 31(1)(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 10 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F63Word in s. 31(2)(a) inserted (31.12.2020) by The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 8(a) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F64S. 31(2)(c) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 8(b) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F65S. 31(2)(d) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 8(b) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
(1)Subsection (2) applies in a case where the [F67CMA] has begun an investigation under section 25 but has not made a decision (within the meaning given by section 31(2)).
(2)For the purposes of addressing the competition concerns it has identified, the [F67CMA] may accept from such person (or persons) concerned as it considers appropriate commitments to take such action (or refrain from taking such action) as it considers appropriate.
(3)At any time when commitments are in force the [F67CMA] may accept from the person (or persons) who gave the commitments—
(a)a variation of them if it is satisfied that the commitments as varied will address its current competition concerns;
(b)commitments in substitution for them if it is satisfied that the new commitments will address its current competition concerns.
(4)Commitments under this section—
(a)shall come into force when accepted; and
(b)may be released by the [F67CMA] where—
(i)it is requested to do so by the person (or persons) who gave the commitments; or
(ii)it has reasonable grounds for believing that the competition concerns referred to in subsection (2) or (3) no longer arise.
(5)The provisions of Schedule 6A to this Act shall have effect with respect to procedural requirements for the acceptance, variation and release of commitments under this section.]
Textual Amendments
F66Ss. 31A-31E inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 18
F67Words in s. 31A(1)-(4) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 11 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
(1)Subsection (2) applies if the [F68CMA] has accepted commitments under section 31A (and has not released them).
(2)In such a case, the [F68CMA] shall not—
(a)continue the investigation,
(b)make a decision (within the meaning of section 31(2)), or
(c)give a direction under section 35,
in relation to the agreement or conduct which was the subject of the investigation (but this subsection is subject to subsections (3) and (4)).
(3)Nothing in subsection (2) prevents the [F68CMA] from taking any action in relation to competition concerns which are not addressed by commitments accepted by it.
(4)Subsection (2) also does not prevent the [F68CMA] from continuing the investigation, making a decision, or giving a direction where—
(a)it has reasonable grounds for believing that there has been a material change of circumstances since the commitments were accepted;
(b)it has reasonable grounds for suspecting that a person has failed to adhere to one or more of the terms of the commitments; or
(c)it has reasonable grounds for suspecting that information which led it to accept the commitments was incomplete, false or misleading in a material particular.
(5)If, pursuant to subsection (4), the [F68CMA] makes a decision or gives a direction the commitments are to be treated as released from the date of that decision or direction.]
Textual Amendments
F66Ss. 31A-31E inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 18
F68Words in ss. 31B(1)-(5) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 12 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
(1)Where the [F69CMA] is reviewing or has reviewed the effectiveness of commitments accepted under section 31A it must, if requested to do so by the Secretary of State, prepare a report of its findings.
(2)The [F69CMA] must—
(a)give any report prepared by it under subsection (1) to the Secretary of State; and
(b)publish the report.]
Textual Amendments
F66Ss. 31A-31E inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 18
F69Word in s. 31C(1)(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 13 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
(1)The [F70CMA] must prepare and publish guidance as to the circumstances in which it may be appropriate to accept commitments under section 31A.
(2)The [F70CMA] may at any time alter the guidance.
(3)If the guidance is altered, the [F70CMA] must publish it as altered.
(4)No guidance is to be published under this section without the approval of the Secretary of State.
(5)The [F71CMA] may, after consulting the Secretary of State, choose how it publishes its guidance.
(6)If the [F71CMA] is preparing or altering guidance under this section it must consult such persons as it considers appropriate.
(7)If the proposed guidance or alteration relates to a matter in respect of which a regulator exercises concurrent jurisdiction, those consulted must include that regulator.
(8)When exercising its discretion to accept commitments under section 31A, the [F72CMA] must have regard to the guidance for the time being in force under this section.]
Textual Amendments
F66Ss. 31A-31E inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 18
F70Word in s. 31D(1)-(3) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 14 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F71Word in s. 31D(5)(6) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 14 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F72Word in s. 31D(8) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 14 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
(1)If a person from whom the [F73CMA] has accepted commitments fails without reasonable excuse to adhere to the commitments (and has not been released from them), the [F73CMA] may apply to the court for an order—
(a)requiring the defaulter to make good his default within a time specified in the order; or
(b)if the commitments relate to anything to be done in the management or administration of an undertaking, requiring the undertaking or any of its officers to do it.
(2)An order of the court under subsection (1) may provide for all the costs of, or incidental to, the application for the order to be borne by—
(a)the person in default; or
(b)any officer of an undertaking who is responsible for the default.
(3)In the application of subsection (2) to Scotland, the reference to “costs” is to be read as a reference to “expenses”.]
Textual Amendments
F66Ss. 31A-31E inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 18
F73Word in s. 31E(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 15 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
(1)The Secretary of State may by order impose time-limits in relation to—
(a)the conduct by the CMA of investigations or investigations of a description specified in the order;
(b)the making by the CMA of decisions (within the meaning given by section 31(2)) as a result of investigations or investigations of such a description.
(2)Before making an order under subsection (1), the Secretary of State must consult the CMA and such other persons as the Secretary of State considers appropriate.]
Textual Amendments
F74S. 31F inserted (25.4.2013 for specified purposes, 1.4.2014 in so far as not already in force) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 45, 103(1)(i)(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
(1)If the [F75CMA] has made a decision that an agreement infringes the Chapter I prohibition F76... , [F77it] may give to such person or persons as [F77it] considers appropriate such directions as [F77it] considers appropriate to bring the infringement to an end.
(2)[F78Subsection (1) applies whether the [F79OFT’s] decision is made on [F79its] own initiative or on an application made to [F79it] under this Part.]
(3)A direction under this section may, in particular, include provision—
(a)requiring the parties to the agreement to modify the agreement; or
(b)requiring them to terminate the agreement.
(4)A direction under this section must be given in writing.
Textual Amendments
F75Word in s. 32(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 16 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F76Words in s. 32(1) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 9 (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F77Words in s. 32(1) substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(24)(a); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
F78S. 32(2) ceased to have effect (1.5.2004) by virtue of The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 19(3) (with reg. 6(2))
F79Words in s. 32(2) substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(24)(b); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
Modifications etc. (not altering text)
C15S. 32 modified by 1991 c. 56, s. 110B(5)(a) (as substituted (1.11.2016) by Water Act 2014 (c. 21), ss. 9(1), 94(3) (with s. 9(2)(3)); S.I. 2016/1007, art. 2(c)(i); S.I. 2018/397, art. 2(b))
C16S. 32 modified by 1991 c. 56, s. 110A(7)(a) (as substituted (1.11.2016) by Water Act 2014 (c. 21), ss. 9(1), 94(3) (with s. 9(2)(3)); S.I. 2016/1007, art. 2(c)(i); S.I. 2018/397, art. 2(b))
C17S. 32 modified by 1991 c. 56, s. 117E(7)(a) (as inserted (1.4.2017 for specified purposes) by Water Act 2014 (c. 21), s. 94(3), Sch. 4; S.I. 2017/462, art. 3(j))
C18S. 32 modified by 1991 c. 56, s. 66D(7)(a) (as substituted (1.4.2017) by Water Act 2014 (c. 21), s. 94(3), Sch. 2 para. 3; S.I. 2017/462, art. 3(i)(iii) (with arts. 6-9))
C19S. 32 modified by 1991 c. 56, s. 105ZA(9)(a) (as inserted (1.10.2017 for E., 1.4.2019 for W.) by Water Act 2014 (c. 21), ss. 11(3), 94(3); S.I. 2017/462, art. 4(b); S.I. 2017/1288, art. 3(d))
C20S. 32 modified by 1991 c. 56, s. 51B(9)(a) (as substituted (1.10.2017 for E., 1.4.2019 for W.) by Water Act 2014 (c. 21), ss. 10(3), 94(3); S.I. 2017/462, art. 4(a) (with art. 15); S.I. 2017/1288, art. 3(c))
C21S. 32 modified by 1991 c. 56, s. 51C(4)(a) (as substituted (1.10.2017 for E., 1.4.2019 for W.) by Water Act 2014 (c. 21), ss. 10(3), 94(3); S.I. 2017/462, art. 4(a) (with art. 15); S.I. 2017/1288, art. 3(c))
C22S. 32 modified by 1991 c. 56, s. 105ZB(4)(a) (as inserted (1.10.2017 for E., 1.4.2019 for W.) by Water Act 2014 (c. 21), ss. 11(3), 94(3); S.I. 2017/462, art. 4(b); S.I. 2017/1288, art. 3(d))
C23S. 32 modified by 1991 c. 56, s. 40(7)(a) (as substituted (1.4.2018 for E. for specified purposes, 1.4.2019 for W.) by Water Act 2014 (c. 21), ss. 8(1), 94(3) (with s. 8(2)); S.I. 2017/1288, art. 3(a); S.I. 2018/397, art. 2(a))
C24S. 32 modified by 1991 c. 56, s. 40A(5)(a) (as substituted (1.4.2018 for E. for specified purposes, 1.4.2019 for W.) by Water Act 2014 (c. 21), ss. 8(1), 94(3) (with s. 8(2)); S.I. 2017/1288, art. 3(a); S.I. 2018/397, art. 2(a))
(1)If the [F80CMA] has made a decision that conduct infringes the Chapter II prohibition F81... , [F82it] may give to such person or persons as [F82it] considers appropriate such directions as [F82it] considers appropriate to bring the infringement to an end.
(2)[F83Subsection (1) applies whether the [F84OFT’s] decision is made on [F84its] own initiative or on an application made to [F84it] under this Part.]
(3)A direction under this section may, in particular, include provision—
(a)requiring the person concerned to modify the conduct in question; or
(b)requiring him to cease that conduct.
(4)A direction under this section must be given in writing.
Textual Amendments
F80Word in s. 33(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 17 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F81Words in s. 33(1) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 10 (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F82Words in s. 33(1) substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(25)(a); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
F83S. 33(2) ceased to have effect (1.5.2004) by virtue of The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 20(3) (with reg. 6(2))
F84Words in s. 33(2) substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(25)(b); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
(1)If a person fails, without reasonable excuse, to comply with a direction under section 32 or 33, the [F85CMA] may apply to the court for an order—
(a)requiring the defaulter to make good his default within a time specified in the order; or
(b)if the direction related to anything to be done in the management or administration of an undertaking, requiring the undertaking or any of its officers to do it.
(2)An order of the court under subsection (1) may provide for all of the costs of, or incidental to, the application for the order to be borne by—
(a)the person in default; or
(b)any officer of an undertaking who is responsible for the default.
(3)In the application of subsection (2) to Scotland, the reference to “costs” is to be read as a reference to “expenses”.
Textual Amendments
F85Word in s. 34(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 18 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
[F86(1)Subject to [F87subsection (8)], this section applies if the [F88CMA] has begun an investigation under section 25 and not completed it (but only applies so long as the [F88CMA] has power under section 25 to conduct that investigation).]
(2)If the [F88CMA] considers that it is necessary for [F89it] to act under this section as a matter of urgency for the purpose—
(a)of preventing [F90significant damage] to a particular person or category of person, or
(b)of protecting the public interest,
[F89it] may give such directions as [F89it] considers appropriate for that purpose.
(3)Before giving a direction under this section, the [F88CMA] must—
(a)give written notice to the person (or persons) to whom [F89it] proposes to give the direction; and
(b)give that person (or each of them) an opportunity to make representations.
(4)A notice under subsection (3) must indicate the nature of the direction which the [F88CMA] is proposing to give and [F89its] reasons for wishing to give it.
[F91(5)A direction given under this section may if the circumstances permit be replaced by—
(a)a direction under section 32 or (as appropriate) section 33, or
(b)commitments accepted under section 31A,
but, subject to that, has effect while this section applies.]
(6)In the [F92cases mentioned in [F93section 25(2) and (6)]], sections 32(3) and 34 also apply to directions given under this section.
(7)In the [F94cases mentioned in [F95section 25(4)]], sections 33(3) and 34 also apply to directions given under this section.
[F96(8)In the case of an investigation conducted by virtue of section 25(2) or (6), this section does not apply if a person has produced evidence to the [F97CMA] in connection with the investigation that satisfies it on the balance of probabilities that, in the event of it reaching the basic infringement conclusion, it would also reach the conclusion that the suspected agreement is exempt from the Chapter I prohibition as a result of section 9(1); and in this subsection “the basic infringement conclusion” is the conclusion that there is an agreement which—
(a)may affect trade within the United Kingdom, and
(b)has as its object or effect the prevention, restriction or distortion of competition within the United Kingdom.
F98(9). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]
Textual Amendments
F86S. 35(1) substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 21(2)
F87Words in s. 35(1) substituted (31.12.2020) by The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 11(a) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F88Words in s. 35(1)-(4) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 19 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F89Words in s. 35 substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(27); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
F90Words in s. 35(2)(a) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 43, 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
F91S. 35(5) substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 21(3)
F92Words in s. 35(6) substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 21(4)
F93Words in s. 35(6) substituted (31.12.2020) by The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 11(b) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F94Words in s. 35(7) substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 21(5)
F95Words in s. 35(7) substituted (31.12.2020) by The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 11(c) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F96S. 35(8)(9) inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 21(6)
F97Word in s. 35(8)(9) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 19 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F98S. 35(9) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 11(d) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
Modifications etc. (not altering text)
C25S. 35(2) modified by 1991 c. 56, s. 110A(7)(b)(8) (as substituted (1.11.2016) by Water Act 2014 (c. 21), ss. 9(1), 94(3) (with s. 9(2)(3)); S.I. 2016/1007, art. 2(c)(i))
C26S. 35(2) modified by 1991 c. 56, s. 110B(5)(b) (as substituted (1.11.2016) by Water Act 2014 (c. 21), ss. 9(1), 94(3) (with s. 9(2)(3)); S.I. 2016/1007, art. 2(c)(i))
C27S. 35(2) modified by 1991 c. 56, s. 117E(7)(b)(8) (as inserted (1.4.2017 for specified purposes) by Water Act 2014 (c. 21), s. 94(3), Sch. 4; S.I. 2017/462, art. 3(j))
C28S. 35(2) modified by 1991 c. 56, s. 66D(7)(b)(8) (as substituted (1.4.2017) by Water Act 2014 (c. 21), s. 94(3), Sch. 2 para. 3; S.I. 2017/462, art. 3(i)(iii) (with arts. 6-9))
C29S. 35(2) modified by 1991 c. 56, s. 105ZA(9)(b)(10) (as inserted (1.10.2017 for E., 1.4.2019 for W.) by Water Act 2014 (c. 21), ss. 11(3), 94(3); S.I. 2017/462, art. 4(b); S.I. 2017/1288, art. 3(d))
C30S. 35(2) modified by 1991 c. 56, s. 105ZB(4)(b)(5) (as inserted (1.10.2017 for E., 1.4.2019 for W.) by Water Act 2014 (c. 21), ss. 11(3), 94(3); S.I. 2017/462, art. 4(b); S.I. 2017/1288, art. 3(d))
C31S. 35(2) modified by 1991 c. 56, s. 51B(9)(b)(10) (as substituted (1.10.2017 for E., 1.4.2019 for W.) by Water Act 2014 (c. 21), ss. 10(3), 94(3); S.I. 2017/462, art. 4(a) (with art. 15); S.I. 2017/1288, art. 3(c))
C32S. 35(2) modified by 1991 c. 56, s. 51C(4)(b)(5) (as substituted (1.10.2017 for E., 1.4.2019 for W.) by Water Act 2014 (c. 21), ss. 10(3), 94(3); S.I. 2017/462, art. 4(a) (with art. 15); S.I. 2017/1288, art. 3(c))
C33S. 35(2) modified by 1991 c. 56, s. 40(7)(b)(8) (as substituted (1.4.2018 for E. for specified purposes, 1.4.2019 for W.) by Water Act 2014 (c. 21), ss. 8(1), 94(3) (with s. 8(2)); S.I. 2017/1288, art. 3(a); S.I. 2018/397, art. 2(a))
C34S. 35(2) modified by 1991 c. 56, s. 40A(5)(b)(6) (as substituted (1.4.2018 for E. for specified purposes, 1.4.2019 for W.) by Water Act 2014 (c. 21), ss. 8(1), 94(3) (with s. 8(2)); S.I. 2017/1288, art. 3(a); S.I. 2018/397, art. 2(a))
Textual Amendments
F99Ss. 35A-35C and cross-headings inserted (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 11 para. 6
(1)The CMA may, in accordance with section 35B, impose a penalty on a person—
(a)from whom the CMA has accepted commitments under section 31A (and who has not been released from those commitments), or
(b)to whom the CMA has given a direction under section 32, 33 or 35,
where the CMA considers that the person has, without reasonable excuse, failed to adhere to the commitments or comply with the direction.
(2)In deciding whether and, if so, how to proceed under subsection (1) the CMA must have regard to the statement of policy which was most recently published under section 35C at the time of the failure to adhere or comply.
(1)A penalty under section 35A(1) is to be such amount as the CMA considers appropriate.
(2)The amount must be—
(a)a fixed amount,
(b)an amount calculated by reference to a daily rate, or
(c)a combination of a fixed amount and an amount calculated by reference to a daily rate.
(3)A penalty imposed under section 35A(1) on a person who is not an undertaking must not—
(a)in the case of a fixed amount, exceed £30,000;
(b)in the case of an amount calculated by reference to a daily rate, exceed £15,000 per day;
(c)in the case of a fixed amount and an amount calculated by reference to a daily rate, exceed such fixed amount and such amount per day.
(4)A penalty imposed under section 35A(1) on a person who is an undertaking must not—
(a)in the case of a fixed amount, exceed 5% of the total value of the turnover of the undertaking;
(b)in the case of an amount calculated by reference to a daily rate, for each day exceed 5% of the total value of the daily turnover of the undertaking;
(c)in the case of a fixed amount and an amount calculated by reference to a daily rate, exceed such fixed amount and such amount per day.
(5)In imposing a penalty by reference to a daily rate—
(a)no account is to be taken of any days before the service on the person concerned of the provisional penalty notice under section 112(A1) of the Enterprise Act 2002 (as applied by subsection (6)), and
(b)unless the CMA determines an earlier date (whether before or after the penalty is imposed), the amount payable ceases to accumulate at the beginning of the day on which the person adheres to the commitments or complies with the direction (as the case may be) referred to in section 35A(1).
(6)Sections 112 to 115 of the Enterprise Act 2002 apply in relation to a penalty imposed under section 35A(1) as they apply in relation to a penalty imposed under section 110(1) or (1A) of that Act, with the following modifications—
(a)any reference in those provisions to the appropriate authority is to be read as a reference to the CMA only;
(b)section 114(5A) is to be read as if the words “In the case of a penalty imposed on a person by the CMA or OFCOM,” were omitted;
(c)section 114(12) is to be read as if, for paragraph (b), there were substituted—
“(b)“relevant guidance” means the statement of policy which was most recently published under section 35C at the time when the act or omission concerned occurred.”
(7)The Secretary of State may by regulations amend subsection (3)(a) and (b) by substituting for either or both of the sums for the time being specified in those paragraphs such other sum or sums as the Secretary of State considers appropriate.
(8)Before making regulations under subsection (7) the Secretary of State must consult—
(a)the CMA, and
(b)such other persons as the Secretary of State considers appropriate.
(9)The Secretary of State may by regulations make provision for determining the turnover and daily turnover of an undertaking for the purposes of subsection (4).
(10)Regulations under subsection (9) may, in particular, make provision as to—
(a)the amounts which are, or which are not, to be treated as comprising an undertaking’s turnover or daily turnover;
(b)the date, or dates, by reference to which an undertaking’s turnover, or daily turnover, is to be determined.
(11)Regulations under subsection (9) may, in particular, make provision enabling the CMA to determine matters of a description specified in the regulations (including any of the matters mentioned in paragraphs (a) and (b) of subsection (10)).
(1)The CMA must prepare and publish a statement of policy in relation to the exercise of functions under sections 31E, 34 and 35A.
(2)The statement must, in particular, include a statement about the considerations relevant to the determination of the nature and amount of any penalty imposed under section 35A(1).
(3)The CMA may revise its statement of policy and, where it does so, it must publish the revised statement.
(4)The CMA must consult the Secretary of State and such other persons as it considers appropriate when preparing or revising its statement of policy.
(5)If the proposed statement of policy or revision relates to a matter in respect of which a regulator exercises concurrent jurisdiction, those consulted must include that regulator.
(6)A statement or revised statement of policy may not be published under this section without the approval of the Secretary of State.
(1)On making a decision that an agreement has infringed the Chapter I prohibition F101..., the [F102CMA] may require an undertaking which is a party to the agreement to pay the [F102CMA] a penalty in respect of the infringement.
(2)On making a decision that conduct has infringed the Chapter II prohibition F103..., the [F102CMA] may require the undertaking concerned to pay the [F102CMA] a penalty in respect of the infringement.
(3)The [F102CMA] may impose a penalty on an undertaking under subsection (1) or (2) only if [F104the [F102CMA]] is satisfied that the infringement has been committed intentionally or negligently by the undertaking.
(4)Subsection (1) is subject to section 39 and does not apply [F105in relation to a decision that an agreement has infringed the Chapter I prohibition] if the [F102CMA] is satisfied that the undertaking acted on the reasonable assumption that that section gave it immunity in respect of the agreement.
(5)Subsection (2) is subject to section 40 and does not apply [F106in relation to a decision that conduct has infringed the Chapter II prohibition] if the [F102CMA] is satisfied that the undertaking acted on the reasonable assumption that that section gave it immunity in respect of the conduct.
(6)Notice of a penalty under this section must—
(a)be in writing; and
(b)specify the date before which the penalty is required to be paid.
(7)The date specified must not be earlier than the end of the period within which an appeal against the notice may be brought under section 46.
[F107(7A)In fixing a penalty under this section the CMA must have regard to—
(a)the seriousness of the infringement concerned, and
(b)the desirability of deterring both the undertaking on whom the penalty is imposed and others from—
(i)entering into agreements which infringe the Chapter 1 prohibition F108..., or
(ii)engaging in conduct which infringes the Chapter 2 prohibition F109....]
(8)No penalty fixed by the [F110CMA] under this section may exceed 10% of the turnover of the undertaking (determined in accordance with such provisions as may be specified in an order made by the Secretary of State).
(9)Any sums received by the [F110CMA] under this section are to be paid into the Consolidated Fund.
Textual Amendments
F100Word in s. 36 sidenote substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 22(6)
F101Words in s. 36(1) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 12(a) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F102Word in s. 36(1)-(5) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 20 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F103Words in s. 36(2) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 12(b) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F104Words in s. 36(3) substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(28)(c); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
F105Words in s. 36(4) inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 22(4)
F106Words in s. 36(5) inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 22(5)
F107S. 36(7A) inserted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 44(2), 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
F108Words in s. 36(7A)(b)(i) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 12(c)(i) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F109Words in s. 36(7A)(b)(ii) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 12(c)(ii) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F110Word in s. 36(8)(9) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 20 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
(1)If the specified date in a penalty notice has passed and—
(a)the period during which an appeal against the imposition, or amount, of the penalty may be made has expired without an appeal having been made, or
(b)such an appeal has been made and determined,
the [F111CMA] may recover from the undertaking, as a civil debt due to the [F111CMA] , any amount payable under the penalty notice which remains outstanding.
(2)In this section—
“penalty notice” means a notice given under section 36; and
“specified date” means the date specified in the penalty notice.
Textual Amendments
F111Word in s. 37(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 21 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
(1)The [F112CMA] must prepare and publish guidance as to the appropriate amount of any penalty under this Part [F113 in respect of an infringement of [F114the Chapter 1 prohibition or the Chapter 2 prohibition.]]
F115[F116(1A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]
(2)The [F112CMA] may at any time alter the guidance.
(3)If the guidance is altered, the [F112CMA] must publish it as altered.
(4)No guidance is to be published under this section without the approval of the Secretary of State.
(5)The [F117CMA] may, after consulting the Secretary of State, choose how [F118it] publishes [F118its] guidance.
(6)If the [F117CMA] is preparing or altering guidance under this section [F118it] must consult such persons as [F118it] considers appropriate.
(7)If the proposed guidance or alteration relates to a matter in respect of which a regulator exercises concurrent jurisdiction, those consulted must include that regulator.
(8)When setting the amount of a penalty under this Part [F119 in respect of an infringement of a kind mentioned in subsection (1)] , the [F120CMA] [F121and the Tribunal ] must have regard to the guidance for the time being in force under this section.
F122(9). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F123(10). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Textual Amendments
F112Word in s. 38(1)-(3) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 22 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F113Words in s. 38(1) inserted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 40(4), 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
F114Words in s. 38(1) substituted (31.12.2020) by The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 13(a) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F115S. 38(1A) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 13(b) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F116S. 38(1A) inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 23(2)
F117Word in s. 38(5)(6) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 22 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F118Words in s. 38 substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(30); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
F119Words in s. 38(8) inserted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 40(6), 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
F120Word in s. 38(8)(9) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 22 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F121Words in s. 38(8) inserted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 44(3), 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
F122S. 38(9) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 13(c) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
F123S. 38(10) omitted (31.12.2020) by virtue of The Competition (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/93), regs. 1(1), 13(c) (with Sch. 4 paras. 7, 13) (as amended by S.I. 2020/1343, regs. 35-59); 2020 c. 1, Sch. 5 para. 1(1)
Commencement Information
I1S. 38 wholly in force; s. 38 not in force at Royal Assent see s. 76(3); s. 38(1)-(7) in force at 11.1.1999 by S.I. 1998/3166, art. 2, Sch.; s. 38(8)-(10) in force at 1.3.2000 by S.I. 2000/344, art. 2, Sch.
(1)In this section “small agreement” means an agreement—
(a)which falls within a category prescribed for the purposes of this section; but
(b)is not a price fixing agreement.
(2)The criteria by reference to which a category of agreement is prescribed may, in particular, include—
(a)the combined turnover of the parties to the agreement (determined in accordance with prescribed provisions);
(b)the share of the market affected by the agreement (determined in that way).
(3)A party to a small agreement is immune from the effect of section 36(1) [F125so far as that provision relates to decisions about infringement of the Chapter I prohibition]; but the [F126CMA] may withdraw that immunity under subsection (4).
(4)If the [F126CMA] has investigated a small agreement, [F127it] may make a decision withdrawing the immunity given by subsection (3) if, as a result of [F127its] investigation, [F127it] considers that the agreement is likely to infringe the Chapter I prohibition.
(5)The [F126CMA] must give each of the parties in respect of which immunity is withdrawn written notice of [F127its] decision to withdraw the immunity.
(6)A decision under subsection (4) takes effect on such date (“the withdrawal date”) as may be specified in the decision.
(7)The withdrawal date must be a date after the date on which the decision is made.
(8)In determining the withdrawal date, the [F128CMA] must have regard to the amount of time which the parties are likely to require in order to secure that there is no further infringement of the Chapter I prohibition with respect to the agreement.
(9)In subsection (1) “price fixing agreement” means an agreement which has as its object or effect, or one of its objects or effects, restricting the freedom of a party to the agreement to determine the price to be charged (otherwise than as between that party and another party to the agreement) for the product, service or other matter to which the agreement relates.
Textual Amendments
F124Words in s. 39 sidenote substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 24(3)
F125Words in s. 39(3) inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 24(2)
F126Word in s. 39(3)-(5) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 23 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F127Words in s. 39 substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(31); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
F128Word in s. 39(8) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 23 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
(1)In this section “conduct of minor significance” means conduct which falls within a category prescribed for the purposes of this section.
(2)The criteria by reference to which a category is prescribed may, in particular, include—
(a)the turnover of the person whose conduct it is (determined in accordance with prescribed provisions);
(b)the share of the market affected by the conduct (determined in that way).
(3)A person is immune from the effect of section 36(2)[F129, so far as that provision relates to decisions about infringement of the Chapter II prohibition,] if [F130its] conduct is conduct of minor significance; but the [F131CMA] may withdraw that immunity under subsection (4).
(4)If the [F131CMA] has investigated conduct of minor significance, [F132it] may make a decision withdrawing the immunity given by subsection (3) if, as a result of [F132its] investigation, [F132it] considers that the conduct is likely to infringe the Chapter II prohibition.
(5)The [F131CMA] must give the person, or persons, whose immunity has been withdrawn written notice of [F130its] decision to withdraw the immunity.
(6)A decision under subsection (4) takes effect on such date (“the withdrawal date”) as may be specified in the decision.
(7)The withdrawal date must be a date after the date on which the decision is made.
(8)In determining the withdrawal date, the [F133CMA] must have regard to the amount of time which the person or persons affected are likely to require in order to secure that there is no further infringement of the Chapter II prohibition.
Textual Amendments
F129Words in s. 40(3) inserted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 25(2)
F130Word in s. 40(5) substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(32)(c); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
F131Word in s. 40(3)-(5) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 24 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F132Words in s. 40(4) substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(32)(b); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
F133Word in s. 40(8) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 24 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
Textual Amendments
F134Ss. 40ZA-40ZD inserted by S.I. 2019/93, reg. 13A (as inserted 31.12.2020 by The Competition (Amendment etc.) (EU Exit) Regulations 2020 (S.I. 2020/1343), regs. 1(1), 4)
(1)In this section and in sections 40ZB and 40ZD “transferred EU anti-trust commitments” means EU anti-trust commitments—
(a)which are the subject of an Article 95(2) commitments transfer decision (and, where those commitments are modified by, or as contemplated by, that decision, or by a later Article 95(2) commitments transfer decision, means those commitments as so modified), and
(b)which have not been wholly waived or substituted by the European Commission.
(2)In this section—
“Article 95(2) commitments transfer decision” means an instrument issued by the European Commission in accordance with Article 95(2) of the EU withdrawal agreement transferring responsibility for the monitoring and enforcement of EU anti-trust commitments to the CMA;
“EU anti-trust commitments” means commitments contained, pursuant to Article 9(1) of Regulation 1/2003, in a decision adopted by the European Commission under that Regulation.
(3)In this section and in sections 40ZC and 40ZD a “transferred EU anti-trust direction” means an EU anti-trust direction—
(a)which is the subject of an Article 95(2) direction transfer decision (and, where that direction is modified by, or as contemplated by, that decision, or by a later Article 95(2) direction transfer decision, means that direction as so modified), and
(b)which has not been wholly revoked by the European Commission.
(4)In this section—
“Article 95(2) direction transfer decision” means an instrument issued by the European Commission in accordance with Article 95(2) of the EU withdrawal agreement transferring responsibility for the monitoring and enforcement of an EU anti-trust direction to the CMA;
“EU anti-trust direction” means a direction given pursuant to Article 7(1) of Regulation 1/2003 in a decision adopted by the European Commission under that Regulation;
“Regulation 1/2003” means Council Regulation (EC) No 1/2003 of 16 December 2002 on the implementation of the rules on competition laid down in Articles 81 and 82 of the Treaty.
(5)So far as the context permits or requires, transferred EU anti-trust commitments and transferred EU anti-trust directions are to be treated for the purposes of this section and sections 40ZB to 40ZD as if—
(a)any reference to the area of the European Union or of the European Economic Area included the United Kingdom;
(b)any reference to the internal market included the United Kingdom;
(c)any reference to a member State included the United Kingdom;
(d)any reference to a party to the EEA agreement included the United Kingdom.
(6)Subsection (5) is subject to any different provision made by the Article 95(2) commitments transfer decision or Article 95(2) direction transfer decision in question.
(1)The CMA has the function of monitoring compliance with transferred EU anti-trust commitments.
(2)If a person who is bound by transferred EU anti-trust commitments fails, without reasonable excuse, to adhere to those commitments, the CMA may apply to the court for an order—
(a)requiring the defaulter to make good the default within a time specified in the order; or
(b)if any of the transferred EU anti-trust commitments relate to anything to be done in the management or administration of an undertaking, requiring the undertaking or any of its officers to do it.
(3)An order of the court under subsection (2) may provide for all of the costs of, or incidental to, the application for the order to be borne by—
(a)the person in default; or
(b)any officer of an undertaking who is responsible for the default.
(4)In the application of subsection (3) to Scotland, the reference to “costs” is to be read as a reference to “expenses”.
(5)In this section, “transferred EU anti-trust commitments” has the meaning given by section 40ZA(1).
(1)The CMA has the function of monitoring compliance with transferred EU anti-trust directions.
(2)If a person fails, without reasonable excuse, to comply with a transferred EU anti-trust direction, the CMA may apply to the court for an order—
(a)requiring the defaulter to make good the default within a time specified in the order; or
(b)if the transferred EU anti-trust direction related to anything to be done in the management or administration of an undertaking, requiring the undertaking or any of its officers to do it.
(3)An order of the court under subsection (2) may provide for all of the costs of, or incidental to, the application for the order to be borne by—
(a)the person in default; or
(b)any officer of an undertaking who is responsible for the default.
(4)In the application of subsection (3) to Scotland, the reference to “costs” is to be read as a reference to “expenses”.
(5)In this section, “transferred EU anti-trust direction” has the meaning given by section 40ZA(3).
(1)The CMA may require any person to produce to the CMA a specified document, or to provide the CMA with specified information, for the purposes of assisting the CMA—
(a)to monitor compliance with transferred EU anti-trust commitments, or
(b)to decide whether to make an application under section 40ZB(2) in respect of those transferred EU anti-trust commitments.
(2)The CMA may require any person to produce to the CMA a specified document, or to provide the CMA with specified information, for the purposes of assisting the CMA—
(a)to monitor compliance with a transferred EU anti-trust direction, or
(b)to decide whether to make an application under section 40ZC(2) in respect of a transferred EU anti-trust direction.
(3)The powers conferred by subsections (1) and (2) are to be exercised by a notice in writing which indicates the subject matter and purpose of the demand (including identifying the transferred EU anti-trust commitments or transferred EU anti-trust direction in question).
(4)The CMA may also specify in the notice—
(a)the time and place at which any document is to be produced or any information is to be provided;
(b)the manner and form in which it is to be produced or provided.
(5)The power under this section to require a person to produce a document includes power—
(a)if the document is produced—
(i)to take copies of it or extracts from it;
(ii)to require that person, or any person who is a present or past officer of, or is or was at any time employed by, that person, to provide an explanation of the document;
(b)if the document is not produced, to require that person to state, to the best of their knowledge and belief, where it is.
(6)In this section—
“specified” means—
specified, or described, in the notice under subsection (3), or
falling within a category which is specified, or described, in that notice;
“transferred EU anti-trust commitments” has the meaning given by section 40ZA(1);
“transferred EU anti-trust direction” has the meaning given by section 40ZA(3).]
Textual Amendments
F135Ss. 40A, 40B and cross-heading inserted (25.4.2013 for specified purposes, 1.4.2014 in so far as not already in force) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 40(2), 103(1)(i)(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
[F137(1)Where the CMA considers that a person has, without reasonable excuse, failed to comply with a requirement imposed on the person under section 26, 26A, 27, [F13828, 28A or 40ZD], it may impose a penalty of such amount as it considers appropriate.]
[F137(1A)A penalty imposed under section 40ZE(1) is to be of such amount as the CMA considers appropriate.]
(2)[F139The amount may be—] [F139A penalty imposed under section 40ZE(1)(a) may be—]
(a)a fixed amount,
(b)an amount calculated by reference to a daily rate, or
(c)a combination of a fixed amount and an amount calculated by reference to a daily rate.
[F140(2A)A penalty imposed under any of section 40ZE(1)(b) to (e) must be a fixed amount.]
(3)[F141A penalty imposed under subsection (1) must not—] [F141A penalty imposed under section 40ZE(1) on a person who is not an undertaking must not—]
(a)in the case of a fixed amount, exceed [F142such amount as the Secretary of State may by order specify] [F142£30,000];
(b)in the case of an amount calculated by reference to a daily rate, exceed [F143such amount per day as the Secretary of State may so specify] [F143£15,000 per day];
(c)in the case of a fixed amount and an amount calculated by reference to a daily rate, exceed such fixed amount and such amount per day [F144as the Secretary of State may so specify].
[F145(3A)A penalty imposed under section 40ZE(1) on a person who is an undertaking must not—
(a)in the case of a fixed amount, exceed 1% of the turnover of the undertaking;
(b)in the case of an amount calculated by reference to a daily rate, for each day exceed 5% of the daily turnover of the undertaking;
(c)in the case of a fixed amount and an amount calculated by reference to a daily rate, exceed such fixed amount and such amount per day.]
(4)[F146The fixed amount specified for the purposes of subsection (3)(a) or (c) may not exceed £30,000.]
(5)[F146The amount per day specified for the purposes of subsection (3)(b) or (c) may not exceed £15,000.]
(6)In imposing a penalty by reference to a daily rate—
(a)no account is to be taken of any days before the service of the [F147notice under section 112] [F147provisional penalty notice under section 112(A1)] of the Enterprise Act 2002 (as applied by [F148subsection (9)] [F148section 40ZE(5)]) on the person concerned, and
(b)unless the CMA determines an earlier date (whether before or after the penalty is imposed), the amount payable ceases to accumulate at the beginning of the earliest of the days mentioned in subsection (7).
(7)The days are—
(a)the day on which the requirement concerned is satisfied;
(b)the day on which the CMA makes a decision (within the meaning given by section 31(2)) or terminates the investigation in question without making such a decision;
(c)if the Secretary of State has made an order under section 31F(1)(b) imposing a time-limit on the making of such a decision, the latest day on which such a decision may be made as a result of the investigation in question.
[F149(7A)The Secretary of State may by regulations amend subsection (3)(a) and (b) by substituting for either or both of the sums for the time being specified in those paragraphs such other sum or sums as the Secretary of State considers appropriate.]
(8)Before making [F150an order under subsection (3)] [F150regulations under subsection (7A)], the Secretary of State must consult the CMA and such other persons as the Secretary of State considers appropriate.
(9)[F151Sections 112 to 115 of the Enterprise Act 2002 (supplementary provisions about penalties) apply in relation to a penalty imposed under subsection (1) as they apply in relation to a penalty imposed under section 110(1) of that Act.]
[F152(10)The Secretary of State may by regulations make provision for determining the turnover and daily turnover of an undertaking for the purposes of this section.
(11)Regulations under subsection (10) may, in particular, make provision as to—
(a)the amounts which are, or which are not, to be treated as an undertaking’s turnover or daily turnover;
(b)the date, or dates, by reference to which an undertaking’s turnover, or daily turnover, is to be determined.
(12)Regulations under subsection (10) may, in particular, make provision enabling the CMA to determine matters of a description specified in the regulations (including any of the matters mentioned in paragraphs (a) and (b) of subsection (11)).]
Textual Amendments
F136Word in s. 40A heading substituted (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(2)
F137S. 40A(1A) substituted for s. 40A(1) (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(3)
F138Words in s. 40A(1) substituted (31.12.2020) by S.I. 2019/93, reg. 13B (as inserted by The Competition (Amendment etc.) (EU Exit) Regulations 2020 (S.I. 2020/1343), regs. 1(1), 4)
F139Words in s. 40A(2) substituted (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(4)
F140S. 40A(2A) inserted (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(5)
F141Words in s. 40A(3) substituted (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(6)(a)
F142Sum in s. 40A(3)(a) substituted (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(6)(b)
F143Sum in s. 40A(3)(b) substituted (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(6)(c)
F144Words in s. 40A(3)(c) omitted (24.5.2024 for specified purposes) by virtue of Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(6)(d)
F145S. 40A(3A) inserted (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(7)
F146S. 40A(4)(5) omitted (24.5.2024 for specified purposes) by virtue of Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(8)
F147Words in s. 40A(6)(a) substituted (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(9)(a)
F148Words in s. 40A(6)(a) substituted (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(9)(b)
F149S. 40A(7A) inserted (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(10)
F150Words in s. 40A(8) substituted (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(11)
F151S. 40A(9) omitted (24.5.2024 for specified purposes) by virtue of Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(12)
F152S. 40A(10)-(12) inserted (24.5.2024 for specified purposes) by Digital Markets, Competition and Consumers Act 2024 (c. 13), s. 339(2)(c), Sch. 10 para. 9(13)
(1)The CMA must prepare and publish a statement of policy in relation to the use of its powers under section 40A.
(2)The CMA must, in particular, include a statement about the considerations relevant to the determination of the nature and amount of any penalty imposed under section 40A.
(3)The CMA may revise its statement of policy and, where it does so, it must publish the revised statement.
(4)The CMA must consult such persons as it considers appropriate when preparing or revising its statement of policy.
(5)If the proposed statement of policy or revision relates to a matter in respect of which a regulator exercises concurrent jurisdiction, those consulted must include that regulator.
(6)In deciding whether and, if so, how to proceed under section 40A, the CMA must have regard to the statement of policy which was most recently published under this section at the time when the failure concerned occurred.]
[F153(1)This section applies if a party to an agreement which may infringe the Chapter I prohibition has notified the agreement to the Commission for a decision as to whether an exemption will be granted under Article 85 with respect to the agreement.
(2)A penalty may not be required to be paid under this Part in respect of any infringement of the Chapter I prohibition after notification but before the Commission determines the matter.
(3)If the Commission withdraws the benefit of provisional immunity from penalties with respect to the agreement, subsection (2) ceases to apply as from the date on which that benefit is withdrawn.
(4)The fact that an agreement has been notified to the Commission does not prevent the [F154OFT] from investigating it under this Part.
(5)In this section “provisional immunity from penalties” has such meaning as may be prescribed.]
Textual Amendments
F153S. 41 ceased to have effect (1.5.2004) by virtue of The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 26 (with reg. 6(2))
F154Word in s. 41 substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(33); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
F155(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F155(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F155(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F155(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(5)A person is guilty of an offence if he intentionally obstructs an officer acting in the exercise of his powers under section 27.
(6)A person guilty of an offence under subsection F156... (5) is liable—
(a)on summary conviction, to a fine not exceeding the statutory maximum;
(b)on conviction on indictment, to a fine.
(7)A person who intentionally obstructs an officer in the exercise of his powers under a warrant issued under [F157section 28 or 28A] is guilty of an offence and liable—
(a)on summary conviction, to a fine not exceeding the statutory maximum;
(b)on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both.
Textual Amendments
F155S. 42(1)-(4) omitted (1.4.2014) by virtue of Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 40(8), 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
F156Words in s. 42(6) omitted (1.4.2014) by virtue of Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 40(9), 103(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)
F157Words in s. 42(7) substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 27(3)
(1)A person is guilty of an offence if, having been required to produce a document under section 26, 27[F158, 28 or 28A]—
(a)he intentionally or recklessly destroys or otherwise disposes of it, falsifies it or conceals it, or
(b)he causes or permits its destruction, disposal, falsification or concealment.
(2)A person guilty of an offence under subsection (1) is liable—
(a)on summary conviction, to a fine not exceeding the statutory maximum;
(b)on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both.
Textual Amendments
F158Words in s. 43(1) substituted (1.5.2004) by The Competition Act 1998 and Other Enactments (Amendment) Regulations 2004 (S.I. 2004/1261), reg. 1(a), Sch. 1 para. 28(2)
(1)If information is provided by a person to the [F159CMA] in connection with any function of the [F159CMA] under this Part, that person is guilty of an offence if—
(a)the information is false or misleading in a material particular, and
(b)he knows that it is or is reckless as to whether it is.
(2)A person who—
(a)provides any information to another person, knowing the information to be false or misleading in a material particular, or
(b)recklessly provides any information to another person which is false or misleading in a material particular,
knowing that the information is to be used for the purpose of providing information to the [F159CMA] in connection with any of [F160its] functions under this Part, is guilty of an offence.
(3)A person guilty of an offence under this section is liable—
(a)on summary conviction, to a fine not exceeding the statutory maximum;
(b)on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both.
Textual Amendments
F159Word in s. 44(1)(2) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 25 (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F160Words in s. 44 substituted (1.4.2003) by Enterprise Act 2002 (c. 40), s. 279, Sch. 25 para. 38(34); S.I. 2003/766, art. 2, Sch. (with art. 3) (as amended (20.7.2007) by S.I. 2007/1846, reg. 3(2), Sch.)
Modifications etc. (not altering text)
C35S. 44 applied (18.6.2001) by 2000 c. 8, s. 399; S.I. 2001/1820, art. 2, Sch.
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