Part 3

Civil sanctions

Discretionary requirements

Discretionary requirements: enforcement
45
1
Provision under section 42 may include provision for a person to pay a monetary penalty (a “non-compliance penalty”) to a regulator if the person fails to comply with—
a
a non-monetary discretionary requirement imposed on the person, or
b
an undertaking referred to in section 43(5) which is accepted from the person.
2
Provision under subsection (1) may—
a
specify the amount of the non-compliance penalty,
b
provide for the amount to be calculated by reference to prescribed criteria,
c
provide for the amount to be determined by the regulator, or
d
provide for the amount to be determined in any other way.
3
Provision under subsection (1) must secure that—
a
the non-compliance penalty is imposed by notice served by the regulator, and
b
the person on whom it is imposed may appeal against that notice.
4
Provision pursuant to paragraph (b) of subsection (3) must secure that the grounds on which a person may appeal against a notice referred to in that subsection include the following—
a
that the decision to serve the notice was based on an error of fact;
b
that the decision was wrong in law;
c
that the decision was unfair or unreasonable for any reason (including, in a case where the amount of the non-compliance penalty was determined by the regulator, that the amount is unreasonable).