SCHEDULES

[F1 SCHEDULE 4A U.K.References to the Secretary of State

Textual Amendments

F1 Sch. 4A substituted (4.5.2016 for specified purposes, 1.10.2017 in so far as not already in force) by Enterprise Act 2016 (c. 12), s. 44(1)(c), Sch. 3; S.I. 2017/473, reg. 3(b)

PART 2 U.K.Enforcement action other than by primary authority

Reference by an enforcing authority U.K.

2 (1) If the primary authority directs an enforcing authority under section 25C(4) not to take the proposed enforcement action, the enforcing authority may, with the consent of the Secretary of State, refer the proposed action to the Secretary of State. U.K.

(2) On a reference under sub-paragraph (1) the Secretary of State must—

(a) if satisfied as to the matters in sub-paragraph (3), confirm the direction;

(b) otherwise, revoke the direction.

(3) The matters referred to in sub-paragraph (2) are that—

(a) the proposed enforcement action is inconsistent with advice or guidance previously given by the primary authority (generally or specifically), and

(b) the advice or guidance was correct and properly given.

(4) If the Secretary of State confirms the direction, the Secretary of State may direct the enforcing authority to take some other enforcement action (and section 25C does not apply in relation to that other action).

Reference by regulated person or member of the regulated group U.K.

3 (1) If section 25C applies and the primary authority does not direct the enforcing authority (under subsection (4) of that section) not to take the proposed enforcement action, the regulated person or the member of the regulated group may, with the consent of the Secretary of State, refer the action to the Secretary of State. U.K.

(2) On a reference under sub-paragraph (1) the Secretary of State must—

(a) if satisfied as to the matters in sub-paragraph (3), direct the enforcing authority not to take the proposed enforcement action;

(b) otherwise, consent to the action.

(3) The matters referred to in sub-paragraph (2) are that—

(a) the proposed enforcement action is inconsistent with advice or guidance previously given by the primary authority (generally or specifically), and

(b) the advice or guidance was correct and properly given.

(4) If the Secretary of State directs the enforcing authority not to take the proposed enforcement action, the Secretary of State may direct the enforcing authority to take some other enforcement action (and section 25C does not apply in relation to that other action).

Reference by primary authority U.K.

4 (1) The primary authority may, with the consent of the Secretary of State, instead of making a determination under section 25C(4) as to whether to direct an enforcing authority not to take proposed enforcement action, refer the action to the Secretary of State. U.K.

(2) On a reference under this paragraph the Secretary of State must—

(a) if satisfied as to the matters in sub-paragraph (3), direct the enforcing authority not to take the proposed enforcement action;

(b) otherwise, consent to the action.

(3) The matters referred to in sub-paragraph (2) are that—

(a) the proposed enforcement action is inconsistent with advice or guidance previously given by the primary authority (generally or specifically), and

(b) the advice or guidance was correct and properly given.

(4) If the Secretary of State directs the enforcing authority not to take the proposed enforcement action, the Secretary of State may direct the enforcing authority to take some other enforcement action (and section 25C does not apply in relation to that other action).]