Prospective

extent U.K. + Investigations and enforcementU.K.

13extent U.K. + Compliance noticesU.K.

section 13 1 + (1)The Security Industry Authority may give a person a compliance notice if it has reasonable grounds to believe that the person is contravening or has contravened a relevant requirement.

section 13 2 + (2)A compliance notice is a notice requiring the person to whom it is given to comply with a specified relevant requirement within a specified period.

section 13 3 + (3)A compliance notice given to a person must—

section 13 3 a + (a)state the Security Industry Authority’s reasons for giving the notice;

section 13 3 b + (b)explain what may happen if the person does not comply with the notice;

section 13 3 c + (c)explain how the person may appeal against the notice.

section 13 4 + (4)A compliance notice given to a person may—

section 13 4 a + (a)require the person to take specified steps within a specified period in order to comply with the specified relevant requirement;

section 13 4 b + (b)require the person within a specified period to provide evidence to the satisfaction of the Security Industry Authority that the person is complying or has complied with the notice.

section 13 5 + (5)Before giving a compliance notice to a person, the Security Industry Authority must give the person an opportunity to make representations about the proposed notice.

section 13 6 + (6)A person may not be given more than one compliance notice in respect of the same contravention.

section 13 7 + (7)In this section—

• term relevant requirement + “relevant requirement” means a requirement imposed by any of sections 5 to 10;

• term specified + “specified” means specified in the compliance notice.