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Notice of suspected non-compliance
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63. (1) In this Act, “notice of suspected non-compliance” means a notice in writing informing the person on whom it is served of the details of a regulatory breach of which the person is suspected.
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(2) Where an authorised officer suspects on reasonable grounds that a person has committed or is committing a regulatory breach that does not constitute a criminal offence the authorised officer may serve a notice of suspected non-compliance on the person.
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(3) Where an authorised officer suspects on reasonable grounds that a person has committed or is committing a regulatory breach that constitutes a criminal offence, the authorised officer may serve a notice of suspected non-compliance on the person if—
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(a) the offence is an offence that may be prosecuted summarily by the Commission and the Commission has elected not to prosecute the offence, or
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(b) the authorised officer refers the matter to the Director of Public Prosecutions and the Director of Public Prosecutions has not commenced criminal proceedings in respect of the regulatory breach.
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(4) A notice of suspected non-compliance shall be in such form as the Commission may specify, and shall—
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(a) inform the notified person that the authorised officer suspects that the person has committed or is committing a regulatory breach,
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(b) set out the grounds for the authorised officer’s suspicion in sufficient detail to allow the notified person to fully respond to the notice of suspected non-compliance in accordance with subsection (6), and
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(c) inform the notified person of its right to make submissions under subsection (6), and the period within which that right may be exercised.
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(5) The authorised officer shall, as soon as is practicable after issuing the notice of suspected non-compliance, serve on the notified person a copy of, or access to, any material relied upon by the authorised officer for the purpose of issuing the notice of suspected non-compliance, subject to such redactions as the authorised officer may consider necessary and appropriate in order to protect the rights of the parties or any other person, to protect commercially sensitive information, or for any other good and sufficient reason.
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(6) Subject to subsection (7), a notified person may, within such period as is specified in the notice, make written submissions to the authorised officer on the notice of suspected non-compliance.
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(7) Notwithstanding the period specified in the notice of suspected non-compliance in accordance with subsection (4)(c), the authorised officer may, where it is appropriate to do so in the circumstances of the case, extend the period within which written submissions may be made and shall notify the notified person in writing of the extended period.
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