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Referral report
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70. Prior to referring a matter for adjudication an authorised officer shall prepare a report (referred to in this Act as a “referral report”) containing—
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(a) a detailed description of the relevant facts of the case,
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(b) details of the regulatory breach concerned,
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(c) an outline of the facts and evidence on which the authorised officer is relying for the purpose of referring the matter to the Commission for adjudication,
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(d) a summary of any submissions made by the notified person to the authorised officer during the investigation, including in response to the notice of suspected non-compliance or any supplementary notice of suspected non-compliance,
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(e) the authorised officer’s assessment of the extent to which the notified person cooperated with the investigation, and
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(f) any other information that the authorised officer considers to be relevant to an adjudication.
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