Guidance

Regulatory decisions: Procedures and guidance for regulatory hearings

Guidance to assist Directors or the Regulatory Panel to carry out their regulatory functions in accordance with our policies and procedures and to comply with the law.

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Published
16 May 2022

Last updated
1 May 2024 - Changes

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Contents

• Regulatory decisions: Procedures and guidance for regulatory hearings

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• 1 - Introduction
• The purpose of this guidance
• Scheme of delegations
• Referral of case to a regulatory hearing
• The legal framework for decision making
• Conflicts of interest
• 2 - Preparing for the hearing
• Introduction
• Documentary and other evidence
• Case management hearings
• 3 - The hearing
• 4 - The decision making process for regulatory decisions
• Determining the facts
• Deciding what should be done in the light of the facts found

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Contents

1. Summary - Improving customer choice on direct marketing Summary of improving customer choice on direct marketing consultation.
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3. Summary of responses and our position - Improving customer choice on direct marketing Summary of responses and our position on improving customer choice on direct marketing consultation.

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Last updated: 1 May 2024

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