Schedule A1, paragraph 5

The Secretary of State may by regulations provide for the consequences of a failure by a licensing body to comply with— a requirement to adopt a code of practice under provision within paragraph 1(1); a code of practice that has been adopted by the body in accordance with a requirement under provision within paragraph 1(1), or that has effect as one adopted by the body under provision within paragraph 1(2); a requirement imposed on the body under any other provision made under this Schedule; an authorisation under regulations under section 116A or 116B; a requirement imposed by regulations under section 116A or 116B; an authorisation under regulations under paragraph 1A or 1B of Schedule 2A; a requirement imposed by regulations under paragraph 1A or 1B of that Schedule. The regulations may in particular provide for— the imposition of financial penalties or other sanctions; the imposition of sanctions on a director, manager or similar officer of a licensing body or, where the body's affairs are managed by its members, on a member. The regulations must include provision— for determining whether there has been a failure to comply with a requirement or code of practice for the purposes of any provision made under sub-paragraph (1); for determining any sanction that may be imposed in respect of the failure to comply; for an appeal against a determination within paragraph (a) or (b). A financial penalty imposed under sub-paragraph (2) must not be greater than £50,000. The regulations may provide for a determination within sub-paragraph (3)(a) or (3)(b) to be made by the Secretary of State or by a person designated by the Secretary of State under the regulations. The regulations may make provision for requiring a person to give the person by whom a determination within sub-paragraph (3)(a) falls to be made (the “adjudicator”) any information that the adjudicator reasonably requires for the purpose of making that determination.

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Source: legislation.gov.uk · retrieved 2026-09-04