MLR1PP14600 - Penalties guidance: how to issue ‘failure to notify’ registration penalties: quick guide
Regulation 54 (4) Failure to supply correct details or notify changes within 30 days: Essential Information
Prompted Disclosure
- issue Pre-Penalty Notice where a business has failed to notify changes, or supply correct details, which are of a serious nature.
The following list gives examples of what should be treated as a serious nature:
- change of Nominated Officer
- change of address
- additional premises
- additional F&P’s
- change of F&P‘s status e.g. becoming un-fit
(When considering issuing a Penalty Notice refer to the simplified table. See MLR1PP9410 and MLR1PP10150).
- if you receive additional details within 30 days (from the date of registration Pre-Penalty Notice) consider if the penalty is still appropriate or whether it should be amended etc).
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Issue one of the appropriate penalty notices as follows:
- original penalty as notified in ‘Registration Pre-Penalty Notice’
- reduced Penalty
- letter explaining that penalty will no longer be issued.
Unprompted Disclosure
- issue Penalty Warning Letter for the first breach. For any subsequent breach see MLR1PP9410 and MLR1PP10150
Regulation 54 - Failure to supply correct details or notify changes within 30 days Secondary information
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prompted or unprompted - Issue penalty warning letter where the business has failed to supply relatively minor details. The following list provides examples of what should be treated as minor details:
- change to telephone number
- change of business names/s