Contents
Part I · Competition
Chapter I · Agreements
Exemptions
4Individual exemptions.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(2)In subsection (5)(a)—
(3)In subsection (6)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(4)
(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(6)
5Cancellation etc. of individual exemptions.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(c)where—
in the period not exceeding 12 months which begins on the date the child died and throughout which he was entitled to a relevant benefit; or
(2)In subsection (5)(a)—
(3)In subsection (6)—
(4)
(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(6)
(7)
6Block exemptions.#
(1)If agreements which fall within a particular category of agreement are, in the opinion of the CMA, likely to be exempt agreements, the CMA may recommend that the Secretary of State make an order specifying that category for the purposes of this section.
(2)The Secretary of State may make an order (“a block exemption order”) giving effect to such a recommendation—
(a)in the form in which the recommendation is made; or
(b)subject to such modifications as he considers appropriate.
(3)An agreement which falls within a category specified in a block exemption order is exempt from the Chapter I prohibition.
(4)An exemption under this section is referred to in this Part as a block exemption.
(5)A block exemption order may impose conditions or obligations subject to which a block exemption is to have effect.
(6)A block exemption order may provide—
(a)that breach of a condition imposed by the order has the effect of cancelling the block exemption in respect of an agreement;
(b)that if there is a failure to comply with an obligation imposed by the order, the CMA may, by notice in writing, cancel the block exemption in respect of the agreement;
(c)that if the CMA considers that a particular agreement is not an exempt agreement, it may cancel the block exemption in respect of that agreement.
(7)A block exemption order may provide that the order is to cease to have effect at the end of a specified period.
(8)In this section—• “exempt agreement” means an agreement which is exempt from the Chapter I prohibition as a result of section 9; and• “specified” means specified in a block exemption order.
7Block exemptions: opposition.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(2)In subsection (5)(a)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(3)In subsection (6)—
(4)
8Block exemptions: procedure.#
(1)Before making a recommendation under section 6(1), the CMA must—
(a)publish details of its proposed recommendation in such a way as it thinks most suitable for bringing it to the attention of those likely to be affected; and
(b)consider any representations about it which are made to it.
(2)If the Secretary of State proposes to give effect to such a recommendation subject to modifications, he must inform the CMA of the proposed modifications and take into account any comments made by the CMA .
(3)If, in the opinion of the CMA , it is appropriate to vary or revoke a block exemption order it may make a recommendation to that effect to the Secretary of State.
(4)Subsection (1) also applies to any proposed recommendation under subsection (3).
(5)Before exercising its power to vary or revoke a block exemption order (in a case where there has been no recommendation under subsection (3)), the Secretary of State must—
(a)inform the CMA of the proposed variation or revocation; and
(b)take into account any comments made by the CMA.
(6)A block exemption order may provide for a block exemption to have effect from a date earlier than that on which the order is made.
9Exempt agreements.#
(1)An agreement is exempt from the Chapter I prohibition if it—
(2)In any proceedings in which it is alleged that the Chapter I prohibition is being or has been infringed by an agreement, any undertaking or association of undertakings claiming the benefit of subsection (1) shall bear the burden of proving that the conditions of that subsection are satisfied.
(a)contributes to—
(i)improving production or distribution, or
(ii)promoting technical or economic progress,
while allowing consumers a fair share of the resulting benefit; and
(b)does not—
(i)impose on the undertakings concerned restrictions which are not indispensable to the attainment of those objectives; or
(ii)afford the undertakings concerned the possibility of eliminating competition in respect of a substantial part of the products in question.
10Assimilated exemptions.#
(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3)An exemption from the Chapter I prohibition under this section is referred to in this Part as an assimilatedexemption.
(4)An assimilatedexemption—
(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b)ceases to have effect—
(i)if the relevant assimilated block exemption regulation ceases to have effect; or
(ii)on being cancelled by virtue of subsection (5) or (7).
(5)In such circumstances and manner as may be specified in rules made under section 51, the CMA may—
(a)impose conditions or obligations subject to which an assimilatedexemption is to have effect in respect of an agreement;
(b)vary or remove any such condition or obligation;
(c)impose one or more additional conditions or obligations;
(d)cancel the exemption in respect of an agreement.
(7)Breach of a condition imposed by the CMA has the effect of cancelling the exemption.
(8)In exercising its powers under this section, the CMA may require any person who is a party to the agreement in question to give it such information as it may require.
(9). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(10). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(11). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(12) In this Part, “assimilated block exemption regulation” means the following regulations as amended from time to time—
(a)Council Regulation (EC) 169/2009 applying rules of competition to transport by rail, road and inland waterway;
(b)Commission Regulation (EC) 906/2009 on the application of Article 81(3) of the Treaty to certain categories of agreements, decisions and concerted practices between liner shipping companies (consortia);
(c)Commission Regulation (EU) 330/2010 on the application of Article 101(3) of the Treaty on the Functioning of the European Union to categories of vertical agreements and concerted practices;
(d)Commission Regulation (EU) 461/2010 on the application of Article 101(3) of the Treaty on the Functioning of the European Union to categories of vertical agreements and concerted practices in the motor vehicle sector;
(e)Commission Regulation (EU) 1217/2010 on the application of Article 101(3) of the Treaty on the Functioning of the European Union to certain categories of research and development agreements;
(f)Commission Regulation (EU) 1218/2010 on the application of Article 101(3) of the Treaty on the Functioning of the European Union to certain categories of specialisation agreements;
(g)Commission Regulation (EU) 316/2014 on the application of Article 101(3) of the Treaty on the Functioning of the European Union to categories of technology transfer agreements.
(A1)An agreement is exempt from the Chapter I prohibition if it falls within a category of agreements specified as exempt in an assimilated block exemption regulation.
10APower to vary etc assimilated block exemption regulations#
(1)The Secretary of State may by regulations vary or revoke an assimilated block exemption regulation.
(2)In exercising the power under subsection (1), the Secretary of State must have regard to the conditions specified in section 9(1) for exemption from the Chapter 1 prohibition.
(3)If, in the opinion of the CMA, it is appropriate to vary or revoke an assimilated block exemption regulation, the CMA may make a recommendation to that effect to the Secretary of State.
(4)Before making a recommendation under subsection (3), the CMA must—
(a)publish details of its proposed recommendation in such a way as it thinks most suitable for bringing it to the attention of those likely to be affected; and
(b)consider any representations about it which are made to it.
(5)Before exercising the power to vary or revoke an assimilated block exemption regulation (in a case where there has been no recommendation under subsection (3)), the Secretary of State must—
(a)inform the CMA of the proposed variation or revocation; and
(b)take into account any comments made by the CMA.
Introduction
Notification
12Requests for OFT to examine agreements.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(2)In subsection (5)(a)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(3)In subsection (6)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
13Notification for guidance.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(2)In subsection (5)(a)—
(3)In subsection (6)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(i)a parent with care cares for one child only, and
(ii)that child dies,
(iii)a child accepted by the deceased as a member of the family.
(b)
(4)
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
14Notification for a decision.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(2)In subsection (5)(a)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(3)In subsection (6)—
(4)
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
15Effect of guidance.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(i)a parent with care cares for one child only, and
(ii)that child dies,
(iii)a child accepted by the deceased as a member of the family.
(c)where—
in the period not exceeding 12 months which begins on the date the child died and throughout which he was entitled to a relevant benefit; or
(2)In subsection (5)(a)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(c)where—
in the period not exceeding 12 months which begins on the date the child died and throughout which he was entitled to a relevant benefit; or
(d)
(3)In subsection (6)—
(4)
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(c)where—
in the period not exceeding 12 months which begins on the date the child died and throughout which he was entitled to a relevant benefit; or
(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
16Effect of a decision that the Chapter I prohibition has not been infringed.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(2)In subsection (5)(a)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(3)In subsection (6)—
(4)
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(c)where—
in the period not exceeding 12 months which begins on the date the child died and throughout which he was entitled to a relevant benefit; or
(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
Excluded agreements
3Excluded agreements.#
(1)The Chapter I prohibition does not apply in any of the cases in which it is excluded by or as a result of—
(a)Schedule 1 (mergers and concentrations);
(b)Schedule 2 (competition scrutiny under other enactments);
(c)Schedule 3 (planning obligations and other general exclusions). note...
(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2)The Secretary of State may at any time by order amend Schedule 1, with respect to the Chapter I prohibition, by—
(a)providing for one or more additional exclusions; or
(b)amending or removing any provision (whether or not it has been added by an order under this subsection).
(3)The Secretary of State may at any time by order amend Schedule 3, with respect to the Chapter I prohibition, by—
(a)providing for one or more additional exclusions; or
(b)amending or removing any provision—
(i)added by an order under this subsection; or
(ii)included in paragraph 1 note... or 9 of Schedule 3.
(4)The power under subsection (3) to provide for an additional exclusion may be exercised only if it appears to the Secretary of State that agreements which fall within the additional exclusion—
(a)do not in general have an adverse effect on competition, or
(b)are, in general, best considered under Chapter II or the noteFair Trading Act 1973the Enterprise Act 2002.
(5)An order under subsection (2)(a) or (3)(a) may include provision (similar to that made with respect to any other exclusion provided by the relevant Schedule) for the exclusion concerned to cease to apply to a particular agreement.
(6)Schedule 3 also gives the Secretary of State power to exclude agreements from the Chapter I prohibition in certain circumstances.
The prohibition
2Agreements etc. preventing, restricting or distorting competition.#
(1)Subject to section 3, agreements between undertakings, decisions by associations of undertakings or concerted practices which have as their object or effect the prevention, restriction or distortion of competition within the United Kingdom and which—
(a)in the case of agreements, decisions or practices implemented, or intended to be implemented in the United Kingdom, may affect trade in the United Kingdom, or
(b)in any other case, are likely to have an immediate, substantial and foreseeable effect on trade within the United Kingdom,
are prohibited unless they are exempt in accordance with the provisions of this Part.
(2)Subsection (1) applies, in particular, to agreements, decisions or practices which—
(a)directly or indirectly fix purchase or selling prices or any other trading conditions;
(b)limit or control production, markets, technical development or investment;
(c)share markets or sources of supply;
(d)apply dissimilar conditions to equivalent transactions with other trading parties, thereby placing them at a competitive disadvantage;
(e)make the conclusion of contracts subject to acceptance by the other parties of supplementary obligations which, by their nature or according to commercial usage, have no connection with the subject of such contracts.
(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(6)Subsection (5) does not apply where the context otherwise requires.
(7)In this section “the United Kingdom” means, in relation to an agreement which operates or is intended to operate only in a part of the United Kingdom, that part.
(8)The prohibition imposed by subsection (1) is referred to in this Act as “the Chapter I prohibition”.
Chapter II · Abuse of Dominant Position
Introduction
Notification
20Requests for OFT to consider conduct.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(2)In subsection (5)(a)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
21Notification for guidance.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(2)In subsection (5)(a)—
22Notification for a decision.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(2)In subsection (5)(a)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
23Effect of guidance.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(2)In subsection (5)(a)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(c)where—
in the period not exceeding 12 months which begins on the date the child died and throughout which he was entitled to a relevant benefit; or
(3)In subsection (6)—
(4)
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(c)where—
in the period not exceeding 12 months which begins on the date the child died and throughout which he was entitled to a relevant benefit; or
(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
24Effect of a decision that the Chapter II prohibition has not been infringed.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(2)In subsection (5)(a)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(3)In subsection (6)—
(4)
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
(c)where—
in the period not exceeding 12 months which begins on the date the child died and throughout which he was entitled to a relevant benefit; or
(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
Excluded cases
19Excluded cases.#
(1)The Chapter II prohibition does not apply in any of the cases in which it is excluded by or as a result of—
(a)Schedule 1 (mergers and concentrations); or
(b)Schedule 3 (general exclusions).
(2)The Secretary of State may at any time by order amend Schedule 1, with respect to the Chapter II prohibition, by—
(a)providing for one or more additional exclusions; or
(b)amending or removing any provision (whether or not it has been added by an order under this subsection).
(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4)Schedule 3 also gives the Secretary of State power to provide that the Chapter II prohibition is not to apply in certain circumstances.
The prohibition
18Abuse of dominant position.#
(1)Subject to section 19, any conduct on the part of one or more undertakings which amounts to the abuse of a dominant position in a market is prohibited if it may affect trade within the United Kingdom.
(2)Conduct may, in particular, constitute such an abuse if it consists in—
(a)directly or indirectly imposing unfair purchase or selling prices or other unfair trading conditions;
(b)limiting production, markets or technical development to the prejudice of consumers;
(c)applying dissimilar conditions to equivalent transactions with other trading parties, thereby placing them at a competitive disadvantage;
(d)making the conclusion of contracts subject to acceptance by the other parties of supplementary obligations which, by their nature or according to commercial usage, have no connection with the subject of the contracts.
(3)In this section—• “dominant position” means a dominant position within the United Kingdom; and• “the United Kingdom” means the United Kingdom or any part of it.
(4)The prohibition imposed by subsection (1) is referred to in this Act as “the Chapter II prohibition”.
Chapter III · Investigation and Enforcement
Enforcement : directions and interim measures
32Directions in relation to agreements.#
(1)If the CMA has made a decision that an agreement infringes the Chapter I prohibition note... , it may give to such person or persons as it considers appropriate such directions as it considers appropriate to bring the infringement to an end.
(2)In subsection (5)(a)—
(3)A direction under this section may, in particular, include provision—
(b)requiring them to terminate the agreement.
(4)A direction under this section must be given in writing.
33Directions in relation to conduct.#
(1)If the CMA has made a decision that conduct infringes the Chapter II prohibition note... , it may give to such person or persons as it considers appropriate such directions as it considers appropriate to bring the infringement to an end.
(2)In subsection (5)(a)—
(3)A direction under this section may, in particular, include provision—
(b)requiring him to cease that conduct.
(4)A direction under this section must be given in writing.
34Enforcement of directions.#
(1)If a person fails, without reasonable excuse, to comply with a direction under section 32 or 33, the CMA may apply to the court for an order—
(b)if the direction related to anything to be done in the management or administration of an undertaking, requiring the undertaking or any of its officers to do it.
(2)An order of the court under subsection (1) may provide for all of the costs of, or incidental to, the application for the order to be borne by—
(a)the person in default; or
(b)any officer of an undertaking who is responsible for the default.
(3)In the application of subsection (2) to Scotland, the reference to “costs” is to be read as a reference to “expenses”.
(4)In deciding whether and, if so, how to proceed under this section, the CMA must have regard to the statement of policy which was most recently published by it under section 35C at the time of the failure to comply with the direction.
35Interim measures.#
(1)Subject to subsection (8), this section applies if the CMA has begun an investigation under section 25 and not completed it (but only applies so long as the CMA has power under section 25 to conduct that investigation).
(2)If the CMA considers that it is necessary for it to act under this section as a matter of urgency for the purpose—
(b)of protecting the public interest,
it may give such directions as it considers appropriate for that purpose.
(3)Before giving a direction under this section, the CMA must—
(a)give written notice to the person (or persons) to whom it proposes to give the direction; and
(b)give that person (or each of them) an opportunity to make representations.
(4)A notice under subsection (3) must indicate the nature of the direction which the CMA is proposing to give and its reasons for wishing to give it.
(5)A direction given under this section may if the circumstances permit be replaced by—
(a)a direction under section 32 or (as appropriate) section 33, or
(b)commitments accepted under section 31A,
but, subject to that, has effect while this section applies.
(6)In the cases mentioned in section 25(2) and (6), sections 32(3) and 34 also apply to directions given under this section.
(7)In the cases mentioned in section 25(4), sections 33(3) and 34 also apply to directions given under this section.
(8)In the case of an investigation conducted by virtue of section 25(2) or (6), this section does not apply if a person has produced evidence to the CMA in connection with the investigation that satisfies it on the balance of probabilities that, in the event of it reaching the basic infringement conclusion, it would also reach the conclusion that the suspected agreement is exempt from the Chapter I prohibition as a result of section 9(1); and in this subsection “the basic infringement conclusion” is the conclusion that there is an agreement which—
(a)may affect trade within the United Kingdom, and
(b)has as its object or effect the prevention, restriction or distortion of competition within the United Kingdom.
(9). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Investigations
25Power of CMA to investigate#
(1)In any of the following cases, the CMA may conduct an investigation.
(2)The first case is where there are reasonable grounds for suspecting that there is an agreement which—
(a)may affect trade within the United Kingdom; and
(b)has as its object or effect the prevention, restriction or distortion of competition within the United Kingdom.
(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4)The third case is where there are reasonable grounds for suspecting that the Chapter II prohibition has been infringed.
(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(6)The fifth case is where there are reasonable grounds for suspecting that, at some time in the past, there was an agreement which at that time—
(a)may have affected trade within the United Kingdom; and
(b)had as its object or effect the prevention, restriction or distortion of competition within the United Kingdom.
(7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(8)Subsection (2) does not permit an investigation to be conducted in relation to an agreement if the CMA —
(a)considers that the agreement is exempt from the Chapter I prohibition as a result of a block exemption or an assimilatedexemption; and
(b)does not have reasonable grounds for suspecting that the circumstances may be such that it could exercise its power to cancel the exemption.
(9). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(10)Subsection (6) does not permit an investigation to be conducted in relation to any agreement if the CMA considers that, at the time in question, the agreement was exempt from the Chapter I prohibition as a result of a block exemption or an assimilatedexemption.
(11). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(12)It is immaterial for the purposes of subsection (6) note... whether the agreement in question remains in existence.
25APower of CMA to publish notice of investigation etc#
(1)Where the CMA decides to conduct an investigation it may publish a notice which may, in particular—
(a)state its decision to do so;
(b)indicate which of subsections (2), (4) and (6) of section 25 the investigation falls under;
(c)summarise the matter being investigated;
(d)identify any undertaking whose activities are being investigated as part of the investigation;
(e)identify the market which is or was affected by the matter being investigated.
(1A)Where the CMA assists an overseas regulator in carrying out any of its functions which correspond or are similar to the functions of the CMA under this Part (see Chapter 2 of Part 5 of the Digital Markets, Competition and Consumers Act 2024), the CMA may publish a notice which may, in particular—
(a)state its decision to do so;
(b)identify the overseas regulator concerned;
(c)summarise the matter in respect of which the assistance is to be provided;
(d)identify any undertaking in respect of which the assistance is to be provided;
(e)identify the market which is or was affected by the matter in respect of which the assistance is to be provided.
(2)Section 57 does not apply to a notice under subsection (1) or (1A) to the extent that it includes information other than information mentioned in the subsection concerned.
(3)Subsection (4) applies if—
(a)the CMA has published a notice under subsection (1) which identifies an undertaking whose activities are being investigated, and
(b)the CMA subsequently decides (without making a decision within the meaning given by section 31(2)) to terminate the investigation of the activities of the undertaking so identified.
(4)The CMA must publish a notice stating that the activities of the undertaking in question are no longer being investigated.
25BDuty to preserve documents relevant to investigations#
(1) Subsection (2) applies where a person knows or suspects that—
(a)an investigation by the CMA under section 25 is being or is likely to be carried out , or
(b)the CMA is assisting, or is likely to assist, an overseas regulator in carrying out any of its functions which correspond or are similar to the functions of the CMA under this Part (see Chapter 2 of Part 5 of the Digital Markets, Competition and Consumers Act 2024).
(2)The person must not—
(a)falsify, conceal, destroy or otherwise dispose of, or
(b)cause or permit the falsification, concealment, destruction or disposal of,
a document which the person knows or suspects is or would be relevant to the investigation or to the provision of such assistance.
(3)In this section, the reference to concealing a document includes a reference to destroying the means of reproducing information recorded otherwise than in legible form.
26Investigations: powers to require documents and information#
(1)For the purposes of an investigation under section 25, the CMA may require any person to produce to it a specified document, or to provide it with specified information, which it considers relates to any matter relevant to the investigation.
(2)The power conferred by subsection (1) is to be exercised by a notice in writing.
(3)A notice under subsection (2) must note...—
(a)indicate the subject matter and purpose of the investigation; and
(b)include information about the possible consequences of failing to comply with the notice.
(4)In subsection (1) “specified” means—
(a)specified, or described, in the notice; or
(b)falling within a category which is specified, or described, in the notice.
(5)The CMA may also specify in the notice—
(a)the time and place at which any document is to be produced or any information is to be provided;
(b)the manner and form in which it is to be produced or provided.
(a)if the document is produced—
(i)to take copies of it or extracts from it;
(b)if the document is not produced, to require him to state, to the best of his knowledge and belief, where it is.
26AInvestigations: power to ask questions#
(1)For the purposes of an investigation, the CMA may give notice to an individual note... requiring the individual to answer questions with respect to any matter relevant to the investigation—
(a)at a place or in a manner (which may be remote) specified in the notice, and
(b)either at a time so specified or on receipt of the notice.
(2)The CMA must give a copy of the notice under subsection (1) to any relevant undertaking with which the individual has a current connection at the time the notice is given to the individual.
(3)The CMA must take such steps as are reasonable in all the circumstances to comply with the requirement under subsection (2) before the time at which the individual is required to answer questions.
(4)Where the CMA does not comply with the requirement under subsection (2) before the time mentioned in subsection (3), it must comply with that requirement as soon as practicable after that time.
(5)A notice under subsection (1) must be in writing and must note...—
(a)indicate the subject matter and purpose of the investigation, and
(b)include information about the possible consequences of failing to comply with the notice.
(6)For the purposes of this section, an individual has a current connection with an undertaking if, at the time in question, the individual is—
(a)concerned in the management or control of the undertaking, or
(b)employed by, or otherwise working for, the undertaking.
(7)In this section, a “relevant undertaking” means an undertaking whose activities are being investigated as part of the investigation in question.
27Power to enter business premises without a warrant#
(1)Any officer of the CMA who is authorised in writing by the CMA to do so (“an investigating officer”) may enter any business premises in connection with an investigation under section 25.
(2)No investigating officer is to enter any premises in the exercise of his powers under this section unless he has given to the occupier of the premises a written notice which—
(a)gives at least two working days’ notice of the intended entry;
(b)indicates the subject matter and purpose of the investigation; and
(c)includes information about the possible consequences of failing to comply with the notice.
(3)Subsection (2) does not apply—
(a)if the CMA has a reasonable suspicion that the premises are, or have been, occupied by—
(i)a party to an agreement which it is investigating section 25; or
(ii)an undertaking the conduct of which it is investigating under section 25; or
(b)if the investigating officer has taken all such steps as are reasonably practicable to give notice but has not been able to do so.
(4)In a case falling within subsection (3), the power of entry conferred by subsection (1) is to be exercised by the investigating officer on production of—
(a)evidence of his authorisation; and
(b)a document containing the information referred to in subsection (2)(b) and (c).
(5)An investigating officer entering any premises under this section may—
(a)take with him such equipment as appears to him to be necessary;
(i)to produce any document which he considers relates to any matter relevant to the investigation; and
(ii)if the document is produced, to provide an explanation of it;
(d)take copies of, or extracts from, any document which is produced;
(e)require any information which is stored in any electronic form and is accessible from the premises and which the investigating officer considers relates to any matter relevant to the investigation, to be produced in a form—
(i)in which it can be taken away, and
(ii)in which it is visible and legible or from which it can readily be produced in a visible and legible form.
(f)take any steps which appear to be necessary for the purpose of preserving or preventing interference with any document which he considers relates to any matter relevant to the investigation.
(6)In this section “business premises” means premises (or any part of premises) not used as a dwelling.
28Power to enter business premises under a warrant.#
(1)On an application made to it by the CMA, the court or the Tribunal may issue a warrant if it is satisfied that—
(a)there are reasonable grounds for suspecting that there are on or accessible fromany business premises documents—
(i)the production of which has been required under section 26 or 27; and
(ii)which have not been produced as required;
(b)there are reasonable grounds for suspecting that—
(i)there are on or accessible fromany business premises documents which the CMA has power under section 26 to require to be produced; and
(ii)if the documents were required to be produced, they would not be produced but would be concealed, removed, tampered with or destroyed; or
(c)an investigating officer has attempted to enter premises in the exercise of his powers under section 27 but has been unable to do so and that there are reasonable grounds for suspecting that there are on or accessible from the premises documents the production of which could have been required under that section.
(2)A warrant under this section shall authorise a named officer of the CMA , and any other of the “CMA's officers whom the CMA has authorised in writing to accompany the named officer—
(a)to enter the premises specified in the warrant, using such force as is reasonably necessary for the purpose;
(b)to search the premises and take copies of, or extracts from, any document appearing to be of a kind in respect of which the application under subsection (1) was granted (“the relevant kind”);
(c)to take possession of any documents appearing to be of the relevant kind if—
(i)such action appears to be necessary for preserving the documents or preventing interference with them; or
(ii)it is not reasonably practicable to take copies of the documents on the premises;
(d)to take any other steps which appear to be necessary for the purpose mentioned in paragraph (c)(i);
(e)to require any person to provide an explanation of any document appearing to be of the relevant kind or to state, to the best of his knowledge and belief, where it may be found;
(f)to require any information which is stored in any electronic form and is accessible from the premises note... to be produced in a form—
(i)in which it can be taken away, and
(ii)in which it is visible and legible or from which it can readily be produced in a visible and legible form;
(g)to operate any equipment found on the premises for the purposes of producing such information in such a form;
(h)to require any person on the premises to give the named officer any assistance the named officer may reasonably require (including for the purposes of paragraphs (f) and (g));
(i)to take copies of, or take possession of, anything produced in accordance with paragraph (f) or (g) which the named officer considers relates to any matter relevant to the investigation.
(3)If, in the case of a warrant under subsection (1)(b), the court or (as the case may be) the Tribunal is satisfied that it is reasonable to suspect that there are also on the premises other documents relating to the investigation concerned, the warrant shall also authorise action mentioned in subsection (2) to be taken in relation to any such document.
(3A)A warrant under this section may authorise persons specified in the warrant to accompany the named officer who is executing it.
(5)On leaving any premises which he has entered by virtue of a warrant under this section, the named officer must, if the premises are unoccupied or the occupier is temporarily absent, leave them as effectively secured as he found them.
(6)A warrant under this section continues in force until the end of the period of one month beginning with the day on which it is issued.
(7)Any document of which possession is taken under subsection (2)(c) may be retained for a period of three months.
(7A)An application for a warrant under this section must be made—
(a)in the case of an application to the court, in accordance with rules of court;
(b)in the case of an application to the Tribunal, in accordance with Tribunal rules.
(8)In this section “business premises” has the same meaning as in section 27.
28APower to enter domestic premises under a warrant#
(1)On an application made to it by the CMA, the court or the Tribunal may issue a warrant if it is satisfied that—
(a)there are reasonable grounds for suspecting that there are on or accessible from any domestic premises documents—
(i)the production of which has been required under section 26; and
(ii)which have not been produced as required; or
(b)there are reasonable grounds for suspecting that—
(i)there are on or accessible from any domestic premises documents which the CMA has power under section 26 to require to be produced; and
(ii)if the documents were required to be produced, they would not be produced but would be concealed, removed, tampered with or destroyed.
(2)A warrant under this section shall authorise a named officer of the CMA, and any other of its officers whom the CMA has authorised in writing to accompany the named officer—
(a)to enter the premises specified in the warrant, using such force as is reasonably necessary for the purpose;
(b)to search the premises and take copies of, or extracts from, any document appearing to be of a kind in respect of which the application under subsection (1) was granted (“the relevant kind”);
(c)to take possession of any documents appearing to be of the relevant kind if—
(i)such action appears to be necessary for preserving the documents or preventing interference with them; or
(ii)it is not reasonably practicable to take copies of the documents on the premises;
(d)to take any other steps which appear to be necessary for the purpose mentioned in paragraph (c)(i);
(e)to require any person to provide an explanation of any document appearing to be of the relevant kind or to state, to the best of his knowledge and belief, where it may be found;
(f)to require any information which is stored in any electronic form and is accessible from the premises note... to be produced in a form—
(i)in which it can be taken away, and
(ii)in which it is visible and legible or from which it can readily be produced in a visible and legible form;
(g)to operate any equipment found on the premises for the purposes of producing such information in such a form;
(h)to require any person on the premises to give the named officer any assistance the named officer may reasonably require (including for the purposes of paragraphs (f) and (g));
(i)to take copies of, or take possession of, anything produced in accordance with paragraph (f) or (g) which the named officer considers relates to any matter relevant to the investigation.
(3)If, in the case of a warrant under subsection (1)(b), the court or (as the case may be) the Tribunal is satisfied that it is reasonable to suspect that there are also on the premises other documents relating to the investigation concerned, the warrant shall also authorise action mentioned in subsection (2) to be taken in relation to any such document.
(4)A warrant under this section may authorise persons specified in the warrant to accompany the named officer who is executing it.
(5)Any person entering premises by virtue of a warrant under this section may take with him such equipment as appears to him to be necessary.
(6)On leaving any premises which he has entered by virtue of a warrant under this section, the named officer must, if the premises are unoccupied or the occupier is temporarily absent, leave them as effectively secured as he found them.
(7)A warrant under this section continues in force until the end of the period of one month beginning with the day on which it is issued.
(8)Any document of which possession is taken under subsection (2)(c) may be retained for a period of three months.
(8A)An application for a warrant under this section must be made—
(a)in the case of an application to the court, in accordance with rules of court;
(b)in the case of an application to the Tribunal, in accordance with Tribunal rules.
(9)In this section, “domestic premises” means premises (or any part of premises) that are used as a dwelling and are—
(a)premises also used in connection with the affairs of an undertaking or association of undertakings; or
(b)premises where documents relating to the affairs of an undertaking or association of undertakings are kept.
29Entry of premises under warrant: supplementary.#
(1)A warrant issued under section 28 or 28A must note...—
(a)indicate the subject matter and purpose of the investigation;
(b)include information about the possible consequences of failing to comply with the notice.
(2)The powers conferred by section 28 or 28A are to be exercised on production of a warrant issued under that section.
(3)If there is no one at the premises when the named officer proposes to execute such a warrant he must, before executing it—
(a)take such steps as are reasonable in all the circumstances to inform the occupier of the intended entry; and
(b)if the occupier is informed, afford him or his legal or other representative a reasonable opportunity to be present when the warrant is executed.
(4)If the named officer is unable to inform the occupier of the intended entry he must, when executing the warrant, leave a copy of it in a prominent place on the premises.
(5)In this section—• “named officer” means the officer named in the warrant; and• “occupier”, in relation to any premises, means a person whom the named officer reasonably believes is the occupier of those premises.
30Privileged communications.#
(1)A person shall not be required, under any provision of this Part, to produce or disclose a privileged communication.
(1A)Nothing in section 28 or 28A authorises an officer to produce or take possession of, or make copies of or take extracts from, anything which, by virtue of subsection (1), a person could not be required to produce or disclose under this Part.
(2)“Privileged communication” means a communication—
(a)between a professional legal adviser and his client, or
(b)made in connection with, or in contemplation of, legal proceedings and for the purposes of those proceedings,
which in proceedings in the High Court would be protected from disclosure on grounds of legal professional privilege.
30AUse of statements in prosecution#
(1)A statement made by a person in response to a requirement imposed by virtue of any of sections 26, 27 to 28A and 40ZD may not be used in evidence against him on a prosecution for an offence under section 188 of the Enterprise Act 2002 unless, in the proceedings—
(2)A statement by an individual in response to a requirement imposed by virtue of section 26A (a “section 26A statement”) may only be used in evidence against the individual—
(a)on a prosecution for an offence under section 44, or
(b)on a prosecution for some other offence in a case falling within subsection (3).
(3)A prosecution falls within this subsection if, in the proceedings—
(a)in giving evidence, the individual makes a statement inconsistent with the section 26A statement, and
(b)evidence relating to the section 26A statement is adduced, or a question relating to it is asked, by or on behalf of the individual.
(4)A section 26A statement may not be used in evidence against an undertaking with which the individual who gave the statement has a connection on a prosecution for an offence unless the prosecution is for an offence under section 44.
(5)For the purposes of subsection (4), an individual has a connection with an undertaking if he or she is or was—
(a)concerned in the management or control of the undertaking, or
(b)employed by, or otherwise working for, the undertaking.
(a)in giving evidence, he makes a statement inconsistent with it, and
(b)evidence relating to it is adduced, or a question relating to it is asked, by him or on his behalf.
31Decisions following an investigation.#
(1)If as a result of an investigation the CMA proposes to make a decision, the CMA must—
(a)give written notice to the person (or persons) likely to be affected by the proposed decision; and
(b)give that person (or those persons) an opportunity to make representations.
(2)For the purposes of this section and sections 31A and 31B “decision” means a decision of the CMA —
(a)that the Chapter I prohibition has been infringed; or
(b)that the Chapter II prohibition has been infringed;
(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
31ACommitments#
(1)Subsection (2) applies in a case where the CMA has begun an investigation under section 25 but has not made a decision (within the meaning given by section 31(2)).
(2)For the purposes of addressing the competition concerns it has identified, the CMA may accept from such person (or persons) concerned as it considers appropriate commitments to take such action (or refrain from taking such action) as it considers appropriate.
(2A)But the CMA may not accept commitments from a person unless it has provided the person with information about the possible consequences of failing to adhere to the commitments.
(3)At any time when commitments are in force the CMA may accept from the person (or persons) who gave the commitments—
(a)a variation of them if it is satisfied that the commitments as varied will address its current competition concerns;
(b)commitments in substitution for them if it is satisfied that the new commitments will address its current competition concerns.
(4)Commitments under this section—
(a)shall come into force when accepted; and
(b)may be released by the CMA where—
(i)it is requested to do so by the person (or persons) who gave the commitments; or
(ii)it has reasonable grounds for believing that the competition concerns referred to in subsection (2) or (3) no longer arise.
(5)The provisions of Schedule 6A to this Act shall have effect with respect to procedural requirements for the acceptance, variation and release of commitments under this section.
31BEffect of commitments under section 31A#
(1)Subsection (2) applies if the CMA has accepted commitments under section 31A (and has not released them).
(2)In such a case, the CMA shall not—
(a)continue the investigation,
(b)make a decision (within the meaning of section 31(2)), or
(c)give a direction under section 35,
in relation to the agreement or conduct which was the subject of the investigation (but this subsection is subject to subsections (3) and (4)).
(3)Nothing in subsection (2) prevents the CMA from taking any action in relation to competition concerns which are not addressed by commitments accepted by it.
(4)Subsection (2) also does not prevent the CMA from continuing the investigation, making a decision, or giving a direction where—
(a)it has reasonable grounds for believing that there has been a material change of circumstances since the commitments were accepted;
(b)it has reasonable grounds for suspecting that a person has failed to adhere to one or more of the terms of the commitments; or
(c)it has reasonable grounds for suspecting that information which led it to accept the commitments was incomplete, false or misleading in a material particular.
(5)If, pursuant to subsection (4), the CMA makes a decision or gives a direction the commitments are to be treated as released from the date of that decision or direction.
31CReview of commitments#
(1)Where the CMA is reviewing or has reviewed the effectiveness of commitments accepted under section 31A it must, if requested to do so by the Secretary of State, prepare a report of its findings.
(2)The CMA must—
(a)give any report prepared by it under subsection (1) to the Secretary of State; and
(b)publish the report.
31DGuidance#
(1)The CMA must prepare and publish guidance as to the circumstances in which it may be appropriate to accept commitments under section 31A.
(2)The CMA may at any time alter the guidance.
(3)If the guidance is altered, the CMA must publish it as altered.
(4)No guidance is to be published under this section without the approval of the Secretary of State.
(5)The CMA may, after consulting the Secretary of State, choose how it publishes its guidance.
(6)If the CMA is preparing or altering guidance under this section it must consult such persons as it considers appropriate.
(8)When exercising its discretion to accept commitments under section 31A, the CMA must have regard to the guidance for the time being in force under this section.
31EEnforcement of commitments#
(1)If a person from whom the CMA has accepted commitments fails without reasonable excuse to adhere to the commitments (and has not been released from them), the CMA may apply to the court for an order—
(b)if the commitments relate to anything to be done in the management or administration of an undertaking, requiring the undertaking or any of its officers to do it.
(2)An order of the court under subsection (1) may provide for all the costs of, or incidental to, the application for the order to be borne by—
(a)the person in default; or
(b)any officer of an undertaking who is responsible for the default.
(3)In the application of subsection (2) to Scotland, the reference to “costs” is to be read as a reference to “expenses”.
(4)In deciding whether and, if so, how to proceed under this section, the CMA must have regard to the statement of policy which was most recently published by it under section 35C at the time of the failure to adhere to the commitments.
31FPower for Secretary of State to impose time-limits on investigations etc.#
(1)The Secretary of State may by order impose time-limits in relation to—
(a)the conduct by the CMA of investigations or investigations of a description specified in the order;
(b)the making by the CMA of decisions (within the meaning given by section 31(2)) as a result of investigations or investigations of such a description.
(2)Before making an order under subsection (1), the Secretary of State must consult the CMA and such other persons as the Secretary of State considers appropriate.
Offences
42Obstruction.#
(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(5)A person is guilty of an offence if he intentionally obstructs an officer acting in the exercise of his powers under section 27.
(6)A person guilty of an offence under subsection note... (5) is liable—
(a)on summary conviction, to a fine not exceeding the statutory maximum;
(b)on conviction on indictment, to a fine.
(7)A person who intentionally obstructs an officer in the exercise of his powers under a warrant issued under section 28 or 28A is guilty of an offence and liable—
(a)on summary conviction, to a fine not exceeding the statutory maximum;
(b)on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both.
(8)A person is not guilty of an offence under subsection (5) or (7) by reason of any act or omission in relation to which the CMA has proceeded against the person under section 40ZE(1).
43Destroying or falsifying documents.#
(1)A person is guilty of an offence if, having been required to produce a document under section 26, 27, 28 or 28A—
(a)he intentionally or recklessly destroys or otherwise disposes of it, falsifies it or conceals it, or
(b)he causes or permits its destruction, disposal, falsification or concealment.
(1A)A person is not guilty of an offence under subsection (1) by reason of any act or omission in relation to which the CMA has proceeded against the person under section 40ZE(1).
(2)A person guilty of an offence under subsection (1) is liable—
(a)on summary conviction, to a fine not exceeding the statutory maximum;
(b)on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both.
44False or misleading information.#
(1)If information is provided by a person to the CMA in connection with any function of the CMA under this Part, that person is guilty of an offence if—
(a)the information is false or misleading in a material particular, and
(b)he knows that it is or is reckless as to whether it is.
(2)A person who—
(a)provides any information to another person, knowing the information to be false or misleading in a material particular, or
(b)recklessly provides any information to another person which is false or misleading in a material particular,
knowing that the information is to be used for the purpose of providing information to the CMA in connection with any of its functions under this Part, is guilty of an offence.
(2A)A person is not guilty of an offence under this section by reason of any act or omission in relation to which the CMA has proceeded against the person under section 40ZE(1).
(3)A person guilty of an offence under this section is liable—
(a)on summary conviction, to a fine not exceeding the statutory maximum;
(b)on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both.
Supplementary
44AGiving of notices under Chapter 3#
Section 126 of the Enterprise Act 2002 (service of documents) applies to the giving of notices under this Chapter as it applies to the service of documents under Part 3 of that Act.
44BExtra-territorial application of notices under sections 26 and 40ZD#
(1)This section applies to the exercise of the CMA’s power to give a person a notice under section 26 or 40ZD.
(2)The power is exercisable so as to—
(a)give the notice to a person who is outside the United Kingdom (subject to subsections (3) and (4));
(b)require the production of a specified document, or the provision of specified information, held outside the United Kingdom.
(3)The CMA’s power to give a notice under section 26 to a person outside the United Kingdom by virtue of subsection (2)(a) is exercisable only if—
(a)the person’s activities are being investigated as part of an investigation under section 25, or
(b)the person has a UK connection.
(4)The CMA’s power to give a notice under section 40ZD to a person outside the United Kingdom by virtue of subsection (2)(a) is exercisable only if—
(a)the person is bound by transferred EU anti-trust commitments (within the meaning of section 40ZA), or
(b)the person is subject to a transferred EU anti-trust direction (within the meaning of that section).
(5)For the purposes of subsection (3)(b), a person has a UK connection if the person—
(a)is a United Kingdom national;
(b)is an individual who is habitually resident in the United Kingdom;
(c)is a body incorporated under the law of any part of the United Kingdom;
(d)carries on business in the United Kingdom.
(6)In subsection (5)(a) “United Kingdom national” means—
(a)a British citizen, a British overseas territories citizen, a British National (Overseas) or a British Overseas citizen;
(b)a person who is a British subject under the British Nationality Act 1981;
(c)a British protected person within the meaning of that Act.
(7)Nothing in this section is to be taken to limit any other power of the CMA to give a notice under section 26 or 40ZD to a person outside the United Kingdom.
Civil sanctions: failure to comply with investigative requirements
40APenalties: amount#
(1A)A penalty imposed under section 40ZE(1) is to be of such amount as the CMA considers appropriate.
(2)A penalty imposed under section 40ZE(1)(a) may be—
(a)a fixed amount,
(b)an amount calculated by reference to a daily rate, or
(c)a combination of a fixed amount and an amount calculated by reference to a daily rate.
(2A)A penalty imposed under any of section 40ZE(1)(b) to (e) must be a fixed amount.
(3)A penalty imposed under section 40ZE(1) on a person who is not an undertaking must not—
(a)in the case of a fixed amount, exceed £30,000;
(b)in the case of an amount calculated by reference to a daily rate, exceed £15,000 per day;
(c)in the case of a fixed amount and an amount calculated by reference to a daily rate, exceed such fixed amount and such amount per day note....
(3A)A penalty imposed under section 40ZE(1) on a person who is an undertaking must not—
(a)in the case of a fixed amount, exceed 1% of the turnover of the undertaking;
(b)in the case of an amount calculated by reference to a daily rate, for each day exceed 5% of the daily turnover of the undertaking;
(c)in the case of a fixed amount and an amount calculated by reference to a daily rate, exceed such fixed amount and such amount per day.
(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(6)In imposing a penalty by reference to a daily rate—
(a)no account is to be taken of any days before the service of the provisional penalty notice under section 112(A1) of the Enterprise Act 2002 (as applied by section 40ZE(5)) on the person concerned, and
(b)unless the CMA determines an earlier date (whether before or after the penalty is imposed), the amount payable ceases to accumulate at the beginning of the earliest of the days mentioned in subsection (7).
(7)The days are—
(a)the day on which the requirement concerned is satisfied;
(b)the day on which the CMA makes a decision (within the meaning given by section 31(2)) or terminates the investigation in question without making such a decision;
(c)if the Secretary of State has made an order under section 31F(1)(b) imposing a time-limit on the making of such a decision, the latest day on which such a decision may be made as a result of the investigation in question;
(d)in a case where the requirement was imposed in connection with the provision by the CMA of assistance to an overseas regulator (see Chapter 2 of Part 5 of the Digital Markets, Competition and Consumers Act 2024), the day on which the overseas regulator no longer requires that assistance.
(7A)The Secretary of State may by regulations amend subsection (3)(a) and (b) by substituting for either or both of the sums for the time being specified in those paragraphs such other sum or sums as the Secretary of State considers appropriate.
(8)Before making regulations under subsection (7A), the Secretary of State must consult the CMA and such other persons as the Secretary of State considers appropriate.
(9). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(10)The Secretary of State may by regulations make provision for determining the turnover and daily turnover of an undertaking for the purposes of this section.
(11)Regulations under subsection (10) may, in particular, make provision as to—
(a)the amounts which are, or which are not, to be treated as an undertaking’s turnover or daily turnover;
(b)the date, or dates, by reference to which an undertaking’s turnover, or daily turnover, is to be determined.
(12)Regulations under subsection (10) may, in particular, make provision enabling the CMA to determine matters of a description specified in the regulations (including any of the matters mentioned in paragraphs (a) and (b) of subsection (11)).
40BStatement of policy on penalties#
(1)The CMA must prepare and publish a statement of policy in relation to the exercise of functions under section 40ZE.
(2)The CMA must, in particular, include a statement about the considerations relevant to the determination of the nature and amount of any penalty imposed under section 40ZE.
(3)The CMA may revise its statement of policy and, where it does so, it must publish the revised statement.
(4)The CMA must consult the Secretary of State and such other persons as it considers appropriate when preparing or revising its statement of policy.
(5)If the proposed statement of policy or revision relates to a matter in respect of which a regulator exercises concurrent jurisdiction, those consulted must include that regulator.
(5A)A statement or revised statement of policy may not be published under this section without the approval of the Secretary of State.
(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
40ZEEnforcement of requirements: imposition of penalties#
(1)The CMA may impose a penalty on a person in accordance with section 40A where the CMA considers that—
(a)the person has, without reasonable excuse, failed to comply with a requirement imposed on the person by section 25B or under section 26, 26A, 27, 28, 28A or 40ZD;
(b)the person has, without reasonable excuse, obstructed an officer acting in the exercise of the officer’s powers under section 27 or under a warrant issued under section 28 or 28A;
(c)the person, having been required to produce a document under section 26, 27, 28 or 28A, has, without reasonable excuse—
(i)destroyed or otherwise disposed of, falsified or concealed the document, or
(ii)caused or permitted the document’s destruction, disposal, falsification or concealment;
(d)the person has, without reasonable excuse, provided information that was false or misleading in a material particular to the CMA in connection with any function of the CMA under this Part;
(e)the person has, without reasonable excuse, provided information that was false or misleading in a material particular to another person knowing that the information was to be used for the purpose of providing information to the CMA in connection with any function of the CMA under this Part.
(2)But the CMA may not proceed against a person under this section in relation to an act or omission which constitutes an offence under any of sections 42 to 44 if the person has, by reason of that act or omission, been found guilty of that offence.
(3)In deciding whether and, if so, how to proceed under subsection (1) the CMA must have regard to the statement of policy which was most recently published under section 40B at the time when the act or omission concerned occurred.
(4)In this section—
(a)the reference to the production of a document includes a reference to the production of a legible and intelligible copy of information recorded otherwise than in legible form;
(b)the reference to concealing a document includes a reference to destroying the means of reproducing information recorded otherwise than in legible form.
(5)Sections 112 to 115 of the Enterprise Act 2002 (supplementary provisions about penalties) apply in relation to a penalty imposed under subsection (1) as they apply in relation to a penalty imposed under section 110(1) or (1A) of that Act, with the following modifications—
(a)any reference in those provisions to the appropriate authority is to be read as a reference to the CMA only;
(b)section 114(5A) is to be read as if the words “In the case of a penalty imposed on a person by the CMA or OFCOM,” were omitted;
(c)section 114(12) is to be read as if, for paragraph (b), there were substituted—“b “relevant guidance” means the statement of policy which was most recently published under section 40B of the 1998 Act at the time when the act or omission concerned occurred.”
Civil sanctions: breaches of commitments, directions and interim measures
35AEnforcement of powers under sections 31A, 32, 33 and 35: imposition of penalties#
(1)The CMA may, in accordance with section 35B, impose a penalty on a person—
(a)from whom the CMA has accepted commitments under section 31A (and who has not been released from those commitments), or
(b)to whom the CMA has given a direction under section 32, 33 or 35,
where the CMA considers that the person has, without reasonable excuse, failed to adhere to the commitments or comply with the direction.
(2)In deciding whether and, if so, how to proceed under subsection (1) the CMA must have regard to the statement of policy which was most recently published under section 35C at the time of the failure to adhere or comply.
35BPenalties under section 35A: amount#
(1)A penalty under section 35A(1) is to be such amount as the CMA considers appropriate.
(2)The amount must be—
(a)a fixed amount,
(b)an amount calculated by reference to a daily rate, or
(c)a combination of a fixed amount and an amount calculated by reference to a daily rate.
(3)A penalty imposed under section 35A(1) on a person who is not an undertaking must not—
(a)in the case of a fixed amount, exceed £30,000;
(b)in the case of an amount calculated by reference to a daily rate, exceed £15,000 per day;
(c)in the case of a fixed amount and an amount calculated by reference to a daily rate, exceed such fixed amount and such amount per day.
(4)A penalty imposed under section 35A(1) on a person who is an undertaking must not—
(a)in the case of a fixed amount, exceed 5% of the total value of the turnover of the undertaking;
(b)in the case of an amount calculated by reference to a daily rate, for each day exceed 5% of the total value of the daily turnover of the undertaking;
(c)in the case of a fixed amount and an amount calculated by reference to a daily rate, exceed such fixed amount and such amount per day.
(5)In imposing a penalty by reference to a daily rate—
(a)no account is to be taken of any days before the service on the person concerned of the provisional penalty notice under section 112(A1) of the Enterprise Act 2002 (as applied by subsection (6)), and
(b)unless the CMA determines an earlier date (whether before or after the penalty is imposed), the amount payable ceases to accumulate at the beginning of the day on which the person adheres to the commitments or complies with the direction (as the case may be) referred to in section 35A(1).
(6)Sections 112 to 115 of the Enterprise Act 2002 apply in relation to a penalty imposed under section 35A(1) as they apply in relation to a penalty imposed under section 110(1) or (1A) of that Act, with the following modifications—
(a)any reference in those provisions to the appropriate authority is to be read as a reference to the CMA only;
(b)section 114(5A) is to be read as if the words “In the case of a penalty imposed on a person by the CMA or OFCOM,” were omitted;
(c)section 114(12) is to be read as if, for paragraph (b), there were substituted—“b “relevant guidance” means the statement of policy which was most recently published under section 35C at the time when the act or omission concerned occurred.”
(7)The Secretary of State may by regulations amend subsection (3)(a) and (b) by substituting for either or both of the sums for the time being specified in those paragraphs such other sum or sums as the Secretary of State considers appropriate.
(8)Before making regulations under subsection (7) the Secretary of State must consult—
(a)the CMA, and
(b)such other persons as the Secretary of State considers appropriate.
(9)The Secretary of State may by regulations make provision for determining the turnover and daily turnover of an undertaking for the purposes of subsection (4).
(10)Regulations under subsection (9) may, in particular, make provision as to—
(a)the amounts which are, or which are not, to be treated as comprising an undertaking’s turnover or daily turnover;
(b)the date, or dates, by reference to which an undertaking’s turnover, or daily turnover, is to be determined.
(11)Regulations under subsection (9) may, in particular, make provision enabling the CMA to determine matters of a description specified in the regulations (including any of the matters mentioned in paragraphs (a) and (b) of subsection (10)).
Civil sanctions: infringements of the Chapter I or II prohibitions
36Penalties.#
(1)On making a decision that an agreement has infringed the Chapter I prohibition note..., the CMA may require an undertaking which is a party to the agreement to pay the CMA a penalty in respect of the infringement.
(2)On making a decision that conduct has infringed the Chapter II prohibition note..., the CMA may require the undertaking concerned to pay the CMA a penalty in respect of the infringement.
(3)The CMA may impose a penalty on an undertaking under subsection (1) or (2) only if the CMA is satisfied that the infringement has been committed intentionally or negligently by the undertaking.
(4)Subsection (1) is subject to section 39 and does not apply in relation to a decision that an agreement has infringed the Chapter I prohibition if the CMA is satisfied that the undertaking acted on the reasonable assumption that that section gave it immunity in respect of the agreement.
(5)Subsection (2) is subject to section 40 and does not apply in relation to a decision that conduct has infringed the Chapter II prohibition if the CMA is satisfied that the undertaking acted on the reasonable assumption that that section gave it immunity in respect of the conduct.
(6)Notice of a penalty under this section must—
(a)be in writing; and
(b)specify the date before which the penalty is required to be paid.
(7)The date specified must not be earlier than the end of the period within which an appeal against the notice may be brought under section 46.
(7A)In fixing a penalty under this section the CMA must have regard to—
(a)the seriousness of the infringement concerned, and
(b)the desirability of deterring both the undertaking on whom the penalty is imposed and others from—
(i)entering into agreements which infringe the Chapter 1 prohibition note..., or
(ii)engaging in conduct which infringes the Chapter 2 prohibition note....
(8)No penalty fixed by the CMA under this section may exceed 10% of the turnover of the undertaking (determined in accordance with such provisions as may be specified in an order made by the Secretary of State).
(9)Any sums received by the CMA under this section are to be paid into the Consolidated Fund.
37Recovery of penalties.#
(1)If the specified date in a penalty notice has passed and—
(a)the period during which an appeal against the imposition, or amount, of the penalty may be made has expired without an appeal having been made, or
(b)such an appeal has been made and determined,
the CMA may recover from the undertaking, as a civil debt due to the CMA , any amount payable under the penalty notice which remains outstanding.
(2)In this section—• “penalty notice” means a notice given under section 36; and• “specified date” means the date specified in the penalty notice.
38The appropriate level of a penalty.#
(1)The CMA must prepare and publish guidance as to the appropriate amount of any penalty under this Part in respect of an infringement of the Chapter 1 prohibition or the Chapter 2 prohibition.
(1A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2)The CMA may at any time alter the guidance.
(3)If the guidance is altered, the CMA must publish it as altered.
(4)No guidance is to be published under this section without the approval of the Secretary of State.
(5)The CMA may, after consulting the Secretary of State, choose how it publishes its guidance.
(6)If the CMA is preparing or altering guidance under this section it must consult such persons as it considers appropriate.
(8)When setting the amount of a penalty under this Part in respect of an infringement of a kind mentioned in subsection (1) , the CMAand the Tribunal must have regard to the guidance for the time being in force under this section.
(9). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(10). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
39Limited immunity in relation to the Chapter I prohibition.#
(1)In this section “small agreement” means an agreement—
(a)which falls within a category prescribed for the purposes of this section; but
(b)is not a price fixing agreement.
(2)The criteria by reference to which a category of agreement is prescribed may, in particular, include—
(a)the combined turnover of the parties to the agreement (determined in accordance with prescribed provisions);
(b)the share of the market affected by the agreement (determined in that way).
(3)A party to a small agreement is immune from the effect of section 36(1) so far as that provision relates to decisions about infringement of the Chapter I prohibition; but the CMA may withdraw that immunity under subsection (4).
(4)If the CMA has investigated a small agreement, it may make a decision withdrawing the immunity given by subsection (3) if, as a result of its investigation, it considers that the agreement is likely to infringe the Chapter I prohibition.
(5)The CMA must give each of the parties in respect of which immunity is withdrawn written notice of its decision to withdraw the immunity.
(7)The withdrawal date must be a date after the date on which the decision is made.
(8)In determining the withdrawal date, the CMA must have regard to the amount of time which the parties are likely to require in order to secure that there is no further infringement of the Chapter I prohibition with respect to the agreement.
(9)In subsection (1) “price fixing agreement” means an agreement which has as its object or effect, or one of its objects or effects, restricting the freedom of a party to the agreement to determine the price to be charged (otherwise than as between that party and another party to the agreement) for the product, service or other matter to which the agreement relates.
40Limited immunity in relation to the Chapter II prohibition.#
(1)In this section “conduct of minor significance” means conduct which falls within a category prescribed for the purposes of this section.
(2)The criteria by reference to which a category is prescribed may, in particular, include—
(a)the turnover of the person whose conduct it is (determined in accordance with prescribed provisions);
(b)the share of the market affected by the conduct (determined in that way).
(3)A person is immune from the effect of section 36(2), so far as that provision relates to decisions about infringement of the Chapter II prohibition, if its conduct is conduct of minor significance; but the CMA may withdraw that immunity under subsection (4).
(4)If the CMA has investigated conduct of minor significance, it may make a decision withdrawing the immunity given by subsection (3) if, as a result of its investigation, it considers that the conduct is likely to infringe the Chapter II prohibition.
(7)The withdrawal date must be a date after the date on which the decision is made.
(8)In determining the withdrawal date, the CMA must have regard to the amount of time which the person or persons affected are likely to require in order to secure that there is no further infringement of the Chapter II prohibition.
Statement of policy in relation to functions under sections 31E, 34 and 35A
35CStatement of policy in relation to functions under sections 31E, 34 and 35A#
(1)The CMA must prepare and publish a statement of policy in relation to the exercise of functions under sections 31E, 34 and 35A.
(2)The statement must, in particular, include a statement about the considerations relevant to the determination of the nature and amount of any penalty imposed under section 35A(1).
(3)The CMA may revise its statement of policy and, where it does so, it must publish the revised statement.
(4)The CMA must consult the Secretary of State and such other persons as it considers appropriate when preparing or revising its statement of policy.
(5)If the proposed statement of policy or revision relates to a matter in respect of which a regulator exercises concurrent jurisdiction, those consulted must include that regulator.
(6)A statement or revised statement of policy may not be published under this section without the approval of the Secretary of State.
Transferred EU anti-trust commitments and transferred EU anti-trust directions
40ZAInterpretation#
(1)In this section and in sections 40ZB and 40ZD “transferred EU anti-trust commitments” means EU anti-trust commitments—
(a)which are the subject of an Article 95(2) commitments transfer decision (and, where those commitments are modified by, or as contemplated by, that decision, or by a later Article 95(2) commitments transfer decision, means those commitments as so modified), and
(b)which have not been wholly waived or substituted by the European Commission.
(2)In this section—• “Article 95(2) commitments transfer decision” means an instrument issued by the European Commission in accordance with Article 95(2) of the EU withdrawal agreement transferring responsibility for the monitoring and enforcement of EU anti-trust commitments to the CMA;• “EU anti-trust commitments” means commitments contained, pursuant to Article 9(1) of Regulation 1/2003, in a decision adopted by the European Commission under that Regulation.
(3)In this section and in sections 40ZC and 40ZD a “transferred EU anti-trust direction” means an EU anti-trust direction—
(a)which is the subject of an Article 95(2) direction transfer decision (and, where that direction is modified by, or as contemplated by, that decision, or by a later Article 95(2) direction transfer decision, means that direction as so modified), and
(b)which has not been wholly revoked by the European Commission.
(4)In this section—• “Article 95(2) direction transfer decision” means an instrument issued by the European Commission in accordance with Article 95(2) of the EU withdrawal agreement transferring responsibility for the monitoring and enforcement of an EU anti-trust direction to the CMA;• “EU anti-trust direction” means a direction given pursuant to Article 7(1) of Regulation 1/2003 in a decision adopted by the European Commission under that Regulation;• “Regulation 1/2003” means Council Regulation (EC) No 1/2003 of 16 December 2002 on the implementation of the rules on competition laid down in Articles 81 and 82 of the Treaty.
(5)So far as the context permits or requires, transferred EU anti-trust commitments and transferred EU anti-trust directions are to be treated for the purposes of this section and sections 40ZB to 40ZD as if—
(a)any reference to the area of the European Union or of the European Economic Area included the United Kingdom;
(b)any reference to the internal market included the United Kingdom;
(c)any reference to a member State included the United Kingdom;
(d)any reference to a party to the EEA agreement included the United Kingdom.
(6)Subsection (5) is subject to any different provision made by the Article 95(2) commitments transfer decision or Article 95(2) direction transfer decision in question.
40ZBTransferred EU anti-trust commitments#
(1)The CMA has the function of monitoring compliance with transferred EU anti-trust commitments.
(2)If a person who is bound by transferred EU anti-trust commitments fails, without reasonable excuse, to adhere to those commitments, the CMA may apply to the court for an order—
(a)requiring the defaulter to make good the default within a time specified in the order; or
(b)if any of the transferred EU anti-trust commitments relate to anything to be done in the management or administration of an undertaking, requiring the undertaking or any of its officers to do it.
(3)An order of the court under subsection (2) may provide for all of the costs of, or incidental to, the application for the order to be borne by—
(a)the person in default; or
(b)any officer of an undertaking who is responsible for the default.
(4)In the application of subsection (3) to Scotland, the reference to “costs” is to be read as a reference to “expenses”.
(5)In this section, “transferred EU anti-trust commitments” has the meaning given by section 40ZA(1).
40ZCTransferred EU anti-trust directions#
(1)The CMA has the function of monitoring compliance with transferred EU anti-trust directions.
(2)If a person fails, without reasonable excuse, to comply with a transferred EU anti-trust direction, the CMA may apply to the court for an order—
(a)requiring the defaulter to make good the default within a time specified in the order; or
(b)if the transferred EU anti-trust direction related to anything to be done in the management or administration of an undertaking, requiring the undertaking or any of its officers to do it.
(3)An order of the court under subsection (2) may provide for all of the costs of, or incidental to, the application for the order to be borne by—
(a)the person in default; or
(b)any officer of an undertaking who is responsible for the default.
(4)In the application of subsection (3) to Scotland, the reference to “costs” is to be read as a reference to “expenses”.
(5)In this section, “transferred EU anti-trust direction” has the meaning given by section 40ZA(3).
40ZDInformation relating to transferred EU anti-trust commitments and transferred EU anti-trust directions#
(1)The CMA may require any person to produce to the CMA a specified document, or to provide the CMA with specified information, for the purposes of assisting the CMA—
(a)to monitor compliance with transferred EU anti-trust commitments, or
(b)to decide whether to make an application under section 40ZB(2) in respect of those transferred EU anti-trust commitments.
(2)The CMA may require any person to produce to the CMA a specified document, or to provide the CMA with specified information, for the purposes of assisting the CMA—
(a)to monitor compliance with a transferred EU anti-trust direction, or
(b)to decide whether to make an application under section 40ZC(2) in respect of a transferred EU anti-trust direction.
(3)The powers conferred by subsections (1) and (2) are to be exercised by a notice in writing which
(a)indicates the subject matter and purpose of the demand (including identifying the transferred EU anti-trust commitments or transferred EU anti-trust direction in question) , and
(b)includes information about the possible consequences of failing to comply with the notice.
(4)The CMA may also specify in the notice—
(a)the time and place at which any document is to be produced or any information is to be provided;
(b)the manner and form in which it is to be produced or provided.
(5)The power under this section to require a person to produce a document includes power—
(a)if the document is produced—
(i)to take copies of it or extracts from it;
(ii)to require that person, or any person who is a present or past officer of, or is or was at any time employed by, that person, to provide an explanation of the document;
(b)if the document is not produced, to require that person to state, to the best of their knowledge and belief, where it is.
(6)In this section—• “specified” means—(a) specified, or described, in the notice under subsection (3), or(b) falling within a category which is specified, or described, in that notice;• “transferred EU anti-trust commitments” has the meaning given by section 40ZA(1);• “transferred EU anti-trust direction” has the meaning given by section 40ZA(3).
Chapter IV · Appeals before the Tribunal and proceedings and settlements relating to infringements of competition law
Appeals before the Tribunal
46Appealable decisions.#
(3)In this section “decision” means a decision of the CMA —
(a)as to whether the Chapter I prohibition has been infringed,
(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(c)as to whether the Chapter II prohibition has been infringed,
(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(e)cancelling a block or assimilated exemption,
(f). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(g)not releasing commitments pursuant to a request made under section 31A(4)(b)(i),
(h)releasing commitments under section 31A(4)(b)(ii),
(ha)to make directions under section 35,
(hb)not to make directions under section 35,
(i)as to the imposition of any penalty under section 36 or as to the amount of any such penalty,
and includes a direction under section 32 or 33 and such other decisions under this Part as may be prescribed.
(4)Except in the case of an appeal against the imposition, or the amount, of a penalty, the making of an appeal under this section does not suspend the effect of the decision to which the appeal relates.
(5)Part I of Schedule 8 makes further provision about appeals.
47Third party appeals#
(1)A person who does not fall within section 46(1) or (2) may appeal to the Tribunal with respect to—
(a)a decision falling within paragraph (a), (c) or (e) of section 46(3);
(b)a decision falling within paragraph (g) of section 46(3);
(c)a decision of the CMA to accept or release commitments under section 31A, or to accept a variation of such commitments other than a variation which is not material in any respect;
(d)a decision of the CMA to make directions under section 35;
(e)a decision of the CMA not to make directions under section 35; or
(f)such other decision of the CMA under this Part as may be prescribed.
(2)A person may make an appeal under subsection (1) only if the Tribunal considers that he has a sufficient interest in the decision with respect to which the appeal is made, or that he represents persons who have such an interest.
(3)The making of an appeal under this section does not suspend the effect of the decision to which the appeal relates.
Claims for loss or damage , or for declaratory relief: proceedings before the Tribunal
47AProceedings before the Tribunal: claims for damages etc.#
(1)A person may make a claim to which this section applies in proceedings before the Tribunal, subject to the provisions of this Act and Tribunal rules.
(2)This section applies to a claim of a kind specified in subsection (3) which a person who has suffered loss or damage may make in civil proceedings brought in any part of the United Kingdom in respect of an infringement decision or an alleged infringement of—
(a)the Chapter I prohibition, or
(b)the Chapter II prohibition,
(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3)The claims are—
(a)a claim for damages;
(b)any other claim for a sum of money;
(c)in proceedings in England and Wales or Northern Ireland, a claim for an injunction.
(3A)This section also applies to a claim for a declaration or, in relation to Scotland, for a declarator which a person may make in respect of an infringement decision or an alleged infringement of the Chapter 1 prohibition or the Chapter 2 prohibition.
(4)For the purpose of identifying claims which may be made in civil proceedings, any limitation rules or rules relating to prescription that would apply in such proceedings are to be disregarded.
(5)The right to make a claim in proceedings under this section does not affect the right to bring any other proceedings in respect of the claim.
(6)In this Part (except in section 49C) “infringement decision” means—
(a)a decision of the CMA that the Chapter I prohibition or the Chapter II prohibition has been infringed, or
(b)a decision of the Tribunal on an appeal from the decision of the CMA that the Chapter I prohibition or the Chapter II prohibition has been infringed.
47BCollective proceedings before the Tribunal#
(1)Subject to the provisions of this Act and Tribunal rules, proceedings may be brought before the Tribunal combining two or more claims to which section 47A applies (“collective proceedings”).
(2)Collective proceedings must be commenced by a person who proposes to be the representative in those proceedings.
(3)The following points apply in relation to claims in collective proceedings—
(a)it is not a requirement that all of the claims should be against all of the defendants to the proceedings,
(b)the proceedings may combine claims which have been made in proceedings under section 47A and claims which have not, and
(c)a claim which has been made in proceedings under section 47A may be continued in collective proceedings only with the consent of the person who made that claim.
(4)Collective proceedings may be continued only if the Tribunal makes a collective proceedings order.
(5)The Tribunal may make a collective proceedings order only—
(a)if it considers that the person who brought the proceedings is a person who, if the order were made, the Tribunal could authorise to act as the representative in those proceedings in accordance with subsection (8), and
(b)in respect of claims which are eligible for inclusion in collective proceedings.
(6)Claims are eligible for inclusion in collective proceedings only if the Tribunal considers that they raise the same, similar or related issues of fact or law and are suitable to be brought in collective proceedings.
(7)A collective proceedings order must include the following matters—
(a)authorisation of the person who brought the proceedings to act as the representative in those proceedings,
(b)description of a class of persons whose claims are eligible for inclusion in the proceedings, and
(c)specification of the proceedings as opt-in collective proceedings or opt-out collective proceedings (see subsections (10) and (11)).
(8)The Tribunal may authorise a person to act as the representative in collective proceedings—
(a)whether or not that person is a person falling within the class of persons described in the collective proceedings order for those proceedings (a “class member”), but
(b)only if the Tribunal considers that it is just and reasonable for that person to act as a representative in those proceedings.
(9)The Tribunal may vary or revoke a collective proceedings order at any time.
(10)“Opt-in collective proceedings” are collective proceedings which are brought on behalf of each class member who opts in by notifying the representative, in a manner and by a time specified, that the claim should be included in the collective proceedings.
(11)“Opt-out collective proceedings” are collective proceedings which are brought on behalf of each class member except—
(a)any class member who opts out by notifying the representative, in a manner and by a time specified, that the claim should not be included in the collective proceedings, and
(b)any class member who—
(i)is not domiciled in the United Kingdom at a time specified, and
(ii)does not, in a manner and by a time specified, opt in by notifying the representative that the claim should be included in the collective proceedings.
(12)Where the Tribunal gives a judgment or makes an order in collective proceedings, the judgment or order is binding on all represented persons, except as otherwise specified.
(13)The right to make a claim in collective proceedings does not affect the right to bring any other proceedings in respect of the claim.
(14)In this section and in section 47C, “specified” means specified in a direction made by the Tribunal.
47CCollective proceedings: damages and costs#
(1)The Tribunal may not award exemplary damages in collective proceedings.
(2)The Tribunal may make an award of damages in collective proceedings without undertaking an assessment of the amount of damages recoverable in respect of the claim of each represented person.
(3)Where the Tribunal makes an award of damages in opt-out collective proceedings, the Tribunal must make an order providing for the damages to be paid on behalf of the represented persons to—
(a)the representative, or
(b)such person other than a represented person as the Tribunal thinks fit.
(4)Where the Tribunal makes an award of damages in opt-in collective proceedings, the Tribunal may make an order as described in subsection (3).
(5)Subject to subsection (6), where the Tribunal makes an award of damages in opt-out collective proceedings, any damages not claimed by the represented persons within a specified period must be paid to the charity for the time being prescribed by order made by the Lord Chancellor under section 194(8) of the Legal Services Act 2007.
(6)In a case within subsection (5) the Tribunal may order that all or part of any damages not claimed by the represented persons within a specified period is instead to be paid to the representative in respect of all or part of the costs or expenses incurred by the representative in connection with the proceedings.
(7)The Secretary of State may by order amend subsection (5) so as to substitute a different charity for the one for the time being specified in that subsection.
(8)A damages-based agreement is unenforceable if it relates to opt-out collective proceedings.
(9)In this section—
(a)“charity” means a body, or the trustees of a trust, established for charitable purposes only;
(b)“damages” (except in the term “exemplary damages”) includes any sum of money which may be awarded by the Tribunal in collective proceedings (other than costs or expenses);
(c)“damages-based agreement” has the meaning given in section 58AA(3) of the Courts and Legal Services Act 1990.
47DProceedings under section 47A or collective proceedings: injunctions etc.#
(1)An injunction granted by the Tribunal in proceedings under section 47A or in collective proceedings—
(a)has the same effect as an injunction granted by the High Court, and
(b)is enforceable as if it were an injunction granted by the High Court.
(2)In deciding whether to grant an injunction in proceedings under section 47A or in collective proceedings, the Tribunal must—
(a)in proceedings in England and Wales, apply the principles which the High Court would apply in deciding whether to grant an injunction under section 37(1) of the Senior Courts Act 1981, and
(b)in proceedings in Northern Ireland, apply the principles that the High Court would apply in deciding whether to grant an injunction.
(3)Subsection (2) is subject to Tribunal rules which make provision of the kind mentioned in paragraph 15A(3) of Schedule 4 to the Enterprise Act 2002 (undertakings as to damages in relation to claims subject to the fast-track procedure).
47DAProceedings under section 47A or collective proceedings: declaratory relief#
(1)A declaration granted by the Tribunal in proceedings under section 47A or collective proceedings has the same effect as a declaration granted by the High Court.
(2)A declarator granted by the Tribunal in proceedings under section 47A or collective proceedings has the same effect as a declarator granted by the Court of Session.
(3)In deciding whether to grant a declaration in proceedings under section 47A or collective proceedings, the Tribunal must apply the principles that the High Court would apply in deciding whether to grant a declaration.
(4)In deciding whether to grant a declarator in proceedings under section 47A or collective proceedings, the Tribunal must apply the principles that the Court of Session would apply in deciding whether to grant a declarator.
(5)The Tribunal may grant a declaration or declarator in proceedings under section 47A or collective proceedings whether or not any other remedy is claimed.
Further appeals from the Tribunal
49Further appeals from the Tribunal#
(1)An appeal lies to the appropriate court—
(a)from a decision of the Tribunal as to the amount of a penalty under section 36; and
(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(c)on a point of law arising from any other decision of the Tribunal on an appeal under section 46 or 47.
(1A)An appeal lies to the appropriate court on a point of law arising from a decision of the Tribunal in proceedings under section 47A or in collective proceedings—
(a)as to the award of damages or other sum (other than a decision on costs or expenses), note...
(b)as to the grant of an injunction , or
(c)as to the grant of a declaration or a declarator.
(1B)An appeal lies to the appropriate court from a decision of the Tribunal in proceedings under section 47A or in collective proceedings as to the amount of an award of damages or other sum (other than the amount of costs or expenses).
(1C)An appeal under subsection (1A) arising from a decision in respect of a stand-alone claim may include consideration of a point of law arising from a finding of the Tribunal as to an infringement of a prohibition listed in section 47A(2).
(1D)In subsection (1C) “a stand-alone claim” is a claim—
(a)in respect of an alleged infringement of a prohibition listed in section 47A(2), and
(b)made in proceedings under section 47A or included in collective proceedings.
(2)An appeal under this section—
(a)except as provided by subsection (2A), may be brought by a party to the proceedings before the Tribunal or by a person who has a sufficient interest in the matter; and
(b)requires the permission of the Tribunal or the appropriate court.
(2A)An appeal from a decision of the Tribunal in respect of a claim included in collective proceedings may be brought only by the representative in those proceedings or by a defendant to that claim.
(3)In this section “the appropriate court” means the Court of Appeal or, in the case of an appeal from Tribunal proceedings in Scotland, the Court of Session.
Further provision about claims in respect of loss or damage , or for declaratory relief, before a court or the Tribunal
Settlements relating to infringements of competition law
49ACollective settlements: where a collective proceedings order has been made#
(1)The Tribunal may, in accordance with this section and Tribunal rules, make an order approving the settlement of claims in collective proceedings (a “collective settlement”) where—
(a)a collective proceedings order has been made in respect of the claims, and
(b)the Tribunal has specified that the proceedings are opt-out collective proceedings.
(2)An application for approval of a proposed collective settlement must be made to the Tribunal by the representative and the defendant in the collective proceedings.
(3)The representative and the defendant must provide agreed details of the claims to be settled by the proposed collective settlement and the proposed terms of that settlement.
(4)Where there is more than one defendant in the collective proceedings, “defendant” in subsections (2) and (3) means such of the defendants as wish to be bound by the proposed collective settlement.
(5)The Tribunal may make an order approving a proposed collective settlement only if satisfied that its terms are just and reasonable.
(6)On the date on which the Tribunal approves a collective settlement—
(a)if the period within which persons may opt out of or (in the case of persons not domiciled in the United Kingdom) opt in to the collective proceedings has expired, subsections (8) and (10) apply so as to determine the persons bound by the settlement;
(b)if that period has not yet expired, subsections (9) and (10) apply so as to determine the persons bound by the settlement.
(7)If the period within which persons may opt out of the collective proceedings expires on a different date from the period within which persons not domiciled in the United Kingdom may opt in to the collective proceedings, the references in subsection (6) to the expiry of a period are to the expiry of whichever of those periods expires later.
(8)Where this subsection applies, a collective settlement approved by the Tribunal is binding on all persons falling within the class of persons described in the collective proceedings order who—
(a)were domiciled in the United Kingdom at the time specified for the purposes of determining domicile in relation to the collective proceedings (see section 47B(11)(b)(i)) and did not opt out of those proceedings, or
(b)opted in to the collective proceedings.
(9)Where this subsection applies, a collective settlement approved by the Tribunal is binding on all persons falling within the class of persons described in the collective proceedings order.
(10)But a collective settlement is not binding on a person who—
(a)opts out by notifying the representative, in a manner and by a time specified, that the claim should not be included in the collective settlement, or
(b)is not domiciled in the United Kingdom at a time specified, and does not, in a manner and by a time specified, opt in by notifying the representative that the claim should be included in the collective settlement.
(11)This section does not affect a person's right to offer to settle opt-in collective proceedings.
(12)In this section and in section 49B, “specified” means specified in a direction made by the Tribunal.
49BCollective settlements: where a collective proceedings order has not been made#
(1)The Tribunal may, in accordance with this section and Tribunal rules, make an order approving the settlement of claims (a “collective settlement”) where—
(a)a collective proceedings order has not been made in respect of the claims, but
(b)if collective proceedings were brought, the claims could be made at the commencement of the proceedings (disregarding any limitation or prescriptive period applicable to a claim in collective proceedings).
(2)An application for approval of a proposed collective settlement must be made to the Tribunal by—
(a)a person who proposes to be the settlement representative in relation to the collective settlement, and
(b)the person who, if collective proceedings were brought in respect of the claims, would be a defendant in those proceedings (or, where more than one person would be a defendant in those proceedings, such of those persons as wish to be bound by the proposed collective settlement).
(3)The persons applying to the Tribunal under subsection (2) must provide agreed details of the claims to be settled by the proposed collective settlement and the proposed terms of that settlement.
(4)The Tribunal may make an order approving a proposed collective settlement (see subsection (8)) only if it first makes a collective settlement order.
(5)The Tribunal may make a collective settlement order only—
(a)if it considers that the person described in subsection (2)(a) is a person who, if the order were made, the Tribunal could authorise to act as the settlement representative in relation to the collective settlement in accordance with subsection (7), and
(b)in respect of claims which, if collective proceedings were brought, would be eligible for inclusion in the proceedings (see section 47B(6)).
(6)A collective settlement order must include the following matters—
(a)authorisation of the person described in subsection (2)(a) to act as the settlement representative in relation to the collective settlement, and
(b)description of a class of persons whose claims fall within subsection (5)(b).
(7)The Tribunal may authorise a person to act as the settlement representative in relation to a collective settlement—
(a)whether or not that person is a person falling within the class of persons described in the collective settlement order for that settlement, but
(b)only if the Tribunal considers that it is just and reasonable for that person to act as the settlement representative in relation to that settlement.
(8)Where the Tribunal has made a collective settlement order, it may make an order approving a proposed collective settlement only if satisfied that its terms are just and reasonable.
(9)A collective settlement approved by the Tribunal is binding on all persons falling within the class of persons described in the collective settlement order.
(10)But a collective settlement is not binding on a person who—
(a)opts out by notifying the settlement representative, in a manner and by a time specified, that the claim should not be included in the collective settlement, or
(b)is not domiciled in the United Kingdom at a time specified, and does not, in a manner and by a time specified, opt in by notifying the settlement representative that the claim should be included in the collective settlement.
(11)In this section, “settlement representative” means a person who is authorised by a collective settlement order to act in relation to a collective settlement.
49CApproval of redress schemes by the CMA#
(1)A person may apply to the CMA for approval of a redress scheme.
(2)The CMA may consider an application before the infringement decision to which the redress scheme relates has been made, but may approve the scheme only—
(a)after that decision has been made, or
(b)in the case of a decision of the CMA, at the same time as that decision is made.
(3)In deciding whether to approve a redress scheme, the CMA may take into account the amount or value of compensation offered under the scheme.
(4)The CMA may approve a redress scheme under subsection (2)(b) subject to a condition or conditions requiring the provision of further information about the operation of the scheme (including about the amount or value of compensation to be offered under the scheme or how this will be determined).
(5)If the CMA approves a redress scheme subject to such a condition, it may—
(a)approve the scheme subject to other conditions;
(b)withdraw approval from the scheme if any conditions imposed under subsection (4) or paragraph (a) are not met;
(c)approve a redress scheme as a replacement for the original scheme (but may not approve that scheme subject to conditions).
(6)An approved scheme may not be varied by the CMA or the compensating party.
(7)But, where the CMA approves a redress scheme subject to a condition of the kind mentioned in subsection (4), subsection (6) does not prevent further information provided in accordance with the condition from forming part of the terms of the scheme.
(8)The Secretary of State may make regulations relating to the approval of redress schemes, and the regulations may in particular—
(a)make provision as to the procedure governing an application for approval of a redress scheme, including the information to be provided with the application;
(b)provide that the CMA may approve a redress scheme only if it has been devised according to a process specified in the regulations;
(c)provide that the CMA may approve a redress scheme only if it is in a form, or contains terms, specified in the regulations (which may include terms requiring a settlement agreement under the scheme to be in a form, or contain terms, specified in the regulations);
(d)provide that the CMA may approve a redress scheme only if (so far as the CMA can judge from facts known to it) the scheme is intended to be administered in a manner specified in the regulations;
(e)describe factors which the CMA may or must take into account, or may not take into account, in deciding whether to approve a redress scheme.
(9)The CMA must publish guidance with regard to—
(a)applications for approval of redress schemes,
(b)the approval of redress schemes, and
(c)the enforcement of approved schemes, and in particular as to the criteria which the CMA intends to adopt in deciding whether to bring proceedings under section 49E(4).
(10)Guidance under subsection (9) must be approved by the Secretary of State before it is published.
(11)In this section and sections 49D and 49E—• “approved scheme” means a redress scheme approved by the CMA,• “compensating party” means a person offering compensation under an approved scheme,• “infringement decision” means a decision of the CMA that the Chapter I prohibition or the Chapter II prohibition has been infringed, and• “redress scheme” means a scheme under which a person offers compensation in consequence of an infringement decision made in respect of that person.
(12)For the purposes of this section and section 49E, “compensation”—
(a)may be monetary or non-monetary, and
(b)may be offered to persons who have not suffered a loss as a result of the infringement decision to which the redress scheme relates.
49DRedress schemes: recovery of costs#
(1)The CMA may require a person making an application for approval of a redress scheme to pay some or all of the CMA's reasonable costs relating to the application.
(2)A requirement to pay costs is imposed by giving that person written notice specifying—
(a)the amount to be paid,
(b)how that amount has been calculated, and
(c)by when that amount must be paid.
(3)A person required to pay costs under this section may appeal to the Tribunal against the amount.
(4)Where costs required to be paid under this section relate to an approved scheme, the CMA may withdraw approval from that scheme if the costs have not been paid by the date specified in accordance with subsection (2)(c).
(5)Costs required to be paid under this section are recoverable by the CMA as a debt.
49EEnforcement of approved schemes#
(1)A compensating party is under a duty to comply with the terms of an approved scheme (“the duty”).
(2)The duty is owed to any person entitled to compensation under the terms of the approved scheme.
(3)Where such a person suffers loss or damage as a result of a breach of the duty, the person may bring civil proceedings before the court for damages, an injunction or interdict or any other appropriate relief or remedy.
(4)Where the CMA considers that the compensating party is in breach of the duty, the CMA may bring civil proceedings before the court for an injunction or interdict or any other appropriate relief or remedy.
(5)Subsection (4) is without prejudice to any right that a person has to bring proceedings under subsection (3).
(6)In any proceedings brought under subsection (3) or (4), it is a defence for the compensating party to show that it took all reasonable steps to comply with the duty.
(7)Where the CMA considers that it is no longer appropriate for the compensating party to be subject to the duty, the CMA may give notice in writing to that party stating that it is released from the duty.
(8)Where a person has entered into a settlement agreement with the compensating party, that agreement remains enforceable notwithstanding the release of the compensating party under subsection (7) from the duty.
(9)In this section “the court” means—
(a)in England and Wales, the High Court or the county court,
(b)in Northern Ireland, the High Court or a county court,
(c)in Scotland, the Court of Session or the sheriff.
...
Chapter V · Miscellaneous
Regulators
54Regulators.#
(1)In this Part “regulator” means —
(2)Parts II and III of Schedule 10 provide for functions of the CMA under this Part to be exercisable concurrently by regulators.
(3)Parts IV and V of Schedule 10 make minor and consequential amendments in connection with the regulators’ competition functions.
(4)The Secretary of State may make regulations for the purpose of co-ordinating the performance of functions under this Part (“Part I functions”) which are exercisable concurrently by two or more competent persons as a result of any enactment (including any subordinate legislation) whenever passed or made.
(5)The regulations may, in particular, make provision—
(a)as to the procedure to be followed by competent persons when determining who is to exercise Part I functions in a particular case;
(b)as to the steps which must be taken before a competent person exercises, in a particular case, such Part I functions as may be prescribed;
(c)as to the procedure for determining, in a particular case, questions arising as to which competent person is to exercise Part I functions in respect of the case;
(d)for Part I functions in a particular case to be exercised jointly—
(i)by the CMA and one or more regulators, or
(ii)by two or more regulators,
and as to the procedure to be followed in such cases;
(e)as to the circumstances in which the exercise by a competent person of such Part I functions as may be prescribed is to preclude the exercise of such functions by another such person;
(f)for cases in respect of which Part I functions are being, or have been, exercised by a competent person to be transferred to another such person;
(g)for the person (“A”) exercising Part I functions in a particular case—
(i)to appoint another competent person (“B”) to exercise Part I functions on A’s behalf in relation to the case; or
(ii)to appoint officers of B (with B’s consent) to act as officers of A in relation to the case;
(h)for notification as to who is exercising Part I functions in respect of a particular case.
(6)Provision made by virtue of subsection (5)(c) may provide for questions to be referred to and determined by the Secretary of State , the CMA or by such other person as may —
(a)prescribe circumstances in which the CMA may decide that, in a particular case, it is to exercise Part 1 functions in respect of the case rather than a regulator;
(b) be prescribed.
(6A)Where the regulations make provision as mentioned in subsection (6)(a), they must—
(a)include provision requiring the CMA to consult the regulator concerned before making a decision that the CMA is to exercise Part 1 functions in respect of a particular case, and
(b)provide that, in a case where a regulator has given notice under section 31(1) that it proposes to make a decision (within the meaning given by section 31(2)), the CMA may only decide that it is to exercise Part 1 functions in respect of the case rather than the regulator if the regulator consents.
(6B)The Secretary of State may by regulations make provision requiring arrangements to be made for the sharing of information between competent persons in connection with concurrent cases.
(6C)For the purposes of subsection (6B), “a concurrent case” is a case in respect of which—
(a)the CMA considers that Part 1 functions are, or (but for provision made under subsection (5)(e)) would be, exercisable by both it and any regulator;
(b)any regulator considers that Part 1 functions are, or (but for provision made under subsection (5)(e)) would be, exercisable by it.
(7)“Competent person” means the CMA or any of the regulators.
(8)In this section, “subordinate legislation” has the same meaning as in section 21(1) of the Interpretation Act 1978 (c 30) and includes an instrument made under—
(a)an Act of the Scottish Parliament;
(b)Northern Ireland legislation.
(a)the Office of Communications;
(b)the Gas and Electricity Markets Authority;
(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(d)the Water Services Regulation Authority;
(e)the Office of Rail and Road;
(f)the Northern Ireland Authority for Utility Regulation;
(g)the Civil Aviation Authority;
(h). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(i)the Payment Systems Regulator established under section 40 of the Financial Services (Banking Reform) Act 2013.
(j)the Financial Conduct Authority.
Confidentiality and immunity from defamation
55General restrictions on disclosure of information.#
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
CMA's rules, guidance and fees
51Rules.#
(1)The CMA may make such rules about procedural and other matters in connection with the carrying into effect of the provisions of this Part as it considers appropriate.
(2)Schedule 9 makes further provision about rules made under this section but is not to be taken as restricting the CMA powers under this section.
(3)If the CMA is preparing rules under this section it must consult such persons as he considers appropriate.
(5)No rule made by the CMA is to come into operation until it has been approved by an order made by the Secretary of State.
(6)The Secretary of State may approve any rule made by the CMA —
(a)in the form in which it is submitted; or
(b)subject to such modifications as he considers appropriate.
(7)If the Secretary of State proposes to approve a rule subject to modifications he must inform the CMA of the proposed modifications and take into account any comments made by the CMA .
(8)Subsections (5) to (7) apply also to any alteration of the rules made by the CMA .
(9)The Secretary of State may, after consulting the CMA , by order vary or revoke any rules made under this section.
52Advice and information.#
(1)The CMA must prepare and publish general advice and information about—
(a)the application of the Chapter I prohibition and the Chapter II prohibition, and
(b)the enforcement of those prohibitions.
(1A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2)The CMA may at any time publish revised, or new, advice or information.
(3)Advice and information published under this section must be prepared with a view to—
(a)explaining provisions of this Part to persons who are likely to be affected by them; and
(b)indicating how the CMA expects such provisions to operate.
(4)Advice (or information) published by virtue of subsection (3)(b) may include advice (or information) about the factors which the CMA may take into account in considering whether, and if so how, to exercise a power conferred on it by Chapter I, II or III.
(5)Any advice or information published by the CMA under this section is to be published in such form and in such manner as it considers appropriate.
(6)If the CMA is preparing any advice or information under this section it must consult such persons as he considers appropriate.
(7)If the proposed advice or information relates to a matter in respect of which a regulator exercises concurrent jurisdiction, those consulted must include that regulator.
(8)In preparing any advice or information under this section about a matter in respect of which he may exercise functions under this Part, a regulator must consult—
(a)the CMA ;
(b)the other regulators; and
(c)such other persons as he considers appropriate.
53Fees.#
(1)Section 64D of the Public Audit (Wales) Act 2004 (disclosure of results of data matching etc) is amended as follows.
(2)In subsection (5)(a)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(i)a parent with care cares for one child only, and
(ii)that child dies,
(b)
(c)where—
in the period not exceeding 12 months which begins on the date the child died and throughout which he was entitled to a relevant benefit; or
(d)
(3)In subsection (6)—
(a)in the opening words, after “subsection (5)” insert “and this subsection”,
(b)
Findings of fact by CMA
58Findings of fact by CMA.#
(1)Unless the court or the Tribunal directs otherwise or the OFT has decided to take further action in accordance with section 16(2) or 24(2), CMA's finding which is relevant to an issue arising in Part I proceedings is binding on the parties if—
(a)the time for bringing an appeal under section 46 or 47 in respect of the finding has expired and the relevant party has not brought such an appeal; or
(b)the decision of the Tribunal on such an appeal has confirmed the finding.
(2)In this section—• “a CMA's finding” means a finding of fact made by the CMA in the course of conducting an investigation;• “Part 1 proceedings” means proceedings brought otherwise than by the CMA—(za) in respect of an infringement decision;or(a) in respect of an alleged infringement of the Chapter I prohibition or of the Chapter II prohibition; note...(b) note...• “relevant party” means—(a) in relation to the Chapter I prohibition note..., a party to the agreement which has been found to have infringed the prohibition or is alleged to have infringed the prohibition (as the case may be); and(b) in relation to the Chapter II prohibition note..., the undertaking whose conduct has been found to have infringed the prohibition or is alleged to have infringed the prohibition (as the case may be).
(4)In this section “the court” means—
(a)in England and Wales or Northern Ireland, the High Court,
(b)in Scotland, the Court of Session or the sheriff.
Findings of infringements
58AInfringement decisions#
(1)This section applies to a claim in respect of an infringement decision which is brought in proceedings—
(a)before the court, or
(b)before the Tribunal under section 47A or 47B.
(2)The court or the Tribunal is bound by the infringement decision once it has become final.
(3)An infringement decision specified in section 47A(6)(a) or (b) becomes final—
(a)when the time for appealing against that decision expires without an appeal having been brought; or
(b)where an appeal has been brought against the decision, when—
(i)the appeal and any further appeal in relation to the decision has been decided or has otherwise ended, and
(ii)the time for appealing against the result of the appeal or further appeal has expired without another appeal having been brought.
(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(5)This section applies to the extent that the court or the Tribunal would not otherwise be bound by the infringement decision in question.
(6)In this section “the court” means—
(a)in England and Wales or Northern Ireland, the High Court,
(b)in Scotland, the Court of Session or the sheriff.
Interpretation and governing principles
59Interpretation of Part 1.#
(1)In this Part—• "agreement" is to be read with section 2(5) and (6);• note...• note... • note... • note... • “block exemption” has the meaning given in section 6(4);• “block exemption order” has the meaning given in section 6(2);• “the Chapter I prohibition” has the meaning given in section 2(8);• “the Chapter II prohibition” has the meaning given in section 18(4);• “class member” has the meaning given in section 47B(8)(a);• “the CMA” means the Competition and Markets Authority;• “collective proceedings” has the meaning given in section 47B(1);• “collective proceedings order” means an order made by the Tribunal authorising the continuance of collective proceedings;• note...• note...• “the court”, except in sections 49E, 58, 58A and 60Aand Schedule 8A and the expression “European Court”, means—(a) in England and Wales, the High Court;(b) in Scotland, the Court of Session; and(c) in Northern Ireland, the High Court;• note...• “document” includes information recorded in any form;• note...• note...• note...• “individual exemption” has the meaning given in section 4(2);• “information” includes estimates and forecasts;• “infringement decision”, except in section 49C, has the meaning given in section 47A(6);• “injunction” includes an interim injunction;• “investigating officer” has the meaning given in section 27(1);• “investigation” means an investigation under section 25;• “Minister of the Crown” has the same meaning as in the Ministers of the noteCrown Act 1975; • “OFCOM” means the Office of Communications;• “officer”, in relation to a body corporate, includes a director, manager or secretary and, in relation to a partnership in Scotland, includes a partner;• “opt-in collective proceedings” has the meaning given in section 47B(10);• “opt-out collective proceedings” has the meaning given in section 47B(11);• note...• note...• “person”, in addition to the meaning given by the noteInterpretation Act 1978, includes any undertaking;• “premises” includes any land or means of transport;• “prescribed” means prescribed by regulations made by the Secretary of State;• “regulator” has the meaning given by section 54;• “representative” means a person who is authorised by a collective proceedings order to bring collective proceedings;• “represented person” means a class member who—((a)) has opted in to opt-in collective proceedings,((b)) was domiciled in the United Kingdom at the time specified for the purposes of determining domicile (see section 47B(11)(b)(i)) and has not opted out of opt-out collective proceedings, or((c)) has opted in to opt-out collective proceedings;• “assimilated block exemption regulation” has the meaning given in section 10(12);• “assimilated exemption” has the meaning given in section 10(3);• note...• note... • “ the Tribunal” means the Competition Appeal Tribunal;• “Tribunal rules” means rules under section 15 of the Enterprise Act 2002.• “working day” means a day which is not—(a) Saturday,(b) Sunday,(c) Christmas Day,(d) Good Friday, or(e) a day which is a bank holiday under the Banking and Financial Dealings Act 1971 (c. 80) in any part of the United Kingdom.
(1A)In this Part, in respect of proceedings in Scotland, “claimant” is to be read as “pursuer” and “defendant” is to be read as “defender”.
(1B)Sections 41, 42, 45 and 46 of the Civil Jurisdiction and Judgments Act 1982 apply for the purpose of determining whether a person is regarded as “domiciled in the United Kingdom” for the purposes of this Part.
(2)The fact that to a limited extent the Chapter I prohibition does not apply to an agreement, because of an exclusion provided by or under this Part or any other enactment, does not require those provisions of the agreement to which the exclusion relates to be disregarded when considering whether the agreement infringes the prohibition for other reasons.
(3)For the purposes of this Part, the power to require information, in relation to information recorded otherwise than in a legible form, includes power to require a copy of it in a legible form.
(4)Any power conferred on the CMA by this Part to require information includes power to require any document which it believes may contain that information.
60Principles to be applied in determining questions.#
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
60ACertain principles etc to be considered or applied from IP completion day#
(1)This section applies when one of the following persons determines a question arising under this Part in relation to competition within the United Kingdom—
(a)a court or tribunal;
(b)the CMA;
(c)a person acting on behalf of the CMA in connection with a matter arising under this Part.
(2)The person must act (so far as is compatible with the provisions of this Part) with a view to securing that there is no inconsistency between—
(a)the principles that it applies, and the decision that it reaches, in determining the question, and
(b)the principles laid down by the Treaty on the Functioning of the European Union and the European Court before IP completion day, and any relevant decision made by that Court before IP completion day, so far as applicable immediately before IP completion day in determining any corresponding question arising in EU law,
subject to subsections (4) to (7).
(3)The person must, in addition, have regard to any relevant decision or statement of the European Commission made before IP completion day and not withdrawn.
(4)Subsection (2) does not require the person to secure that there is no inconsistency with a principle or decision referred to in subsection (2)(b) so far as the principle or decision is excluded from the law of England and Wales, Scotland and Northern Ireland on or after IP completion day.
(5)For the purposes of subsection (4), a principle or decision is to be treated as not excluded from the law of England and Wales, Scotland and Northern Ireland if it is excluded only by virtue of an exclusion or revocation in the Competition (Amendment etc.) (EU Exit) Regulations 2019.
(6)Subsection (2) does not apply so far as the person is bound by a principle laid down by, or a decision of, a court or tribunal in England and Wales, Scotland or Northern Ireland that requires the person to act otherwise.
(7)Subsection (2) does not apply if the person thinks that it is appropriate to act otherwise in the light of one or more of the following—
(a)differences between the provisions of this Part under consideration and the corresponding provisions of EU law as those provisions of EU law had effect immediately before IP completion day;
(b)differences between markets in the United Kingdom and markets in the European Union;
(c)developments in forms of economic activity since the time when the principle or decision referred to in subsection (2)(b) was laid down or made;
(d)generally accepted principles of competition analysis or the generally accepted application of such principles;
(e)a principle laid down, or decision made, by the European Court on or after IP completion day;
(f)the particular circumstances under consideration.
(8)In subsection (2)(b), the reference to principles laid down before IP completion day is a reference to such principles as they have effect in EU law immediately before IP completion day, disregarding the effect of principles laid down, and decisions made, by the European Court on or after IP completion day.
(9)In this section, references to a decision of the European Court or the European Commission include a decision as to—
(a)the interpretation of a provision of EU law;
(b)the civil liability of an undertaking for harm caused by its infringement of EU law.
Vertical agreements and land agreements
50Vertical agreements and land agreements.#
(1)The Secretary of State may by order provide for any provision of this Part to apply in relation to—
(a)vertical agreements, or
(b)land agreements,
with such modifications as may be prescribed.
(2)An order may, in particular, provide for exclusions or exemptions, or otherwise provide for prescribed provisions not to apply, in relation to—
(a)vertical agreements, or land agreements, in general; or
(b)vertical agreements, or land agreements, of any prescribed description.
(3)An order may empower the CMA to give directions to the effect that in prescribed circumstances an exclusion, exemption or modification is not to apply (or is to apply in a particular way) in relation to an individual agreement.
(4)Subsections (2) and (3) are not to be read as limiting the powers conferred by section 71.
(5)In this section—• “land agreement” and “vertical agreement” have such meaning as may be prescribed; and• “prescribed” means prescribed by an order.
Changes recorded against this text
- Not textual: modify by Water Act 2014 (s. 32) from 1 Nov 2016
- Not textual: modify by Water Act 2014 (s. 32) from 1 Nov 2016
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