# Enterprise and Regulatory Reform Act 2013

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U.K.

# Enterprise and Regulatory Reform Act 2013

# 2013 CHAPTER 24

An Act to make provision about the UK Green Investment Bank; to make provision about employment law; to establish and make provision about the Competition and                        Markets Authority and to abolish the Competition Commission and the Office of Fair Trading; to amend the Competition Act 1998                        and the Enterprise Act 2002; to make provision for the reduction of legislative burdens; to make provision about copyright                        and rights in performances; to make provision about payments to company directors; to make provision about redress schemes                        relating to lettings agency work and property management work; to make provision about the supply of customer data; to make                        provision for the protection of essential supplies in cases of insolvency; to make provision about certain bodies established                        by Royal Charter; to amend section 9(5) of the Equality Act 2010; and for connected purposes.                     

[25th April 2013]

Be it enacted by the Queen's most Excellent Majesty, by and with the advice and consent of the Lords Spiritual and Temporal, and Commons,                           in this present Parliament assembled, and by the authority of the same, as follows:—                        

## **PART 1**U.K.UK Green Investment Bank

### 1The green purposesU.K.

(1)The green purposes are—                  

(a)the reduction of greenhouse gas emissions;                  

(b)the advancement of efficiency in the use of natural resources;                  

(c)the protection or enhancement of the natural environment;                  

(d)the protection or enhancement of biodiversity;                  

(e)the promotion of environmental sustainability.                  

(2)In this Part, “greenhouse gas” has the meaning given by section 92(1) of the Climate Change Act 2008.                  

### 2Designation of the UK Green Investment BankU.K.

(1)If the following three conditions are met, the Secretary of State may by order designate the UK Green Investment Bank for                        the purposes of sections 3 to 6.                  

(2)The first condition is that the Secretary of State is satisfied that the Bank's objects in its articles of association are                        such that, acting consistently with them, it would engage only in activities that involve, or are incidental or conducive                        to, making, facilitating or encouraging investments that it considers likely to contribute to the achievement of one or more                        of the green purposes (whether in the United Kingdom or elsewhere).                  

(3)The second condition is that the Secretary of State is satisfied that the Bank's objects in its articles of association are                        such that, acting consistently with them, its activities in making, facilitating or encouraging investments in each relevant                        period would (taken as a whole) be such as the Bank considers likely to contribute to a reduction of global greenhouse gas                        emissions.                  

(4)In subsection (3), “relevant period” means each financial year of the Bank taken together with all of its preceding financial years.                  

(5)The third condition is that the Secretary of State has laid before Parliament a copy of an undertaking (the “operational independence                        undertaking”) provided by the Secretary of State to the Bank for the purpose of facilitating the Bank's ability to act as                        its directors consider appropriate in the light of the objects in its articles of association.                  

(6)An order may not be made under this section unless at the date on which it is made the UK Green Investment Bank is wholly                        owned by the Crown.                  

(7)An order under this section may not be amended or revoked.                  

(8)An order under this section—                  

(a)is to be made by statutory instrument, and                  

(b)is not to be made unless a draft of the instrument has been laid before, and approved by a resolution of, each House of Parliament.                  

(9)References in this Part to the UK Green Investment Bank are to the public company limited by shares incorporated on 15 May                        2012 with the company number SC424067 and with the name UK Green Investment Bank plc.                  

Commencement Information

I1S. 2 wholly in force at 25.6.2013; s. 2 in force for specified purposes at Royal Assent and otherwise in force at 25.6.2013, see s. 103(1)(i)(2)(a)

### 3Alteration of the objects of the UK Green Investment BankU.K.

(1)Where an order has been made under section 2, the UK Green Investment Bank may not make any alteration to the objects in its                        articles of association unless—                  

(a)the alteration is made to give effect to an order of a court or other authority having power to alter the Bank's articles                        of association, or                  

(b)the making of the alteration has been approved by the Secretary of State by order under this section.                  

(2)The Secretary of State may not make an order under this section approving the making of an alteration unless the following                        two conditions are met.                  

(3)The first condition is that the Secretary of State is satisfied that, if the alteration were made, the Bank's objects in its                        articles of association would remain such that, acting consistently with them, it would engage only in activities that involve,                        or are incidental or conducive to, making, facilitating or encouraging investments that it considers likely to contribute                        to the achievement of one or more of the green purposes (whether in the United Kingdom or elsewhere).                  

(4)The second condition is that the Secretary of State is satisfied that, if the alteration were made, the Bank's objects in                        its articles of association would remain such that, acting consistently with them, its activities in making, facilitating                        or encouraging investments in each relevant period (within the meaning given by section 2(4)) would (taken as a whole) be                        such as the Bank considers likely to contribute to a reduction of global greenhouse gas emissions.                  

(5)An order under this section—                  

(a)is to be made by statutory instrument, and                  

(b)is not to be made unless a draft of the instrument has been laid before, and approved by a resolution of, each House of Parliament.                  

Commencement Information

I2S. 3 wholly in force at 25.6.2013; s. 3 in force for specified purposes at Royal Assent and otherwise in force at 25.6.2013,                              see s. 103(1)(i)(2)(a)

### 4Financial assistanceU.K.

(1)Where an order has been made under section 2, the Secretary of State may, with the consent of the Treasury, give the UK Green                        Investment Bank financial assistance at any time when the Crown's shareholding in it is more than half of its issued share                        capital.                  

(2)The financial assistance may be given in any form that the Secretary of State, with the consent of the Treasury, considers                        appropriate.                  

(3)It may in particular be given by way of—                  

(a)grants,                  

(b)loans,                  

(c)guarantees,                  

(d)the purchase of share capital of the Bank, or                  

(e)the transfer of assets or rights to the Bank.                  

(4)The financial assistance may be provided subject to such terms and conditions as the Secretary of State, with the consent                        of the Treasury, considers appropriate (including, in the case of a grant or a loan, conditions requiring repayment or, in                        the case of a guarantee, conditions requiring reimbursement of any sums paid under it).                  

(5)The Treasury may arrange for money to be paid out of the National Loans Fund in order to enable loans to be made to the Bank                        under this section.                  

(6)Nothing in this section affects the exercise of any power of the Treasury or the Secretary of State to give financial assistance                        to the Bank otherwise than under this section at a time when the Crown's shareholding in the Bank is not more than half of                        its issued share capital.                  

### 5Accounts, reports and payments to directorsU.K.

(1)Where an order has been made under section 2, the UK Green Investment Bank is to be treated as being a quoted company within                        the meaning of section 385(2) of the Companies Act 2006 for the purposes of the application to it of—                  

(a)Chapters 4 and 4A of Part 10 of that Act, and                  

(b)Parts 15 and 16 of that Act (in respect of a financial year).                  

(2)Where an order has been made under section 2, each report prepared by the directors of the Bank for a financial year under                        section 415 of the Companies Act 2006 must include—                  

(a)an explanation of the steps that the Bank took in that year to ensure that its activities in making, facilitating or encouraging                        investments in that year and in any previous financial years would (taken as a whole) be likely to contribute to a reduction                        of global greenhouse gas emissions, and                  

(b)a statement of the directors' views on the likely effect of those activities in those years on global greenhouse gas emissions.                  

### 6Documents to be laid before ParliamentU.K.

(1)Subsection (2) applies if—                  

(a)after an order has been made under section 2, copies of the UK Green Investment Bank's annual accounts and reports are, in                        accordance with section 437 of the Companies Act 2006, laid before it in general meeting, and                  

(b)as at the date of the meeting, the Crown holds shares in the Bank.                  

(2)The Secretary of State must, as soon as practicable after the meeting, lay a copy of the annual accounts and reports before                        Parliament.                  

(3)Subsection (4) applies if—                  

(a)after an order has been made under section 2, the Secretary of State—                  

(i)makes a material alteration to the terms of the operational independence undertaking referred to in subsection (5) of section                        2, or                  

(ii)revokes that undertaking, and                  

(b)as at the date of the alteration or revocation, the Crown's shareholding in the UK Green Investment Bank is more than half                        of its issued share capital.                  

(4)The Secretary of State must, as soon as practicable after the date referred to in subsection (3)(b)—                  

(a)in the case of an alteration, lay a copy of the revised undertaking before Parliament;                  

(b)in the case of revocation of the undertaking, lay before Parliament a statement reporting the revocation.                  

## **PART 2**U.K.Employment

### ConciliationE+W+S

#### 7Conciliation before institution of proceedingsE+W+S

(1)After section 18 of the Employment Tribunals Act 1996 (conciliation) insert—                  

##### “18ARequirement to contact ACAS before instituting proceedings

(1)Before a person (“the prospective claimant”) presents an application to institute relevant proceedings relating to any matter,                           the prospective claimant must provide to ACAS prescribed information, in the prescribed manner, about that matter.                  

This is subject to subsection (7).                  

(2)On receiving the prescribed information in the prescribed manner, ACAS shall send a copy of it to a conciliation officer.                  

(3)The conciliation officer shall, during the prescribed period, endeavour to promote a settlement between the persons who would                           be parties to the proceedings.                  

(4)If—                  

(a)during the prescribed period the conciliation officer concludes that a settlement is not possible, or                  

(b)the prescribed period expires without a settlement having been reached,                  

the conciliation officer shall issue a certificate to that effect, in the prescribed manner, to the prospective claimant.                  

(5)The conciliation officer may continue to endeavour to promote a settlement after the expiry of the prescribed period.                  

(6)In subsections (3) to (5) “settlement” means a settlement that avoids proceedings being instituted.                  

(7)A person may institute relevant proceedings without complying with the requirement in subsection (1) in prescribed cases.                  

The cases that may be prescribed include (in particular)—                  
          -  cases where the requirement is complied with by another person instituting relevant proceedings relating to the same matter;                         
          -  cases where proceedings that are not relevant proceedings are instituted by means of the same form as proceedings that are;                         
          -  cases where section 18B applies because ACAS has been contacted by a person against whom relevant proceedings are being instituted.                         

(8)A person who is subject to the requirement in subsection (1) may not present an application to institute relevant proceedings                           without a certificate under subsection (4).                  

(9)Where a conciliation officer acts under this section in a case where the prospective claimant has ceased to be employed by                           the employer and the proposed proceedings are proceedings under section 111 of the Employment Rights Act 1996, the conciliation                           officer may in particular—                  

(a)seek to promote the reinstatement or re-engagement of the prospective claimant by the employer, or by a successor of the employer                           or by an associated employer, on terms appearing to the conciliation officer to be equitable, or                  

(b)where the prospective claimant does not wish to be reinstated or re-engaged, or where reinstatement or re-engagement is not                           practicable, seek to promote agreement between them as to a sum by way of compensation to be paid by the employer to the prospective                           claimant.                  

(10)In subsections (1) to (7) “prescribed” means prescribed in employment tribunal procedure regulations.                  

(11)The Secretary of State may by employment tribunal procedure regulations make such further provision as appears to the Secretary                           of State to be necessary or expedient with respect to the conciliation process provided for by subsections (1) to (8).                  

(12)Employment tribunal procedure regulations may (in particular) make provision—                  

(a)authorising the Secretary of State to prescribe, or prescribe requirements in relation to, any form which is required by such                           regulations to be used for the purpose of providing information to ACAS under subsection (1) or issuing a certificate under                           subsection (4);                  

(b)requiring ACAS to give a person any necessary assistance to comply with the requirement in subsection (1);                  

(c)for the extension of the period prescribed for the purposes of subsection (3);                  

(d)treating the requirement in subsection (1) as complied with, for the purposes of any provision extending the time limit for                           instituting relevant proceedings, by a person who is relieved of that requirement by virtue of subsection (7)(a).                  

##### 18BConciliation before institution of proceedings: other ACAS duties

(1)This section applies where—                  

(a)a person contacts ACAS requesting the services of a conciliation officer in relation to a matter that (if not settled) is                           likely to give rise to relevant proceedings against that person, and                  

(b)ACAS has not received information from the prospective claimant under section 18A(1).                  

(2)This section also applies where—                  

(a)a person contacts ACAS requesting the services of a conciliation officer in relation to a matter that (if not settled) is                           likely to give rise to relevant proceedings by that person, and                  

(b)the requirement in section 18A(1) would apply to that person but for section 18A(7).                  

(3)Where this section applies a conciliation officer shall endeavour to promote a settlement between the persons who would be                           parties to the proceedings.                  

(4)If at any time—                  

(a)the conciliation officer concludes that a settlement is not possible, or                  

(b)a conciliation officer comes under the duty in section 18A(3) to promote a settlement between the persons who would be parties                           to the proceedings,                  

the duty in subsection (3) ceases to apply at that time.                  

(5)In subsections (3) and (4) “settlement” means a settlement that avoids proceedings being instituted.                  

(6)Subsection (9) of section 18A applies for the purposes of this section as it applies for the purposes of that section.”                  

(2)Schedule 1 (conciliation: minor and consequential amendments) has effect.                  

Commencement Information

I3S. 7 partly in force; s. 7 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I4S. 7(1)(2) in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, **art. 3(a)(b)** (with art. 4)

I5S. 7(2) in force at 6.3.2014 for specified purposes by S.I. 2014/253, **art. 2**

#### 8Extension of limitation periods to allow for conciliationE+W+S

Schedule 2 (extension of limitation periods to allow for conciliation) has effect.

Commencement Information

I6S. 8 in force at 6.4.2014 by S.I. 2014/253, **art. 3(c)**

#### 9Extended power to define “relevant proceedings” for conciliation purposesE+W+S

(1)Section 18 of the Employment Tribunals Act 1996 (conciliation) is amended as follows.                  

(2)In subsection (8) (power of Secretary of State and Lord Chancellor to amend list in subsection (1) of section 18), for paragraphs                        (a) and (b) substitute “ amend the definition of “relevant proceedings” in subsection (1) by adding to or removing from the list in that subsection                           particular types of employment tribunal proceedings. ”                  

(3)After subsection (8) insert—                  

“(9)An order under subsection (8) that adds employment tribunal proceedings to the list in subsection (1) may amend an enactment                           so as to extend the time limit for instituting those proceedings in such a way as appears necessary or expedient in order                           to facilitate the conciliation process provided for by section 18A.                  

(10)An order under subsection (8) that removes employment tribunal proceedings from the list in subsection (1) may—                  

(a)repeal or revoke any provision of an enactment that, for the purpose mentioned in subsection (9), extends the time limit for                           instituting those proceedings;                  

(b)make further amendments which are consequential on that repeal or revocation.”                  

Commencement Information

I7S. 9 partly in force; s. 9 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I8S. 9 in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, **art. 3(d)**

### ACASE+W+S

#### 10ACAS: prohibition on disclosure of informationE+W+S

In Part 6 of the Trade Union and Labour Relations (Consolidation) Act 1992 (ACAS etc), after section 251A insert—                  

##### “251BProhibition on disclosure of information

(1)Information held by ACAS shall not be disclosed if the information—                  

(a)relates to a worker, an employer of a worker or a trade union (a “relevant person”), and                  

(b)is held by ACAS in connection with the provision of a service by ACAS or its officers.                  

This is subject to subsection (2).                  

(2)Subsection (1) does not prohibit the disclosure of information if—                  

(a)the disclosure is made for the purpose of enabling or assisting ACAS to carry out any of its functions under this Act,                  

(b)the disclosure is made for the purpose of enabling or assisting an officer of ACAS to carry out the functions of a conciliation                           officer under any enactment,                  

(c)the disclosure is made for the purpose of enabling or assisting—                  

(i)a person appointed by ACAS under section 210(2), or                  

(ii)an arbitrator or arbiter appointed by ACAS under any enactment,                  

to carry out functions specified in the appointment,                  

(d)the disclosure is made for the purposes of a criminal investigation or criminal proceedings (whether or not within the United                           Kingdom),                  

(e)the disclosure is made in order to comply with a court order,                  

(f)the disclosure is made in a manner that ensures that no relevant person to whom the information relates can be identified,                           or                  

(g)the disclosure is made with the consent of each relevant person to whom the information relates.                  

(3)Subsection (2) does not authorise the making of a disclosure which contravenes the Data Protection Act 1998.                  

(4)A person who discloses information in contravention of this section commits an offence and is liable on summary conviction                           to a fine not exceeding level 5 on the standard scale.                  

(5)Proceedings in England and Wales for an offence under this section may be instituted only with the consent of the Director                           of Public Prosecutions.                  

(6)For the purposes of this section information held by—                  

(a)a person appointed by ACAS under section 210(2) in connection with functions specified in the appointment, or                  

(b)an arbitrator or arbiter appointed by ACAS under any enactment in connection with functions specified in the appointment,                  

is information that is held by ACAS in connection with the provision of a service by ACAS.”                  

### Procedure for deciding tribunal casesE+W+S

#### 11Decisions by legal officersE+W+S

(1)In section 4 of the Employment Tribunals Act 1996 (composition of a tribunal), after subsection (6C) insert—                  

“(6D)A person appointed as a legal officer in accordance with regulations under section 1(1) may determine proceedings in respect                           of which an employment tribunal has jurisdiction, or make a decision falling to be made in the course of such proceedings,                           if—                  

(a)the proceedings are of a description specified in an order under this subsection made by the Secretary of State and the Lord                           Chancellor acting jointly, and                  

(b)all the parties to the proceedings consent in writing;                  

and any determination or decision made under this subsection shall be treated as made by an employment tribunal.”                  

(2)In section 41(2) of that Act (orders etc subject to affirmative resolution procedure), after “section 4(4)” insert “ or (6D) ”.                  

Commencement Information

I9S. 11 partly in force; s. 11 in force for specified purposes at Royal Assent, see s. 103(1)(i)

#### 12Composition of Employment Appeal TribunalE+W+S

(1)The Employment Tribunals Act 1996 is amended as set out in subsections (2) to (4).                  

(2)In section 28 (composition of Appeal Tribunal), for subsections (2) to (4A) substitute—                  

“(2)Proceedings before the Appeal Tribunal are to be heard by a judge alone.                  

This is subject to subsections (3) to (6) and to any provision made by virtue of section 30(2)(f) or (2A).                  

(3)A judge may direct that proceedings are to be heard by a judge and either two or four appointed members.                  

(4)A judge may, with the consent of the parties, direct that proceedings are to be heard by a judge and either one or three appointed                           members.                  

(5)The Lord Chancellor may by order provide for proceedings of a description specified in the order to be heard by a judge and                           either two or four appointed members.                  

(6)In proceedings heard by a judge and two or four appointed members, there shall be an equal number of—                  

(a)employer-representative members, and                  

(b)worker-representative members.                  

(7)In this section—                  
          -  “employer-representative members” means appointed members whose knowledge or experience of industrial relations is as representatives of employers;                         
          -  “worker-representative members” means appointed members whose knowledge or experience of industrial relations is as representatives of workers.”                         

(3)In section 30 (Appeal Tribunal procedure rules), in subsection (2)(f) (provision for dealing with interlocutory matters),                        for the words from “otherwise” to the end substitute “ by an officer of the Appeal Tribunal ”.                  

(4)In section 41(2) (orders etc subject to affirmative resolution procedure), before “or 40” insert “ , 28(5) ”.                  

(5)In consequence of the amendment made by subsection (2), omit paragraph 46 of Schedule 8 to the Tribunals, Courts and Enforcement                        Act 2007.                  

Commencement Information

I10S. 12 wholly in force at 25.6.2013; s. 12 in force for specified purposes at Royal Assent and otherwise in force at 25.6.2013, see s. 103(1)(i)(2)(b)

### Unfair dismissalE+W+S

#### 13Dismissal for political opinions: no qualifying period of employmentE+W+S

In section 108 of the Employment Rights Act 1996 (qualifying period of employment), after subsection (3) insert—

“(4)Subsection (1) does not apply if the reason (or, if more than one, the principal reason) for the dismissal is, or relates                           to, the employee's political opinions or affiliation.”                  

#### 14Confidentiality of negotiations before termination of employmentE+W+S

After section 111 of the Employment Rights Act 1996 insert—

##### “111AConfidentiality of negotiations before termination of employment

(1)Evidence of pre-termination negotiations is inadmissible in any proceedings on a complaint under section 111.                  

This is subject to subsections (3) to (5).                  

(2)In subsection (1) “pre-termination negotiations” means any offer made or discussions held, before the termination of the employment in question, with a view to it being                           terminated on terms agreed between the employer and the employee.                  

(3)Subsection (1) does not apply where, according to the complainant's case, the circumstances are such that a provision (whenever                           made) contained in, or made under, this or any other Act requires the complainant to be regarded for the purposes of this                           Part as unfairly dismissed.                  

(4)In relation to anything said or done which in the tribunal's opinion was improper, or was connected with improper behaviour,                           subsection (1) applies only to the extent that the tribunal considers just.                  

(5)Subsection (1) does not affect the admissibility, on any question as to costs or expenses, of evidence relating to an offer                           made on the basis that the right to refer to it on any such question is reserved.”                  

Commencement Information

I11S. 14 in force at 29.7.2013 by S.I. 2013/1648, **art. 2(a)**

#### 15Power by order to increase or decrease limit of compensatory awardE+W+S

(1)The Secretary of State may by order made by statutory instrument amend section 124 of the Employment Rights Act 1996 (limit                        of compensatory award etc) so as to vary the limit imposed for the time being by subsection (1) of that section.                  

(2)The limit as so varied may be—                  

(a)a specified amount, or                  

(b)the lower of—                  

(i)a specified amount, and                  

(ii)a specified number multiplied by a week's pay of the individual concerned.                  

(3)Different amounts may be specified by virtue of subsection (2)(a) or (b)(i) in relation to employers of different descriptions.                  

(4)An amount specified by virtue of subsection (2)(a) or (b)(i)—                  

(a)may not be less than median annual earnings;                  

(b)may not be more than three times median annual earnings.                  

(5)A number specified by virtue of subsection (2)(b)(ii) may not be less than 52.                  

(6)An order under this section may make consequential, supplemental, transitional, transitory or saving provision.                  

(7)The consequential provision that may be made under subsection (6) includes provision inserting a reference to section 124                        of the Employment Rights Act 1996 in section 226(3) of that Act (week's pay: calculation date in unfair dismissal cases).                  

(8)A statutory instrument containing an order under this section is not to be made unless a draft of the instrument has been                        laid before each House of Parliament and approved by a resolution of each House.                  

(9)In this section “median annual earnings” means—                  

(a)the latest figure for median gross annual earnings of full-time employees in the United Kingdom published by the Statistics                        Board (disregarding any provisional figures), or                  

(b)if that figure was published by the Statistics Board more than two years before the laying of the draft of the statutory instrument                        in question, an estimate of the current amount of such earnings worked out in whatever way the Secretary of State thinks fit.                  

(10)In section 34 of the Employment Relations Act 1999 (indexation of amounts etc), after subsection (4) insert—                  

“(4A)A reference in this section to a sum specified in section 124(1) of the Employment Rights Act 1996 does not include anything                           specified by virtue of section 15(2)(b)(ii) of the Enterprise and Regulatory Reform Act 2013 (specified number multiplied                           by a week's pay of the individual concerned).                  

(4B)As regards a sum specified in section 124(1) of the Employment Rights Act 1996, the duty under subsection (2) to make an order                           with effect from 6 April in a particular year does not arise where an order varying such a sum with effect from a day within                           12 months before that date has been made under section 15(1) of the Enterprise and Regulatory Reform Act 2013.”                  

Commencement Information

I12s. 15 in force for specified purposes at Royal Assent and otherwise in force at 25.6.2013, see s. 103(1)(i)(2)(b)

### Financial penaltiesE+W+S

#### 16Power of employment tribunal to impose financial penalty on employers etcE+W+S

(1)After section 12 of the Employment Tribunals Act 1996 insert—                  

##### “Financial penaltiesE+W+S

###### 12AFinancial penalties

(1)Where an employment tribunal determining a claim involving an employer and a worker—                  

(a)concludes that the employer has breached any of the worker's rights to which the claim relates, and                  

(b)is of the opinion that the breach has one or more aggravating features,                  

the tribunal may order the employer to pay a penalty to the Secretary of State (whether or not it also makes a financial award                        against the employer on the claim).                  

(2)The tribunal shall have regard to an employer's ability to pay—                  

(a)in deciding whether to order the employer to pay a penalty under this section;                  

(b)(subject to subsections (3) to (7)) in deciding the amount of a penalty.                  

(3)The amount of a penalty under this section shall be—                  

(a)at least £100;                  

(b)no more than £5,000.                  

This subsection does not apply where subsection (5) or (7) applies.                  

(4)Subsection (5) applies where an employment tribunal—                  

(a)makes a financial award against an employer on a claim, and                  

(b)also orders the employer to pay a penalty under this section in respect of the claim.                  

(5)In such a case, the amount of the penalty under this section shall be 50% of the amount of the award, except that—                  

(a)if the amount of the financial award is less than £200, the amount of the penalty shall be £100;                  

(b)if the amount of the financial award is more than £10,000, the amount of the penalty shall be £5,000.                  

(6)Subsection (7) applies, instead of subsection (5), where an employment tribunal—                  

(a)considers together two or more claims involving different workers but the same employer, and                  

(b)orders the employer to pay a penalty under this section in respect of any of those claims.                  

(7)In such a case—                  

(a)the amount of the penalties in total shall be at least £100;                  

(b)the amount of a penalty in respect of a particular claim shall be—                  

(i)no more than £5,000, and                  

(ii)where the tribunal makes a financial award against the employer on the claim, no more than 50% of the amount of the award.                  

But where the tribunal makes a financial award on any of the claims and the amount awarded is less than £200 in total, the                        amount of the penalties in total shall be £100 (and paragraphs (a) and (b) shall not apply).                  

(8)Two or more claims in respect of the same act and the same worker shall be treated as a single claim for the purposes of this                           section.                  

(9)Subsection (5) or (7) does not require or permit an order under subsection (1) (or a failure to make such an order) to be                           reviewed where the tribunal subsequently awards compensation under—                  

(a)section 140(3) of the Trade Union and Labour Relations (Consolidation) Act 1992 (failure to comply with tribunal's recommendation),                  

(b)section 117 of the Employment Rights Act 1996 (failure to reinstate etc.),                  

(c)section 124(7) of the Equality Act 2010 (failure to comply with tribunal's recommendation), or                  

(d)any other provision empowering the tribunal to award compensation, or further compensation, for a failure to comply (or to                           comply fully) with an order or recommendation of the tribunal.                  

(10)An employer's liability to pay a penalty under this section is discharged if 50% of the amount of the penalty is paid no later                           than 21 days after the day on which notice of the decision to impose the penalty is sent to the employer.                  

(11)In this section—                  
          -  “claim”—                          (a)
means anything that is referred to in the relevant legislation as a claim, a complaint or a reference, other than a reference                                       made by virtue of section 122(2) or 128(2) of the Equality Act 2010 (reference by court of question about a non-discrimination                                       or equality rule etc), and                                 
(b)
also includes an application, under regulations made under section 45 of the Employment Act 2002, for a declaration that a                                       person is a permanent employee;                                 
 
          -  “employer” has the same meaning as in Part 4A of the Employment Rights Act 1996, and also—                          (a)
in relation to an individual seeking to be employed by a person as a worker, includes that person;                                 
(b)
in relation to a right conferred by section 47A or 63A of the Employment Rights Act 1996 (right to time off for young person                                       for study or training), includes the principal within the meaning of section 63A(3) of that Act;                                 
(c)
in relation to a right conferred by the Agency Workers Regulations 2010 (S.I. 2010/93), includes the hirer within the meaning of those Regulations and (where the worker is not actually employed by the                                       temporary work agency) the temporary work agency within that meaning;                                 
 
          -  “financial award” means an award of a sum of money, but does not including anything payable by virtue of section 13;                         
          -  “worker” has the same meaning as in Part 4A of the Employment Rights Act 1996, and also includes an individual seeking to be employed                              by a person as a worker.                         

(12)The Secretary of State may by order—                  

(a)amend subsection (3), (5) or (7) by substituting a different amount;                  

(b)amend subsection (5), (7) or (10) by substituting a different percentage;                  

(c)amend this section so as to alter the meaning of “claim”.                  

(13)The Secretary of State shall pay sums received under this section into the Consolidated Fund.”                  

(2)Schedule 3 (financial penalties: minor and consequential amendments) has effect.                  

Commencement Information

I13S. 16 partly in force; s. 16 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I14S. 16 in force at 6.4.2014 by S.I. 2014/253, **art. 3(e)**

### Protected disclosuresE+W+S

#### 17Disclosures not protected unless believed to be made in the public interestE+W+S

In section 43B of the Employment Rights Act 1996 (disclosures qualifying for protection), in subsection (1), after “in the                     reasonable belief of the worker making the disclosure,” insert “ is made in the public interest and ”.                  

#### 18Power to reduce compensation where disclosure not made in good faithE+W+S

(1)Omit the words “in good faith” in the following provisions of Part 4A of the Employment Rights Act 1996 (protected disclosures)—                  

(a)subsection (1) of section 43C (disclosure to employer or other responsible person);                  

(b)paragraph (b) of section 43E (disclosure to Minister of the Crown);                  

(c)subsection (1)(a) of section 43F (disclosure to prescribed person).                  

(2)In section 43G of that Act (disclosure in other cases), in subsection (1)—                  

(a)omit paragraph (a);                  

(b)in paragraph (b), for “he” substitute “ the worker ”.                  

(3)In section 43H of that Act (disclosure of exceptionally serious failure), in subsection (1)—                  

(a)omit paragraph (a);                  

(b)in paragraph (b), for “he” substitute “ the worker ”.                  

(4)In section 49 of that Act (remedies for detriment suffered in employment), after subsection (6) insert—                  

“(6A)Where—                  

(a)the complaint is made under section 48(1A), and                  

(b)it appears to the tribunal that the protected disclosure was not made in good faith,                  

the tribunal may, if it considers it just and equitable in all the circumstances to do so, reduce any award it makes to the                        worker by no more than 25%.”                  

(5)In section 123 of that Act (compensatory award for unfair dismissal), after subsection (6) insert—                  

“(6A)Where—                  

(a)the reason (or principal reason) for the dismissal is that the complainant made a protected disclosure, and                  

(b)it appears to the tribunal that the disclosure was not made in good faith,                  

the tribunal may, if it considers it just and equitable in all the circumstances to do so, reduce any award it makes to the                        complainant by no more than 25%.”                  

#### 19Worker subjected to detriment by co-worker or agent of employerE+W+S

(1)In section 47B of the Employment Rights Act 1996 (protected disclosures), after subsection (1) insert—                  

“(1A)A worker (“W”) has the right not to be subjected to any detriment by any act, or any deliberate failure to act, done—                  

(a)by another worker of W's employer in the course of that other worker's employment, or                  

(b)by an agent of W's employer with the employer's authority,                  

on the ground that W has made a protected disclosure.                  

(1B)Where a worker is subjected to detriment by anything done as mentioned in subsection (1A), that thing is treated as also done                           by the worker's employer.                  

(1C)For the purposes of subsection (1B), it is immaterial whether the thing is done with the knowledge or approval of the worker's                           employer.                  

(1D)In proceedings against W's employer in respect of anything alleged to have been done as mentioned in subsection (1A)(a), it                           is a defence for the employer to show that the employer took all reasonable steps to prevent the other worker—                  

(a)from doing that thing, or                  

(b)from doing anything of that description.                  

(1E)A worker or agent of W's employer is not liable by reason of subsection (1A) for doing something that subjects W to detriment                           if—                  

(a)the worker or agent does that thing in reliance on a statement by the employer that doing it does not contravene this Act,                           and                  

(b)it is reasonable for the worker or agent to rely on the statement.                  

But this does not prevent the employer from being liable by reason of subsection (1B).”                  

(2)In section 48 of that Act (complaints to employment tribunals), in subsection (5)—                  

(a)for “includes, where” substitute “includes—                   

(a)where”;                  

(b)at the end insert—                  

“(b)in the case of proceedings against a worker or agent under section 47B(1A), the worker or agent.”                  

Commencement Information

I15S. 19 in force at 25.6.2013 by S.I. 2013/1455, **art. 2(a)** (with art. 4(2))

#### 20Extension of meaning of “worker”E+W+S

(1)Section 43K of the Employment Rights Act 1996 (extension of meaning of “worker”) is amended as set out in subsections (2)                        to (7).                  

(2)In subsection (1)(ba)—                  

(a)for “section 84 or 100 of” substitute “ section 83(2), 84, 92, 100, 107, 115(4), 117 or 134 of, or Schedule 12 to, ”;                  

(b)for “section 42 or 57 of” substitute “ section 41(2)(b), 42, 50, 57, 64 or 92 of, or Schedule 7 to, ”;                  

(c)omit the words after “the National Health Service (Wales) Act 2006”.                  

(3)In subsection (1)(bb), after “section 17J” insert “ or 17Q ”.                  

(4)In subsection (1)(c)—                  

(a)for the words before “in accordance with arrangements” substitute “ works or worked as a person providing services ”;                  

(b)in sub-paragraph (ii), after “section” insert “ 2C, 17AA, 17C, ”.                  

(5)Omit subsection (1)(ca) and the preceding “or”.                  

(6)Omit subsection (2)(ba).                  

(7)After subsection (3) insert—                  

“(4)The Secretary of State may by order make amendments to this section as to what individuals count as “workers” for the purposes of this Part (despite not being within the definition in section 230(3)).                  

(5)An order under subsection (4) may not make an amendment that has the effect of removing a category of individual unless the                           Secretary of State is satisfied that there are no longer any individuals in that category.”                  

(8)In section 236(3) of that Act (orders etc subject to affirmative resolution procedure), after “shall be made under section”                        insert “ 43K(4), ”.”                  

(9)In consequence of the amendments made by subsections (5) and (6), omit paragraph 7(a)(ii) and (b) of the Schedule to the Smoking,                        Health and Social Care (Scotland) Act 2005 (Consequential Modifications) (England, Wales and Northern Ireland) Order 2006                        (S.I. 2006/1056).                  

(10)Until the coming into force of the repeal (made by Schedule 3 to the Smoking, Health and Social Care (Scotland) Act 2005 (asp                        13)) of sections 27 to 28 of the National Health Service (Scotland) Act 1978 (“the 1978 Act”), section 43K(1)(c)(ii) of the Employment Rights Act 1996 has effect as if it included a reference to section 27A of the                        1978 Act.                  

Commencement Information

I16S. 20 wholly in force at 25.6.2013; s. 20 in force for specified purposes at Royal Assent and otherwise in force at 25.6.2013, see s. 103(1)(i)(2)(b)

### MiscellaneousU.K.

#### 21Tribunal procedure: miscellaneousE+W+S

(1)The Employment Tribunals Act 1996 is amended as follows.                  

(2)In section 9 (pre-hearing reviews and preliminary matters), in subsection (2) (deposit orders), in paragraph (a)—                  

(a)omit “, if he wishes to continue to participate in those proceedings,”;                  

(b)after “an amount not exceeding £1,000” insert “as a condition of—                   

(i)continuing to participate in those proceedings, or                  

(ii)pursuing any specified allegations or arguments”.                  

(3)In section 13A (payments in respect of preparation time)—                  

(a)in subsection (3), after “shall also” insert “ , subject to subsection (4), ”;                  

(b)after subsection (3) insert—                  

“(4)Subsection (3) does not require the regulations to include provision to prevent an employment tribunal from making—                  

(a)an order of the kind mentioned in subsection (1), and                  

(b)an award of the kind mentioned in section 13(1)(a) that is limited to witnesses' expenses.”                  

(4)In section 42 (interpretation), in subsection (1), after the definition of “employment tribunal procedure regulations” insert—                  

““representative” shall be construed in accordance with section 6(1) (in Part 1) or section 29(1) (in Part 2),”.                  

Commencement Information

I17S. 21 wholly in force at 25.6.2013; s. 21 in force for specified purposes at Royal Assent and otherwise in force at 25.6.2013, see s. 103(1)(i)(2)(b)

#### 22Indexation of amounts: timing and roundingE+W+S

(1)Section 34 of the Employment Relations Act 1999 (indexation of amounts, etc) is amended as follows.                  

(2)In subsection (2)—                  

(a)omit “as soon as practicable”;                  

(b)at the end insert “ , with effect from the following 6th April ”.                  

(3)In subsection (3), for the words after “the Secretary of State shall” substitute “ round the result to the nearest whole pound, taking 50p as nearest to the next whole pound above ”.                  

#### 23Renaming of “compromise agreements”, “compromise contracts” and “compromises”U.K.

(1)In the following provisions, for “compromise” (in each place where it occurs) substitute “ settlement ”                  

(a)section 288(2A) and (2B) of the Trade Union and Labour Relations (Consolidation) Act 1992 (restriction on contracting out);                  

(b)section 203(2)(f) and (3) of the Employment Rights Act 1996 (restrictions on contracting out);                  

(c)section 58(4) and (5) of the Pensions Act 2008 (restrictions on agreements to limit operation of Part 1).                  

(2)In section 19A of the Employment Tribunals Act 1996 (conciliation: recovery of sums payable under compromises)—                  

(a)in subsections (1), (3), (4), (5) and (6), for “compromise” (in each place where it occurs) substitute “ settlement ”;                  

(b)in subsection (12)—                  

(i)for “compromise” (in the first two places it occurs) substitute “ settlement ”;                  

(ii)omit “, or compromise,”;                  

(c)in the heading, for “compromises” substitute “ settlements ”.                  

(3)In section 49 of the National Minimum Wage Act 1998 (restrictions on contracting out)—                  

(a)in subsections (3) and (4), for “compromise” (in each place where it occurs) substitute “ settlement ”;                  

(b)after subsection (8) insert—                  

“(8A)In the application of this section in relation to Northern Ireland, subsections (3) and (4) above shall have effect as if                           for “settlement agreements” (in each place) there were substituted “compromise agreements.”                  

(4)In section 28 of the Equality Act 2006 (legal assistance), in subsection (11), for “compromise contract or agreement” substitute                        “ settlement agreement ”.                  

(5)In section 144 of the Equality Act 2010 (contracting out), in subsection (4)(b), for “compromise contract” substitute “ settlement agreement ”.                  

(6)In section 147 of that Act (meaning of “qualifying compromise contract”), in subsections (2) and (5) and in the heading, for                        “compromise contract” substitute “ settlement agreement ”.                  

Commencement Information

I18S. 23 in force at 29.7.2013 by S.I. 2013/1648, **art. 2(c)**

### GeneralE+W+S

#### 24Transitional provisionE+W+S

(1)Section 10 does not apply in relation to a disclosure, or a request for information, made before that section comes into force.                  

(2)Section 12 does not apply in relation to proceedings that are in the process of being heard by the Employment Appeal Tribunal                        when that section comes into force.                  

(3)Section 13 does not apply where the effective date of termination of the contract of employment in question is earlier than                        the date on which that section comes into force.                  

“Effective date of termination” here has the meaning given by section 97(1) of the Employment Rights Act 1996.

(4)Section 14 does not apply to any offer made or discussions held before the commencement of that section.                  

(5)Section 16 does not apply in relation to any claim presented before the end of the sixth month after the day on which this                        Act is passed (or before the commencement of that section).                  

(6)Section 17, 18, 19 or 20 does not apply to a qualifying disclosure made before the section comes into force.                  

“Qualifying disclosure” here has the meaning given by section 43B of the Employment Rights Act 1996.

## **PART 3**U.K.The Competition and Markets Authority

### 25The Competition and Markets AuthorityU.K.

(1)There is to be a body corporate known as the Competition and Markets Authority.                  

(2)In this Part that body is referred to as “the CMA”.                  

(3)The CMA must seek to promote competition, both within and outside the United Kingdom, for the benefit of consumers.                  

(4)Schedule 4 (which makes provision about the CMA) has effect.                  

Commencement Information

I19S. 25(1)(2)(4) in force at 1.10.2013 by S.I. 2013/2227, **art. 2(a)**

I20S. 25(3) in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(a)** (with Sch.)

### 26Abolition of the Competition Commission and the OFTU.K.

(1)The Competition Commission is abolished.                  

(2)The Office of Fair Trading is abolished.                  

(3)Schedule 5 (which amends the Competition Act 1998 and the Enterprise Act 2002 to make provision for the transfer of certain                        functions from the Competition Commission and the Office of Fair Trading to the CMA and to make other minor and consequential                        amendments) has effect.                  

(4)Schedule 6 (which amends other enactments to make provision for the transfer of certain functions from the Competition Commission                        and the Office of Fair Trading to the CMA) has effect.                  

Commencement Information

I21S. 26 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(a)** (with Sch.)

### 27Transfer schemesU.K.

(1)The Secretary of State may make one or more transfer schemes in connection with—                  

(a)the establishment of the CMA under this Act,                  

(b)the transfer of functions under or by virtue of this Act from the Competition Commission or the Office of Fair Trading to                        the CMA, or                  

(c)the abolition of that Commission or that Office under this Act.                  

(2)A transfer scheme is a scheme for the transfer of property, rights and liabilities of the Competition Commission or the Office                        of Fair Trading to—                  

(a)the CMA, or                  

(b)a Minister of the Crown (as defined by section 8 of the Ministers of the Crown Act 1975).                  

(3)The things that may be transferred under a transfer scheme include—                  

(a)property, rights and liabilities that could not otherwise be transferred;                  

(b)property acquired, and rights and liabilities arising, after the making of the scheme.                  

(4)A transfer scheme may make consequential, supplementary, incidental or transitional provision and may in particular—                  

(a)create rights, or impose liabilities, in relation to property or rights transferred;                  

(b)make provision about the continuing effect of things done by the transferor in respect of anything transferred;                  

(c)make provision about the continuation of things (including legal proceedings) in the process of being done by, on behalf of,                        or in relation to the transferor in respect of anything transferred;                  

(d)make provision for references to the transferor in an instrument or other document in respect of anything transferred to be                        treated as references to the transferee;                  

(e)make provision for the shared ownership or use of property;                  

(f)make provision that is the same as or similar to the TUPE regulations.                  

(5)A transfer scheme may provide—                  

(a)for the scheme to be modified by agreement after it comes into effect;                  

(b)for modifications to have effect from the date when the scheme first came into effect.                  

(6)For the purposes of this section—                  

(a)an individual who holds employment in the civil service is to be treated as employed by virtue of a contract of employment,                        and                  

(b)the terms of the individual's employment in the civil service are to be regarded as constituting the terms of the contract                        of employment.                  

(7)In this section—                  
          -  “civil service” means the civil service of the State;                         
          -  “TUPE regulations” means the Transfer of Undertakings (Protection of Employment) Regulations 2006 (SI 2006/246);                         
          -  references to rights and liabilities include rights and liabilities relating to a contract of employment; 
          -  references to the transfer of property include references to the grant of a lease. 

Commencement Information

I22S. 27 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(b)**

### 28Transitional provision: consultationU.K.

(1)This section applies in relation to a provision of this Act under or by virtue of which the CMA has a function of consulting                        another person in preparing rules, statements of policy, guidance or general advice or information.                  

(2)At any time before the provision comes into force, the Office of Fair Trading or the Competition Commission or both bodies                        acting jointly—                  

(a)may carry out any consultation that the CMA would have power to carry out after the provision comes into force, and                  

(b)for that purpose, may prepare drafts of any documents to which the consultation relates.                  

(3)At any time after the provision comes into force, the CMA may elect to treat any consultation carried out or other thing done                        under subsection (2) by the Office of Fair Trading or the Competition Commission (or by both bodies acting jointly) as carried                        out or done by the CMA.                  

(4)The Secretary of State may direct the Office of Fair Trading or the Competition Commission, or both of them acting jointly,                        to exercise a power conferred by subsection (2).                  

## **PART 4**U.K.Competition Reform

### CHAPTER 1U.K.Mergers

#### Investigation powersU.K.

##### 29Investigation powers: mergersU.K.

(1)Section 109 of the Enterprise Act 2002 (“the 2002 Act”) (investigation powers in connection with attendance of witnesses etc.) is amended as follows.                  

(2)Before subsection (1) insert—                  

“(A1)For the purposes of this section, the permitted purposes are the following—                  

(a)assisting the CMA in carrying out any functions, including enforcement functions, exercisable by it under or by virtue of                           this Part in connection with a matter that is or has been the subject of a reference or possible reference under section 22                           or 33;                  

(b)assisting the CMA or the Secretary of State in carrying out any functions, including enforcement functions, of the CMA or                           (as the case may be) the Secretary of State under or by virtue of this Part in connection with a matter that is or has been                           the subject of a reference or possible reference under section 45 or 62.”                  

(3)In subsection (1), for the words from the beginning to “under this Part,” substitute “ The CMA may, for a permitted purpose, ”.                  

(4)In subsection (2), for the words from the beginning to “under this Part,” substitute “ The CMA may, for a permitted purpose, ”.                  

(5)In subsection (3), for the words from the beginning to “under this Part,” substitute “ The CMA may, for a permitted purpose, ”.                  

(6)In subsection (4), after “shall” insert “—                   

(a)specify the permitted purpose for which the notice is given, including the function or functions in question; and                  

(b)”.

(7)In subsection (5), for the words from the beginning to “under this Part,” substitute “ The CMA, or any person nominated by it for the purpose, may for a permitted purpose ”.                  

(8)In subsection (6), for the words from “for the purpose of” to “under this Part” substitute “ for a permitted purpose ”.                  

(9)After subsection (8) insert—                  

“(8A)In subsection (A1), “enforcement functions” means—                  

(a)in relation to the CMA—                  

(i)functions conferred by virtue of section 87 on the CMA by enforcement orders;                  

(ii)functions of the CMA in relation to the variation, supersession or release of enforcement undertakings or the variation or                           revocation of enforcement orders;                  

(iii)functions of the CMA under or by virtue of section 75, 76, 83 or 92 in relation to enforcement undertakings or enforcement                           orders;                  

(b)in relation to the Secretary of State—                  

(i)functions conferred by virtue of section 87 on the Secretary of State by enforcement orders;                  

(ii)functions of the Secretary of State in relation to the variation, supersession or release of enforcement undertakings or the                           variation or revocation of enforcement orders;                  

(iii)functions of the Secretary of State under or by virtue of paragraph 5, 6 or 10 of Schedule 7 in relation to enforcement undertakings                           or enforcement orders.”                  

(10)In section 110 (enforcement of powers under section 109: general), omit subsection (4).                  

(11)After section 110 insert—                  

###### “110ARestriction on powers to impose penalties under section 110

(1)No penalty shall be imposed by virtue of section 110(1) or (3) if more than 4 weeks have passed since the day which is the                           relevant day in the case in question; but this subsection shall not apply in relation to any variation or substitution of                           the penalty which is permitted by virtue of this Part.                  

(2)In the following provisions of this section, “the section 109 power” means the power under section 109 to which the failure or (as the case may be) the obstruction or delay in question relates.                  

(3)Where the section 109 power is exercised in connection with an enforcement function (within the meaning of that section),                           the relevant day is the day when the enforcement undertaking concerned is superseded or released or (as the case may be) the                           enforcement order concerned is revoked.                  

(4)Except where subsection (3) applies, the relevant day is the day determined in accordance with the following provisions of                           this section.                  

(5)Where the section 109 power is exercised for the purpose mentioned in section 109(A1)(a) in connection with a matter that                           is the subject of a possible reference under section 22 or 33, the relevant day is the day when the CMA finally decides whether                           to make the reference.                  

(6)Where the section 109 power is exercised for the purpose mentioned in section 109(A1)(a) in connection with a matter that                           is the subject of a reference under section 22 or 33, the relevant day is the day when the reference is finally determined                           (see section 79).                  

(7)Where the section 109 power is exercised for the purpose mentioned in section 109(A1)(b) in connection with a matter that                           is the subject of a possible reference under section 45 or 62, the relevant day is the day when the Secretary of State finally                           decides whether to make the reference.                  

(8)Where the section 109 power is exercised for the purpose mentioned in section 109(A1)(b) in connection with a matter that                           is the subject of a reference under section 45 or 62, the relevant day is the day when the reference is finally determined.                  

###### 110BSection 110A: supplementary provision

(1)For the purpose of section 110A(5), the CMA finally decides whether to make a reference under section 22 or 33 if—                  

(a)the CMA decides that the duty to make such a reference applies;                  

(b)the CMA accepts an undertaking under section 73;                  

(c)the CMA decides not to make such a reference (otherwise than because it has accepted an undertaking under section 73);                  

(d)the initial period for the purposes of section 34ZA expires without the CMA having complied with the duty under subsection                           (1) of that section;                  

(e)the preliminary assessment period for the purposes of section 34A expires without the CMA having complied with the duty under                           subsection (2) of that section;                  

(f)the period permitted by section 73A for the CMA to make a decision required by subsection (2)(a) or (3) of that section expires                           without the CMA having made the decision.                  

(2)For the purpose of section 110A(5), the time when the CMA finally decides whether to make a reference under section 22 or                           33 is—                  

(a)in a case falling within subsection (1)(a), the making of the decision that the duty to make such a reference applies;                  

(b)in a case falling within subsection (1)(b), the acceptance of the undertaking;                  

(c)in a case falling within subsection (1)(c), the making of the decision not to make the reference;                  

(d)in a case falling within subsection (1)(d), the expiry of the initial period;                  

(e)in a case falling within subsection (1)(e), the expiry of the preliminary assessment period;                  

(f)in a case falling within subsection (1)(f), the expiry of the period in question.                  

(3)For the purpose of section 110A(7), the Secretary of State finally decides whether to make a reference under section 45 or                           62 if—                  

(a)the Secretary of State makes such a reference;                  

(b)the Secretary of State accepts an undertaking under paragraph 3 of Schedule 7;                  

(c)the Secretary of State decides not to make such a reference (otherwise than because of the acceptance of an undertaking under                           paragraph 3 of Schedule 7);                  

(d)the preliminary assessment period for the purposes of section 46A expires without the CMA having complied with the duty under                           subsection (2) of that section.                  

(4)For the purpose of section 110A(7), the time when the Secretary of State finally decides whether to make a reference under                           section 45 or 62 is—                  

(a)in a case falling within subsection (3)(a), the making of the reference;                  

(b)in a case falling within subsection (3)(b), the acceptance of the undertaking;                  

(c)in a case falling within subsection (3)(c), the making of the decision not to make the reference;                  

(d)in a case falling within subsection (3)(d), the expiry of the preliminary assessment period.                  

(5)Paragraph 7(8) to (10) of Schedule 7 applies for deciding if and when a reference under section 45(2) or (3) or 62(2) is finally                           determined for the purpose of section 110A(8) as it applies for deciding those questions for the purpose of paragraph 7 of                           Schedule 7.                  

(6)Paragraph 8(7) to (9) of Schedule 7 applies for deciding if and when a reference under section 45(4) or (5) or 62(3) is finally                           determined for the purpose of section 110A(8) as it applies for deciding those questions for the purpose of the definition                           of “relevant period” in paragraph 8(6) of that Schedule.”                  

(12)In section 111 (penalties), in subsection (5)(b)—                  

(a)in sub-paragraph (i), omit “or (as the case may be) the obstruction or delay is removed”, and                  

(b)in sub-paragraph (ii), for the words from “the day” to the end of the sub-paragraph substitute “ the day which is the relevant day in the case in question for the purposes of section 110A ”.                  

Commencement Information

I23S. 29 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

#### Interim measuresU.K.

##### 30Interim measures: pre-emptive action: mergersU.K.

(1)Omit section 71 of the 2002 Act (initial undertakings: completed mergers).                  

(2)Section 72 of that Act (initial enforcement orders: completed mergers) is amended as follows.                  

(3)For subsection (1) substitute—                  

“(1)Subsection (2) applies where—                  

(a)the CMA is considering whether to make a reference under section 22 or 33; and                  

(b)the CMA has reasonable grounds for suspecting that it is or may be the case that two or more enterprises have ceased to be                           distinct or that arrangements are in progress or in contemplation which, if carried into effect, will result in two or more                           enterprises ceasing to be distinct.”                  

(4)Omit subsection (3).                  

(5)Before subsection (4) insert—                  

“(3A)Subsection (3B) applies where—                  

(a)subsection (1)(a) and (b) applies; and                  

(b)the CMA also has reasonable grounds for suspecting that pre-emptive action has or may have been taken.                  

(3B)The CMA may by order, for the purpose of restoring the position to what it would have been had the pre-emptive action not                           been taken or otherwise for the purpose of mitigating its effects—                  

(a)do anything mentioned in subsection (2)(b) to (d);                  

(b)impose such other obligations, prohibitions or restrictions as it considers appropriate for that purpose.”                  

(6)After subsection (3B) insert—                  

“(3C)A person may, with the consent of the CMA, take action or action of a particular description where the action would otherwise                           constitute a contravention of an order under this section.”                  

(7)In subsection (6), in each of paragraphs (a) and (d), after “section 22” insert “ or 33 ”.                  

(8)After subsection (7) insert—                  

“(8)In this section “pre-emptive action” means action which might prejudice the reference concerned or impede the taking of any action under this Part which may                           be justified by the CMA's decisions on the reference.”                  

(9)In the heading for “completed mergers” substitute “ completed or anticipated mergers ”.                  

(10)Schedule 7 (which makes further provision about interim measures under Part 3 of the 2002 Act) has effect.                  

Commencement Information

I24S. 30 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

##### 31Interim measures: financial penalties: mergersU.K.

(1)After section 94 of the 2002 Act (rights to enforce undertakings and orders under Part 3) insert—                  

###### “94AInterim undertakings and orders under this Part: penalties

(1)Where the appropriate authority considers that a person has, without reasonable excuse, failed to comply with an interim measure,                           it may impose a penalty of such fixed amount as it considers appropriate.                  

(2)A penalty imposed under subsection (1) shall not exceed 5% of the total value of the turnover (both in and outside the United                           Kingdom) of the enterprises owned or controlled by the person on whom it is imposed.                  

(3)For the purposes of subsection (2), the Secretary of State may by order make provision for determining—                  

(a)when an enterprise is to be treated as controlled by a person; and                  

(b)the turnover (both in and outside the United Kingdom) of an enterprise.                  

(4)An order under subsection (3)(b) may, in particular, make provision as to—                  

(a)the amounts which are, or which are not, to be treated as comprising an enterprise's turnover;                  

(b)the date or dates by reference to which an enterprise's turnover is to be determined.                  

(5)An order under subsection (3) may, in particular, make provision enabling the appropriate authority to determine matters of                           a description specified in the order (including any of the matters mentioned in paragraphs (a) and (b) of subsection (4)).                  

(6)The Secretary of State may by order amend subsection (2) so as to alter the percentage for the time being mentioned there                           to any percentage not exceeding 5%.                  

(7)Sections 112 to 115 apply in relation to a penalty imposed under subsection (1) as they apply in relation to a penalty of                           a fixed amount imposed under section 110(1), with the modification that any reference in those provisions to the CMA is to                           be read as a reference to the person who imposed the penalty under this section.                  

(8)In this section—                  
          -  “interim measure” means—                          (a)
an undertaking under section 80; or                                 
(b)
an order under section 72 or 81 or paragraph 2 of Schedule 7;                                 
 
          -  “appropriate authority” means—                          (a)
in relation to an interim measure which is an order made by the Secretary of State under paragraph 2 of Schedule 7, the Secretary                                       of State;                                 
(b)
in relation to any other interim measure, the CMA.                                 
 

###### 94BStatement of policy in relation to powers under sections 94 and 94A

(1)The CMA shall prepare and publish a statement of policy in relation to the use of its powers under—                  

(a)section 94, insofar as they relate to interim measures; and                  

(b)section 94A.                  

(2)The CMA shall, in particular, include a statement about the considerations relevant to the determination of the amount of                           any penalty imposed under section 94A.                  

(3)The CMA may revise its statement of policy and, where it does so, it shall publish the revised statement.                  

(4)The CMA shall consult the Secretary of State and such other persons as it considers appropriate when preparing or revising                           its statement of policy.                  

(5)A statement or revised statement of policy may not be published under this section unless the Secretary of State approves                           the statement.                  

(6)In this section, “interim measure” has the same meaning as in section 94A.”                  

(2)In section 120 of that Act (review of decisions under Part 3), in subsection (2)(a), for “section 110(1) or (3)” substitute                        “ section 94A(1) or 110(1) or (3) ”.                  

(3)In section 124 of that Act (orders and regulations under Part 3)—                  

(a)in subsection (4), before “or 102” insert “ , 94A(6) ”, and                  

(b)in subsection (5), before “111(4) or (6),” insert “ 94A(3) or (6), ”.                  

Commencement Information

I25S. 31 partly in force; s. 31 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I26S. 31 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

#### Time-limitsU.K.

##### 32Time-limits etc: mergersU.K.

(1)In section 103 of the 2002 Act (duty of expedition in relation to references), in subsection (1), for the words from the beginning                        to “the OFT” substitute “ In making any decision for the purposes of its functions of making and determining references under this Part, the CMA ”.                  

(2)Schedule 8 (which makes provision about time-limits in relation to the mergers reference regime under Part 3 of the 2002 Act)                        has effect.                  

Commencement Information

I27S. 32 partly in force; s. 32 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I28S. 32 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

### CHAPTER 2U.K.Markets

#### Cross-market investigationsU.K.

##### 33Power of CMA to make cross-market referencesU.K.

(1)Section 131 of the 2002 Act (power to make market investigation references) is amended as follows.                  

(2)After subsection (2) insert—                  

“(2A)In a case where the feature or each of the features concerned falls within subsection (2)(b) or (c), a reference under subsection                           (1) may be made in relation to more than one market in the United Kingdom for goods or services.”                  

(3)In subsection (4)(a), for “section 156(1)” substitute “ section 156(A1) or (1) ”.                  

(4)In subsection (6)—                  

(a)before the definition of “market in the United Kingdom” insert—                  

““cross-market reference” means a reference under this section which falls within subsection (2A) or a reference under section 132 which falls within                        subsection (3A) of that section (and see section 140A);”, and                  

(b)after the definition of “market investigation reference” insert—                  

““ordinary reference” means a reference under this section or section 132 which is not a cross-market reference (and see section 140A);”.                  

Commencement Information

I29S. 33 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

##### 34Ministerial power to make cross-market referencesU.K.

(1)Section 132 of the 2002 Act (ministerial power to make market investigation references) is amended as follows.                  

(2)After subsection (3) insert—                  

“(3A)In a case where the feature or each of the features concerned falls within section 131(2)(b) or (c), a reference under subsection                           (3) may be made in relation to more than one market in the United Kingdom for goods or services.”                  

(3)In subsection (4), for “section 156(1)” substitute “ section 156(A1) or (1) ”.                  

(4)Schedule 9 (which contains amendments of Part 4 of the 2002 Act which are consequential on section 33 and this section) has                        effect.                  

Commencement Information

I30S. 34 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

#### Public interest interventionsU.K.

##### 35Public interest interventions in markets investigationsU.K.

(1)Part 4 of the 2002 Act (market investigations) is amended as follows.                  

(2)Section 139 (power of Secretary of State to give public interest intervention notices) is amended as follows.                  

(3)For subsection (1) substitute—                  

“(A1)This section applies where—                  

(a)the CMA has published a market study notice in relation to a matter; or                  

(b)the CMA has begun the process of consultation under section 169 in respect of a decision of the kind mentioned in subsection                           (6)(a)(i) of that section.                  

(1)The Secretary of State may, within the permitted period, give a notice to the CMA if the Secretary of State believes that                           it is or may be the case that one or more than one public interest consideration is relevant to the matter.                  

(1A)For the purposes of subsection (1), the permitted period, in a case to which this section applies by virtue of paragraph (a)                           of subsection (A1), is the period beginning with the publication of the market study notice and ending with—                  

(a)the acceptance by the CMA of an undertaking under section 154 instead of the making of a reference under section 131 in relation                           to the matter;                  

(b)the publication of notice of the fact that the CMA has otherwise decided not to make such a reference in relation to the matter;                  

(c)the making of such a reference in relation to the matter; or                  

(d)in a case where the period permitted by section 131B for the preparation and publication by the CMA of the market study report                           in relation to the matter has expired and no such report has been prepared or published, the end of that period.                  

(1B)For the purposes of subsection (1), the permitted period, in a case to which this section applies by virtue of paragraph (b)                           of subsection (A1), is the period beginning with the date on which the CMA begins the process of consultation concerned and                           ending with—                  

(a)the acceptance by the CMA of an undertaking under section 154 instead of the making of a reference under section 131 in relation                           to the matter concerned;                  

(b)the publication of notice of the fact that the CMA has otherwise decided not to make such a reference in relation to the matter;                           or                  

(c)the making of such a reference in relation to the matter.”                  

(4)In subsection (2)—                  

(a)in the words before paragraph (a), after “may” insert “ , within the permitted period, ”,                  

(b)in paragraph (a)(i), after “131” insert “ in relation to the matter ”, and                  

(c)in paragraph (c), for “case” (in the second place where it occurs) substitute “ proposal to accept the undertaking ”.                  

(5)After subsection (2) insert—                  

“(2A)For the purposes of subsection (2), the permitted period is—                  

(a)where the CMA publishes a notice under section 155(1), the period within which representations may be made in relation to                           the proposed undertaking (as to which, see section 155(2)(f));                  

(b)where the CMA publishes a notice under section 155(4), the period within which representations may be made in relation to                           the proposed modifications to the proposed undertaking (as to which, see section 155(5)(c)).”                  

(6)For subsection (4) substitute—                  

“(4)No more than one intervention notice shall be given under subsection (1) in relation to the same matter.                  

(4A)An intervention notice shall not be given under subsection (2) in relation to a proposal to accept an undertaking if the proposal                           relates to a matter in respect of which an intervention notice under subsection (1) has already been given.                  

(4B)No more than one intervention notice shall be given under subsection (2) in relation to the same proposed undertaking or in                           relation to proposed undertakings which do not differ from each other in any material respect.”                  

(7)After subsection (4B) insert—                  

“(4C)In this section, a reference to the acceptance of an undertaking shall, in a case where the CMA has accepted a group of undertakings                           under section 154, be treated as a reference to the acceptance of the last undertaking in the group; but undertakings which                           vary, supersede or revoke earlier undertakings shall be disregarded for the purposes of this section.”                  

(8)After section 140 insert—                  

###### “140ASection 139(1) intervention notices: Secretary of State's duty to refer

(1)This section applies where—                  

(a)the CMA has prepared a market study report in relation to a matter within the period permitted by section 131B(4);                  

(b)an intervention notice under section 139(1) is in force in relation to the matter at the time when the CMA would (but for                           this section) be required to publish the report; and                  

(c)the report contains the decision of the CMA that it should make an ordinary reference or a cross-market reference in relation                           to the matter under section 131.                  

(2)This section also applies where—                  

(a)the CMA has conducted a consultation under section 169 in respect of a decision of the kind mentioned in subsection (6)(a)(i)                           of that section;                  

(b)the CMA has decided that it should make an ordinary reference or a cross-market reference in relation to the matter concerned                           under section 131; and                  

(c)an intervention notice under section 139(1) is in force in relation to the matter at the time when the CMA makes that decision.                  

(3)The CMA—                  

(a)shall not exercise the power under section 131 to refer the matter;                  

(b)in a case falling within subsection (1), shall not publish the market study report under section 131B(4) and shall instead,                           within the period mentioned in section 131B(4), give the report to the Secretary of State; and                  

(c)in a case falling within subsection (2), shall give to the Secretary of State a document containing—                  

(i)its decision and the reasons for its decision; and                  

(ii)such information as the CMA considers appropriate for facilitating a proper understanding of the reasons for its decision.                  

(4)The Secretary of State shall decide whether any public interest consideration which was mentioned in the intervention notice                           is relevant to the matter in question.                  

(5)Where the Secretary of State decides that there is no relevant public interest consideration—                  

(a)the Secretary of State shall (in accordance with the CMA's decision) make a reference in relation to the matter to the chair                           of the CMA for the constitution of a group under Schedule 4 to the Enterprise and Regulatory Reform Act 2013; and                  

(b)the reference is to be treated for the purposes of this Part as an ordinary reference or (as the case may be) a cross-market                           reference made under section 131 in accordance with the requirements imposed by this Part.                  

(6)Where the Secretary of State decides that there is one or more than one relevant public interest consideration, the Secretary                           of State shall (in accordance with the CMA's decision) make a reference in relation to the matter to the chair of the CMA                           for the constitution of a group under Schedule 4 to the Enterprise and Regulatory Reform Act 2013.                  

(7)The Secretary of State shall specify in a reference made under subsection (6)—                  

(a)the relevant public interest consideration or considerations; and                  

(b)whether the reference is a restricted PI reference or a full PI reference (as to which, see sections 141 and 141A respectively).                  

(8)Where the Secretary of State makes a full PI reference under subsection (6), the reference shall also specify whether the                           Secretary of State proposes to appoint a public interest expert under section 141B.                  

(9)For the purposes of this Part, a reference under subsection (6) is to be treated—                  

(a)in a case where the decision of the CMA was that it should make an ordinary reference, as an ordinary reference;                  

(b)in a case where the decision of the CMA was that it should make a cross-market reference, as a cross-market reference.                  

(10)In a case falling within subsection (1), the Secretary of State shall publish the market study report concerned at the same                           time as the Secretary of State makes a reference under this section.                  

(11)In a case falling within subsection (2), the Secretary of State shall publish the document given to the Secretary of State                           by the CMA under subsection (3)(c), at the same time as the Secretary of State makes a reference under this section.                  

(12)In this Part—                  
          -  “full PI reference” means a reference made by the Secretary of State under subsection (6) which specifies that it is a full PI reference;                         
          -  “restricted PI reference” means a reference made by the Secretary of State under subsection (6) which specifies that it is a restricted PI reference.”                         

(9)After section 141 insert—                  

###### “141AFull PI references: questions to be decided by CMA

(1)This section applies where the Secretary of State makes a full PI reference.                  

(2)The CMA shall, on an ordinary reference, decide whether any feature, or combination of features, of each relevant market (within                           the meaning given by section 134(3)) prevents, restricts or distorts competition in connection with the supply or acquisition                           of any goods or services in the United Kingdom or a part of the United Kingdom.                  

(3)The CMA shall, on a cross-market reference, decide in relation to each feature and each combination of the features specified                           in the reference, whether the feature or combination of features, as it relates to goods or services of one or more than one                           of the descriptions so specified, prevents, restricts or distorts competition in connection with the supply or acquisition                           of any goods or services in the United Kingdom or a part of the United Kingdom.                  

(4)The CMA shall, if it has decided that there is an adverse effect on competition, decide whether, taking account only of any                           adverse effect on competition and the admissible public interest consideration or considerations concerned, any feature or                           combination of features which gave rise to an adverse effect on competition operates or may be expected to operate against                           the public interest.                  

(5)The CMA shall, if it has decided that any such feature or combination of features operates or may be expected to operate against                           the public interest, also decide separately the following additional questions—                  

(a)whether action should be taken by the Secretary of State under section 147A for the purpose of remedying, mitigating or preventing                           any of the effects adverse to the public interest concerned;                  

(b)whether the CMA should recommend the taking of other action by the Secretary of State, or action by persons other than itself                           and the Secretary of State, for the purpose of remedying, mitigating or preventing any of the effects adverse to the public                           interest concerned; and                  

(c)in either case, if action should be taken, what action should be taken and what is to be remedied, mitigated or prevented.                  

(6)The CMA shall, if it has decided that there is an adverse effect on competition, also decide separately the following questions                           (on the assumption that it is proceeding as mentioned in section 148A(2))—                  

(a)whether action should be taken by it under section 138 for the purpose of remedying, mitigating or preventing the adverse                           effect on competition concerned or any detrimental effect on customers so far as it has resulted from, or may be expected                           to result from, the adverse effect on competition;                  

(b)whether the CMA should recommend the taking of action by other persons for the purpose of remedying, mitigating or preventing                           the adverse effect on competition concerned or any detrimental effect on customers so far as it has resulted from, or may                           be expected to result from, the adverse effect on competition; and                  

(c)in either case, if action should be taken, what action should be taken and what is to be remedied, mitigated or prevented.                  

(7)In a case where the Secretary of State has appointed a public interest expert under section 141B in relation to a full PI                           reference, the CMA shall, in deciding the questions mentioned in subsections (4) and (5), have regard, in particular, to the                           views of the expert.                  

(8)In deciding the questions mentioned in subsection (5), the CMA shall, in particular, have regard to—                  

(a)the need to achieve as comprehensive a solution as is reasonable and practicable to the effects adverse to the public interest                           concerned; and                  

(b)any detrimental effects on customers so far as resulting from those effects.                  

(9)In deciding the questions mentioned in subsection (6), the CMA shall, in particular, have regard to—                  

(a)the need to achieve as comprehensive a solution as is reasonable and practicable to the adverse effect on competition concerned;                           and                  

(b)any detrimental effects on customers so far as resulting from it.                  

(10)In deciding the questions mentioned in subsections (5) and (6), the CMA may, in particular, have regard to the effect of any                           action on any relevant customer benefits of the feature or features of the market or markets concerned.                  

(11)In this section, “admissible public interest consideration” means any public interest consideration specified in the reference concerned and which the CMA is not under a duty to disregard.                  

###### 141BFull PI references: power of Secretary of State to appoint expert

(1)This section applies where the Secretary of State makes a full PI reference.                  

(2)The Secretary of State may appoint one or more than one person to advise the CMA on the questions mentioned in subsections                           (4) and (5) of section 141A in relation to the reference.                  

(3)A person so appointed shall be a person who appears to the Secretary of State to have particular knowledge of, or expertise                           in, matters relating to a public interest consideration specified in the reference.                  

(4)Each person so appointed is referred to in this Part as a “public interest expert”.                  

(5)The terms and conditions of appointment of a public interest expert (including, in particular, as to remuneration) are to                           be determined by the Secretary of State.                  

(6)Any appointment of a public interest expert under this section shall be made within the period of 2 months beginning with                           the date of the reference concerned.                  

(7)Before appointing a public interest expert the Secretary of State shall consult the chair of the CMA.”                  

(10)Schedule 10 (which contains amendments of Part 4 of the 2002 Act which are consequential on or otherwise related to this section)                        has effect.                  

Commencement Information

I31S. 35 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

#### Investigation powersU.K.

##### 36Investigation powers: marketsU.K.

(1)Section 174 of the 2002 Act (investigation powers) is amended as follows.                  

(2)For subsections (1) and (2) substitute—                  

“(1)For the purposes of this section, the permitted purposes are the following—                  

(a)assisting the CMA in carrying out its functions under section 5 in relation to a matter in a case where it has published a                           market study notice;                  

(b)assisting the CMA in carrying out any functions, including enforcement functions, exercisable by it under or by virtue of                           this Part in connection with a matter that is or has been the subject of a reference under section 131 or 132 or possible                           reference under section 131;                  

(c)assisting the CMA or the Secretary of State in carrying out any functions, including enforcement functions, of the CMA or                           (as the case may be) the Secretary of State under or by virtue of this Part in connection with a matter that is or has been                           the subject of a reference under section 140A(6) or possible reference under section 140A(5) or (6).                  

(2)The CMA may exercise any of the powers in subsections (3) to (5) for a permitted purpose.”                  

(3)In subsection (6), after “shall” insert “—                   

(a)specify the permitted purpose for which the notice is given, including the function or functions in question; and                  

(b)”.

(4)After subsection (6) insert—                  

“(6A)The CMA or any person nominated by it for the purpose may, for a permitted purpose, take evidence on oath and for that purpose                           may administer oaths.”                  

(5)In subsection (7), for “the purpose mentioned in subsection (1)” substitute “ a permitted purpose ”.                  

(6)After subsection (9) insert—                  

“(9A)In subsection (1), “enforcement functions” means—                  

(a)in relation to the CMA—                  

(i)functions conferred by virtue of section 164(2)(b) on the CMA by enforcement orders;                  

(ii)functions of the CMA in relation to the variation, supersession or release of enforcement undertakings or the variation or                           revocation of enforcement orders;                  

(iii)functions of the CMA under or by virtue of section 160 or 162 in relation to enforcement undertakings or enforcement orders;                  

(b)in relation to the Secretary of State—                  

(i)functions conferred by virtue of section 164(2)(b) on the Secretary of State by enforcement orders;                  

(ii)functions of the Secretary of State in relation to the variation, supersession or release of enforcement undertakings or the                           variation or revocation of enforcement orders;                  

(iii)functions of the Secretary of State under or by virtue of section 160 in relation to enforcement undertakings or enforcement                           orders.”                  

(7)For the heading substitute “ Attendance of witnesses and production of documents etc. ”.                  

(8)Schedule 11 (which makes provision about the enforcement of the powers under section 174 of the 2002 Act, as amended by this                        section, and which makes consequential amendments of that Act) has effect.                  

Commencement Information

I32S. 36 partly in force; s. 36 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I33S. 36 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

#### Interim measuresU.K.

##### 37Interim measures: pre-emptive action: marketsU.K.

(1)Part 4 of the 2002 Act (market investigations) is amended as follows.                  

(2)In section 157 (interim undertakings: Part 4), after subsection (2) insert—                  

“(2A)Subsection (2B) applies where—                  

(a)subsection (1)(a) to (c) applies; and                  

(b)the relevant authority has reasonable grounds for suspecting that pre-emptive action has or may have been taken.                  

(2B)The relevant authority may, for the purpose of restoring the position to what it would have been had the pre-emptive action                           not been taken or otherwise for the purpose of mitigating its effects, accept, from such persons as the relevant authority                           considers appropriate, undertakings to take such action as the relevant authority considers appropriate.”                  

(3)After subsection (2B) of that section insert—                  

“(2C)A person may, with the consent of the relevant authority, take action of a particular description where the action would otherwise                           constitute a contravention of an undertaking accepted under this section.”                  

(4)In section 158 (interim orders: Part 4), after subsection (2) insert—                  

“(2A)Subsection (2B) applies where—                  

(a)subsection (1)(a) to (c) applies; and                  

(b)the relevant authority has reasonable grounds for suspecting that pre-emptive action has or may have been taken.                  

(2B)The relevant authority may by order, for the purpose of restoring the position to what it would have been had the pre-emptive                           action not been taken or otherwise for the purpose of mitigating its effects—                  

(a)do anything mentioned in subsection (2)(b) to (d);                  

(b)impose such other obligations, prohibitions or restrictions as it considers appropriate for that purpose.”                  

(5)After subsection (2B) of that section insert—                  

“(2C)A person may, with the consent of the relevant authority, take action of a particular description where the action would otherwise                           constitute a contravention of an order under this section.”                  

Commencement Information

I34S. 37 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

#### Time-limits and procedureU.K.

##### 38Market studies and market investigations: consultation and time-limitsU.K.

Schedule 12 (which makes provision about consultation in relation to decisions whether to make a market investigation reference                     and about time-limits in relation to the conduct of market studies and the markets investigation reference regime under Part                     4 of the 2002 Act) has effect.                  

Commencement Information

I35S. 38 partly in force; s. 38 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I36S. 38 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

### CHAPTER 3U.K.Anti-trust

#### Investigation powersU.K.

##### 39Investigations: power to ask questionsU.K.

(1)Part 1 of the Competition Act 1998 (“the 1998 Act”) (competition) is amended as follows.                  

(2)After section 26 (powers when conducting investigations) insert—                  

###### “26AInvestigations: power to ask questions

(1)For the purposes of an investigation, the CMA may give notice to an individual who has a connection with a relevant undertaking                           requiring the individual to answer questions with respect to any matter relevant to the investigation—                  

(a)at a place 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 each 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 indicate—                  

(a)the subject matter and purpose of the investigation, and                  

(b)the nature of the offence created by section 44.                  

(6)For the purposes of this section—                  

(a)an individual has a connection with an undertaking if he or she is or was—                  

(i)concerned in the management or control of the undertaking, or                  

(ii)employed by, or otherwise working for, the undertaking, and                  

(b)an individual has a current connection with an undertaking if, at the time in question, he or she is so concerned, is so employed                           or is so otherwise working.                  

(7)In this section, a “relevant undertaking” means an undertaking whose activities are being investigated as part of the investigation in question.”                  

(3)For the heading of section 26 substitute “ Investigations: powers to require documents and information ”.                  

(4)Section 30A (use of statements in prosecution) is amended as follows.                  

(5)The existing text becomes subsection (1).                  

(6)In subsection (1), for “26 to 28A” substitute “ 26 and 27 to 28A ”.                  

(7)After that subsection insert—                  

“(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.”                  

Commencement Information

I37S. 39 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

##### 40Civil enforcement of investigation powersU.K.

(1)Part 1 of the 1998 Act (competition) is amended as follows.                  

(2)After section 40 insert—                  

###### “Civil sanctionsU.K.

###### 40APenalties: failure to comply with requirements

(1)Where the CMA considers that a person has, without reasonable excuse, failed to comply with a requirement imposed on the person                           under section 26, 26A, 27, 28 or 28A, it may impose a penalty of such amount as it considers appropriate.                  

(2)The amount 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.                  

(3)A penalty imposed under subsection (1) must not—                  

(a)in the case of a fixed amount, exceed such amount as the Secretary of State may by order specify;                  

(b)in the case of an amount calculated by reference to a daily rate, exceed such amount per day as the Secretary of State may                           so specify;                  

(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 as the Secretary of State may so specify.                  

(4)The fixed amount specified for the purposes of subsection (3)(a) or (c) may not exceed £30,000.                  

(5)The amount per day specified for the purposes of subsection (3)(b) or (c) may not exceed £15,000.                  

(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 notice under section 112 of the Enterprise Act 2002 (as applied                           by subsection (9)) 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.                  

(8)Before making an order under subsection (3), the Secretary of State must consult the CMA and such other persons as the Secretary                           of State considers appropriate.                  

(9)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) of that Act.                  

###### 40BStatement of policy on penalties

(1)The CMA must prepare and publish a statement of policy in relation to the use of its powers under section 40A.                  

(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 40A.                  

(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 such 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)In deciding whether and, if so, how to proceed under section 40A, the CMA must have regard to the statement of policy which                           was most recently published under this section at the time when the failure concerned occurred.”                  

(3)Section 38 (guidance about appropriate level of penalties under section 36) is amended as follows.                  

(4)In subsection (1), after “under this Part” insert “ in respect of an infringement of the Chapter 1 prohibition, the Chapter 2 prohibition, the prohibition in Article 81(1)                           or the prohibition in Article 82 ”.                  

(5)In subsection (1A), for “a penalty under this Part” substitute “ such a penalty ”.                  

(6)In subsection (8), after “under this Part” insert “ in respect of an infringement of a kind mentioned in subsection (1) ”.                  

(7)Section 42 (offences of failure to comply with requirements imposed in investigations and obstruction) is amended as follows.                  

(8)Omit subsections (1) to (4).                  

(9)In subsection (6), omit “(1) or”.                  

Commencement Information

I38S. 40 partly in force; s. 40 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I39S. 40 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

##### 41Extension of powers to issue warrants to CATU.K.

Schedule 13 (which amends the 1998 Act to extend the powers under that Act to issue warrants to the Competition Appeal Tribunal)                     has effect.                  

Commencement Information

I40S. 41 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

##### 42Part 1 of the 1998 Act: procedural mattersU.K.

(1)Part 1 of the 1998 Act (competition) is amended as follows.                  

(2)After section 25 (power to investigate) insert—                  

###### “25APower of CMA to publish notice of investigation

(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) to (7) 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.                  

(2)Section 57 does not apply to a notice under subsection (1) to the extent that it includes information other than information                           mentioned in that subsection.                  

(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.”                  

(3)Schedule 9 (examples of provision that may be made in rules) is amended as follows.                  

(4)After paragraph 1 insert—                  

###### “1A*“Delegation of functions*

(1)Rules may provide for the exercise of a function of the CMA under this Part on its behalf—                  

(a)by one or more members of the CMA Board (see Part 2 of Schedule 4 to the Enterprise and Regulatory Reform Act 2013);                  

(b)by one or more members of the CMA panel (see Part 3 of that Schedule to that Act);                  

(c)by one or more members of staff of the CMA;                  

(d)jointly by one or more of the persons mentioned in paragraph (a), (b) or (c).                  

(2)Sub-paragraph (1) does not apply in relation to any function prescribed in regulations made under section 7(1) of the Civil                           Aviation Act 1982 (power for Secretary of State to prescribe certain functions of the Civil Aviation Authority which must                           not be performed on its behalf by any other person).”                  

(5)After paragraph 13 insert—                  

###### “13A*“Oral hearings: procedure*

(1)Rules may make provision as to the procedure to be followed by the CMA in holding oral hearings as part of an investigation.                  

(2)Rules may, in particular, make provision as to the appointment of a person mentioned in sub-paragraph (3) who has not been                           involved in the investigation in question to—                  

(a)chair an oral hearing, and                  

(b)prepare a report following the hearing and give it to the person who is to exercise on behalf of the CMA its function of making                           a decision (within the meaning given by section 31(2)) as a result of the investigation.                  

(3)The persons are—                  

(a)a member of the CMA Board;                  

(b)a member of the CMA panel;                  

(c)a member of staff of the CMA.                  

(4)The report must—                  

(a)contain an assessment of the fairness of the procedure followed in holding the oral hearing, and                  

(b)identify any other concerns about the fairness of the procedure followed in the investigation which have been brought to the                           attention of the person preparing the report.”                  

(6)After paragraph 13A insert—                  

###### “13B*“Procedural complaints*

(1)Rules may make provision as to arrangements to be made by the CMA for dealing with complaints about the conduct by the CMA                           of an investigation.                  

(2)Rules may, in particular, make provision as to—                  

(a)the appointment of a person mentioned in sub-paragraph (3) who has not been involved in the investigation in question to consider                           any such complaint;                  

(b)the time-table for the consideration of any such complaint.                  

(3)The persons are—                  

(a)a member of the CMA Board;                  

(b)a member of the CMA panel;                  

(c)a member of staff of the CMA.”                  

(7)After paragraph 13B insert—                  

###### “13C*“Settling cases*

“13CRules may make provision as to the procedure to be followed in a case where, during an investigation, one or more persons                           notify the CMA that they accept that there has been an infringement of a kind to which the investigation relates.”                  

Commencement Information

I41S. 42 partly in force; s. 42 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I42S. 42 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

#### Interim measures and other sanctionsU.K.

##### 43Threshold for interim measuresU.K.

In section 35 of the 1998 Act (interim measures), in subsection (2)(a), for “serious, irreparable damage” substitute “ significant damage ”.                  

Commencement Information

I43S. 43 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

##### 44Penalties: guidance etc.U.K.

(1)Part 1 of the 1998 Act (competition) is amended as follows.                  

(2)In section 36 (penalties), after subsection (7) insert—                  

“(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 or the prohibition in Article 81(1), or                  

(ii)engaging in conduct which infringes the Chapter 2 prohibition or the prohibition in Article 82.”                  

(3)In section 38 (guidance on level of penalties), in subsection (8), before “must have regard” insert “ and the Tribunal ”.                  

Commencement Information

I44S. 44 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

#### MiscellaneousU.K.

##### 45Power for Secretary of State to impose time-limits on investigations etc.U.K.

After section 31E of the 1998 Act insert—

###### “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.”                  

Commencement Information

I45S. 45 partly in force; s. 45 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I46S. 45 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

##### 46Review of operation of Part 1 of 1998 ActU.K.

(1)The Secretary of State must—                  

(a)review the operation of Part 1 of the 1998 Act, and                  

(b)prepare and publish a report on the outcome of the review.                  

(2)The report must be published before the end of the period of 5 years beginning with the day on which Part 1 of Schedule 5                        (which transfers the functions of the Office of Fair Trading under Part 1 of the 1998 Act to the Competition and Markets Authority)                        comes into force.                  

(3)The Secretary of State must lay the report before Parliament.                  

Commencement Information

I47S. 46 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

### CHAPTER 4U.K.Cartels

#### 47Cartel offenceU.K.

(1)Section 188 of the 2002 Act (cartel offence) is amended as follows.                  

(2)In subsection (1), omit “dishonestly”.                  

(3)Omit subsection (6).                  

(4)After subsection (7) insert—                  

“(8)This section is subject to section 188A.”                  

(5)After that section insert—                  

##### “188ACircumstances in which cartel offence not committed

(1)An individual does not commit an offence under section 188(1) if, under the arrangements—                  

(a)in a case where the arrangements would (operating as the parties intend) affect the supply in the United Kingdom of a product                           or service, customers would be given relevant information about the arrangements before they enter into agreements for the                           supply to them of the product or service so affected,                  

(b)in the case of bid-rigging arrangements, the person requesting bids would be given relevant information about them at or before                           the time when a bid is made, or                  

(c)in any case, relevant information about the arrangements would be published, before the arrangements are implemented, in the                           manner specified at the time of the making of the agreement in an order made by the Secretary of State.                  

(2)In subsection (1), “relevant information” means—                  

(a)the names of the undertakings to which the arrangements relate,                  

(b)a description of the nature of the arrangements which is sufficient to show why they are or might be arrangements of the kind                           to which section 188(1) applies,                  

(c)the products or services to which they relate, and                  

(d)such other information as may be specified in an order made by the Secretary of State.                  

(3)An individual does not commit an offence under section 188(1) if the agreement is made in order to comply with a legal requirement.                  

(4)In subsection (3), “legal requirement” has the same meaning as in paragraph 5 of Schedule 3 to the Competition Act 1998.                  

(5)A power to make an order under this section—                  

(a)is exercisable by statutory instrument,                  

(b)may be exercised so as to make different provision for different cases or different purposes, and                  

(c)includes power to make such incidental, supplementary, consequential, transitory, transitional or saving provision as the                           Secretary of State considers appropriate.                  

(6)A statutory instrument containing an order under this section is subject to annulment in pursuance of a resolution of either                           House of Parliament.”                  

(6)After section 188A (as inserted by subsection (5) above) insert—                  

##### “188BDefences to commission of cartel offence

(1)In a case where the arrangements would (operating as the parties intend) affect the supply in the United Kingdom of a product                           or service, it is a defence for an individual charged with an offence under section 188(1) to show that, at the time of the                           making of the agreement, he or she did not intend that the nature of the arrangements would be concealed from customers at                           all times before they enter into agreements for the supply to them of the product or service.                  

(2)It is a defence for an individual charged with an offence under section 188(1) to show that, at the time of the making of                           the agreement, he or she did not intend that the nature of the arrangements would be concealed from the CMA.                  

(3)It is a defence for an individual charged with an offence under section 188(1) to show that, before the making of the agreement,                           he or she took reasonable steps to ensure that the nature of the arrangements would be disclosed to professional legal advisers                           for the purposes of obtaining advice about them before their making or (as the case may be) their implementation.”                  

(7)After section 190 of the 2002 Act insert—                  

##### “190ACartel offence: prosecution guidance

(1)The CMA must prepare and publish guidance on the principles to be applied in determining, in any case, whether proceedings                           for an offence under section 188(1) should be instituted.                  

(2)The CMA may at any time issue revised or new guidance.                  

(3)Guidance published by the CMA under this section is to be published in such manner as it considers appropriate.                  

(4)In preparing guidance under this section the CMA must consult—                  

(a)the Director of the Serious Fraud Office;                  

(b)the Lord Advocate; and                  

(c)such other persons as it considers appropriate.”                  

(8)The amendments made by subsections (1) to (6) apply only in relation to agreements falling within section 188(1) of the 2002                        Act which—                  

(a)are made after the commencement of this section, and                  

(b)relate to arrangements made or to be made after that commencement.                  

Commencement Information

I48S. 47 partly in force; s. 47 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I49S. 47 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

#### 48Extension of power to issue warrants to CATU.K.

(1)Section 194 of the 2002 Act (power to enter premises under a warrant) is amended as follows.                  

(2)In subsection (1), for the words from the beginning to “if he is satisfied” substitute “ On an application made to it by the CMA or, in Scotland, the procurator fiscal, the appropriate body may issue a warrant                           if it is satisfied ”.                  

(3)After subsection (1) insert—                  

“(1A)In subsection (1), “appropriate body” means—                  

(a)in England and Wales and Northern Ireland, the High Court or the Competition Appeal Tribunal;                  

(b)in Scotland, the sheriff.”                  

(4)After subsection (4) insert—                  

“(4A)An application for a warrant under this section must be made—                  

(a)in the case of an application to the High Court or the sheriff, in accordance with rules of court;                  

(b)in the case of an application to the Competition Appeal Tribunal, in accordance with rules made under section 15.”                  

(5)In Schedule 4 to that Act, before paragraph 11, but after the cross-heading immediately preceding it, insert—                  

##### 

“10A(1)Tribunal rules may make provision as to proceedings on an application for a warrant under section 194 of this Act or section                           28, 28A, 62, 62A, 63, 65G or 65H of the 1998 Act, including provision—                  

(a)for the Tribunal dealing with the proceedings to consist only of the President or a member of the panel of chairmen;                  

(b)as to the manner in which the proceedings are to be conducted, including provision—                  

(i)for such applications to be determined without a hearing;                  

(ii)in cases where there is a hearing, for it to be held in private if the Tribunal considers it appropriate because it is considering                           information of a kind mentioned in paragraph 1(2);                  

(c)as to the persons entitled to be heard in such proceedings (where there is a hearing);                  

(d)for requiring persons to attend to give evidence and produce documents, and for authorising the administration of oaths to                           witnesses;                  

(e)as to the evidence which may be required or admitted and the extent to which it should be oral or written;                  

(f)allowing the Tribunal to fix time-limits with respect to any aspect of the proceedings and to extend any time-limit (before                           or after its expiry).                  

(2)Paragraphs 2 to 8, and 11 to 17, of this Schedule do not apply in relation to the institution or conduct of proceedings for                           a warrant mentioned in sub-paragraph (1).”                  

(6)In section 14 of that Act (constitution of Tribunal for particular proceedings and its decisions), in subsection (5), for                        “paragraph 18” substitute “ paragraphs 10A(1)(a) and 18 ”.                  

Commencement Information

I50S. 48 partly in force; s. 48 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I51S. 48 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

### CHAPTER 5U.K.Miscellaneous

#### Enforcement orders: markets and mergersU.K.

##### 49Enforcement orders: monitoring compliance and determination of disputesU.K.

In Schedule 8 to the 2002 Act (provision that may be contained in certain enforcement orders made under Part 3 or 4 of that                     Act), after paragraph 20B insert—                  
*“Monitoring of compliance and determination of disputes*
20C(1)An order may provide for the appointment of one or more than one person (referred to in this paragraph as an “appointee”) by the relevant authority or by such other persons as may be specified or described in the order to—                  

(a)monitor compliance with such terms of the order as are so specified or described or terms of any directions given under the                           order;                  

(b)determine any dispute between persons who are subject to the order about what is required by any such terms.                  

(2)An order made by virtue of this paragraph must make provision as to the terms of an appointee's appointment.                  

(3)A determination made by virtue of an order under this paragraph is binding on—                  

(a)any person who is subject to the order;                  

(b)the relevant authority; and                  

(c)in the case where the relevant authority is the Secretary of State, the CMA.”                  

Commencement Information

I52S. 49 partly in force; s. 49 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I53S. 49 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

##### 50Enforcement orders: provision of informationU.K.

(1)Schedule 8 to the 2002 Act (provision that may be contained in certain enforcement orders made under Part 3 or 4 of that Act)                        is amended as follows.                  

(2)Omit paragraph 15 (publication etc. of price information).                  

(3)Paragraph 17 (publication etc. of other information) is amended as follows.                  

(4)In sub-paragraph (1)—                  

(a)in the words before paragraph (a), after “publish” insert “ or otherwise notify ”, and                  

(b)after paragraph (c) insert—                  

“(d)information in relation to prices of the goods or services supplied;                  

(e)such other information in relation to the goods or services supplied as the relevant authority considers appropriate.”                  

(5)After sub-paragraph (1) insert—                  

“(1A)An order may prohibit the publication or other notification of information falling within sub-paragraph (1)(a) to (e) by a                           person supplying goods or services.”                  

(6)In paragraph 18 (supplementary provision about orders under paragraphs 15 and 17), omit “15 or”.                  

Commencement Information

I54S. 50 partly in force; s. 50 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I55S. 50 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

#### ConcurrencyU.K.

##### 51Powers of sectoral regulatorsU.K.

(1)Section 54 of the 1998 Act (concurrent powers for regulators) is amended as follows.                  

(2)In subsection (6)—                  

(a)after “may” insert “—                   

(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)”, and

(b)after “Secretary of State” insert “ , the CMA ”.                  

(3)After subsection (6) insert—                  

“(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.”                  

(4)After subsection (6A) insert—                  

“(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.”                  

(5)Schedule 14 (which makes provision governing the relationship between the powers of regulators under the 1998 Act and those                        under sector-specific legislation) has effect.                  

Commencement Information

I56S. 51 partly in force; s. 51(1)-(4) in force for specified purposes at Royal Assent, see s. 103(1)(i)

I57S. 51(1)-(4) in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

I58S. 51(5) in force at 1.4.2014 for specified purposes by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

##### 52Power to remove concurrent competition functions of sectoral regulatorsU.K.

(1)The Secretary of State may make a sectoral regulator order if the Secretary of State considers that it is appropriate to do                        so for the purpose of promoting competition, within any market or markets in the United Kingdom, for the benefit of consumers.                  

(2)A sectoral regulator order is an order that amends one or more enactments so as to remove from a sectoral regulator either                        or both of the following—                  

(a)all the functions of the regulator under Part 1 of the 1998 Act that are exercisable concurrently by the regulator and the                        Competition and Markets Authority (“the CMA”) or that would be so exercisable but for provision made by virtue of section                        54(5)(e) of that Act;                  

(b)all the functions of the regulator under Part 4 of the 2002 Act that are exercisable concurrently by the regulator and the                        CMA.                  

(3)A sectoral regulator order may make such other amendments of any enactment as the Secretary of State considers appropriate                        in consequence of the removal of the functions.                  

(4)Each of the following is a sectoral regulator—                  

(a)the Office of Communications;                  

(b)the Gas and Electricity Markets Authority;                  

(c)the Water Services Regulation Authority;                  

(d)[F1the Office of Rail and Road] ;                  

(e)the Northern Ireland Authority for Utility Regulation;                  

(f)the Civil Aviation Authority.                  

[F2(g)the Payment Systems Regulator established under section 40 of the Financial Services (Banking Reform) Act 2013.]                  

[F3(h)the Financial Conduct Authority.]                  

(5)A sectoral regulator order may include transitional, transitory or saving provision.                  

(6)A statutory instrument containing a sectoral regulator order is not to be made unless a draft of the instrument has been laid                        before, and approved by a resolution of, each House of Parliament.                  

(7)In this section—                  
          -  “amend” includes repeal or revoke;                         
          -  “enactment” includes—                          (a)
an enactment contained in subordinate legislation (within the meaning of the Interpretation Act 1978),
(b)
an enactment contained in, or in an instrument made under, an Act of the Scottish Parliament,
(c)
an enactment contained in, or in an instrument made under, a Measure or Act of the National Assembly for Wales, and
(d)
an enactment contained in, or in an instrument made under, Northern Ireland legislation.
 

(8)The references to the CMA in subsection (2) are to be read, in relation to any time before the commencement of section 25(3),                        as references to the Office of Fair Trading.                  

Textual Amendments

F1Words in s. 52(4)(d) substituted (16.10.2015) by The Office of Rail Regulation (Change of Name) Regulations 2015 (S.I. 2015/1682), reg. 1(2), **Sch. para. 4(v)(i)**

F2S. 52(4)(g) inserted (1.4.2014) by Financial Services (Banking Reform) Act 2013 (c. 33), **ss. 67(4)**, 148(5); S.I. 2014/823, art. 2(g)

F3S. 52(4)(h) inserted (1.4.2015) by Financial Services (Banking Reform) Act 2013 (c. 33), s. 148(5), **Sch. 8 para. 11**; S.I. 2014/2458, art. 3(b)(v)

##### 53Orders under section 52: procedural requirementsU.K.

(1)If the Secretary of State proposes to make a sectoral regulator order, the Secretary of State must carry out the first stage                        consultation.                  

(2)The first stage consultation is consultation with—                  

(a)the regulator whose functions would be removed by the order,                  

(b)the Competition and Markets Authority,                  

(c)where the regulator is [F4the Office of Rail and Road] , the Scottish Ministers,                  

(d)where the regulator is the Northern Ireland Authority for Utility Regulation, the Department of Enterprise, Trade and Investment                        in Northern Ireland and the Department for Regional Development in Northern Ireland, and                  

(e)where the regulator is the Water Services Regulation Authority, the Welsh Ministers.                  

(3)If (following the first stage consultation) the Secretary of State still proposes to make a sectoral regulator order, the                        Secretary of State must carry out the second stage consultation.                  

(4)The second stage consultation is consultation with—                  

(a)the persons consulted at the first stage,                  

(b)any bodies who appear to the Secretary of State to represent the interests of persons in respect of whom the functions that                        would be removed by the order are exercisable (“regulated providers”),                  

(c)any bodies who appear to the Secretary of State to represent the interests of persons who use the services supplied by regulated                        providers, and                  

(d)such other persons as the Secretary of State considers appropriate.                  

(5)The Secretary of State must give the following information to each of the persons consulted as part of the first stage or                        second stage consultation—                  

(a)an explanation as to whether the Secretary of State is proposing to remove the functions of the regulator mentioned in subsection                        (2)(a) of section 52, the functions of the regulator mentioned in subsection (2)(b) of that section or both sets of functions;                  

(b)the reasons why the Secretary of State considers it appropriate to make the order.                  

(6)The reference to the Competition and Markets Authority in subsection (2) is to be read, in relation to any time before the                        commencement of section 25(3), as a reference to the Office of Fair Trading.                  

(7)In this section, “sectoral regulator order” has the same meaning as in section 52.                  

Textual Amendments

F4Words in s. 53(2)(c) substituted (16.10.2015) by The Office of Rail Regulation (Change of Name) Regulations 2015 (S.I. 2015/1682), reg. 1(2), **Sch. para. 4(v)(ii)**

#### MiscellaneousU.K.

##### 54Recovery of CMA's costs in respect of price control referencesU.K.

After section 193 of the Communications Act 2003 (reference of price control matters) insert—

###### “193ARecovery of CMA's costs in respect of price control references

(1)Where a determination is made on a price control matter referred by virtue of section 193, the CMA may make an order in respect                           of the costs incurred by it in connection with the reference (a “costs order”).                  

(2)A costs order may require the payment to the CMA of some or all of those costs by such parties to the appeal which gave rise                           to the reference, other than OFCOM, as the CMA considers appropriate.                  

(3)A costs order must—                  

(a)set out the total costs incurred by the CMA in connection with the reference, and                  

(b)specify the proportion of those costs to be paid by each party to the appeal in respect of whom the order is made.                  

(4)In deciding on the proportion of costs to be paid by a party to the appeal the CMA must, in particular, consider—                  

(a)the extent to which the determination on the reference upholds OFCOM's decision in relation to the price control matter in                           question,                  

(b)the extent to which the costs were attributable to the involvement in the appeal of the party, and                  

(c)the conduct of the party.                  

(5)A costs order—                  

(a)must be made as soon as reasonably practicable after the making of the determination on the reference, but                  

(b)does not take effect unless the Tribunal, in deciding the appeal which gave rise to the reference, decides the price control                           matter which is the subject of the reference in accordance with the determination of the CMA (see section 193(6)).                  

(6)In a case where the Tribunal decides the price control matter in question otherwise than as mentioned in subsection (5)(b),                           the CMA may make an order under this subsection in respect of the costs incurred by it in connection with the reference.                  

(7)Subsections (2) to (4) apply in relation to an order under subsection (6) as they apply in relation to an order under subsection                           (1); but for that purpose the reference in subsection (4)(a) to the determination on the reference is to be read as a reference                           to the decision of the Tribunal mentioned in subsection (6).                  

(8)An order under subsection (6) must be made as soon as reasonably practicable after the decision of the Tribunal mentioned                           in that subsection.                  

(9)An amount payable to the CMA by virtue of an order made under this section is recoverable summarily as a civil debt (but this                           does not affect any other method of recovery).                  

(10)The CMA must pay any sums it receives by virtue of this section into the Consolidated Fund.                  

(11)The functions of the CMA under this section, other than those under subsections (9) and (10), are to be carried out on behalf                           of the CMA by the group constituted by the chair of the CMA in relation to the reference in question.”                  

Commencement Information

I59S. 54 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

##### 55Disclosure etc. of information: offencesU.K.

In section 241 of the 2002 Act (disclosure of information for the purpose of exercise of statutory functions), after subsection                     (2) insert—                  

“(2A)Information disclosed under subsection (1) so that it is not made available to the public must not be used by the person to                           whom it is disclosed for any purpose other than that mentioned in subsection (1).”                  

Commencement Information

I60S. 55 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

##### 56Review of certain provisions of Chapters 1 and 2U.K.

(1)The Secretary of State must, before the end of each review period—                  

(a)carry out a review of the provisions of this Part mentioned in subsection (2), and                  

(b)prepare and publish a report setting out the conclusions of the review.                  

(2)The provisions of this Part are—                  

(a)sections 29 and 36 and Schedule 11 (investigation powers: mergers and markets),                  

(b)section 30 and Schedule 7 (interim measures and pre-emptive action: mergers), and                  

(c)sections 32 and 38 and Schedules 8 and 12 (time-limits etc: mergers and markets).                  

(3)The report must in particular—                  

(a)set out the objectives intended to be achieved by the provisions,                  

(b)assess the extent to which those objectives have been achieved, and                  

(c)assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved in another way which                        imposed less regulation.                  

(4)The Secretary of State must lay the report before Parliament.                  

(5)Each of the following is a review period for the purposes of this section—                  

(a)the period of 5 years beginning with the first day on which any of the provisions mentioned in subsection (2) comes into force                        (whether wholly or partly), and                  

(b)each successive period of 5 years.                  

Commencement Information

I61S. 56 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

##### 57Minor and consequential amendmentsU.K.

Schedule 15 (which makes minor and consequential amendments related to this Part) has effect.

Commencement Information

I62S. 57 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

##### 58InterpretationU.K.

In this Part—
          -  “the 1998 Act” means the Competition Act 1998;                         
          -  “the 2002 Act” means the Enterprise Act 2002.                         

Commencement Information

I63S. 58 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(b)** (with Sch.)

## **PART 5**U.K.Reduction of legislative burdens

### Sunset and reviewU.K.

#### 59Sunset and review provisionsU.K.

(1)The Interpretation Act 1978 is amended as follows.                  

(2)After section 14 (implied power to amend) insert—                  

##### “14APower to include sunset and review provisions in subordinate legislation

(1)This section applies where an Act confers a power or a duty on a person to make subordinate legislation except to the extent                           that—                  

(a)the power or duty is exercisable by the Scottish Ministers, or                  

(b)the power or duty is exercisable by any other person within devolved competence (within the meaning of the Scotland Act 1998).                  

(2)The subordinate legislation may include—                  

(a)provision requiring the person to review the effectiveness of the legislation within a specified period or at the end of a                           specified period;                  

(b)provision for the legislation to cease to have effect at the end of a specified day or a specified period;                  

(c)if the power or duty is being exercised to amend other subordinate legislation, provision of the kind mentioned in paragraph                           (a) or (b) in relation to that other legislation.                  

(3)The provision that may be made by virtue of subsection (2)(a) includes provision requiring the person to consider whether                           the objectives which it was the purpose of the legislation to achieve remain appropriate and, if so, whether they could be                           achieved in another way.                  

(4)Subordinate legislation including provision of a kind mentioned in subsection (2) may make such provision generally or only                           in relation to specified provisions of the legislation or specified cases or circumstances.                  

(5)Subordinate legislation including provision of a kind mentioned in subsection (2) may make transitional, consequential, incidental                           or supplementary provision or savings in connection with such provision.                  

(6)In this section, “specified” means specified in the subordinate legislation.”                  

(3)In paragraph 1 of Schedule 2, after the entry for section 11 insert— “ Section 14A ”.                  

### Heritage planning etcU.K.

#### 60Listed buildings in England: agreements and orders granting listed building consentE+W

(1)The Planning (Listed Buildings and Conservation Areas) Act 1990 is amended as follows.                  

(2)In Chapter 2 of Part 1, after section 26 insert—                  

##### “Buildings in England: heritage partnership agreementsE+W

###### 26AHeritage partnership agreements

(1)A relevant local planning authority may make an agreement under this section (a “heritage partnership agreement”) with any                           owner of a listed building, or a part of such a building, situated in England.                  

(2)Any of the following may also be a party to a heritage partnership agreement in addition to an owner and the relevant local                           planning authority—                  

(a)any other relevant local planning authority;                  

(b)the Secretary of State;                  

(c)the Commission;                  

(d)any person who has an interest in the listed building;                  

(e)any occupier of the listed building;                  

(f)any person involved in the management of the listed building;                  

(g)any other person who appears to the relevant local planning authority appropriate as having special knowledge of, or interest                           in, the listed building, or in buildings of architectural or historic interest more generally.                  

(3)A heritage partnership agreement may contain provision—                  

(a)granting listed building consent under section 8(1) in respect of specified works for the alteration or extension of the listed                           building to which the agreement relates, and                  

(b)specifying any conditions to which the consent is subject.                  

(4)The conditions to which listed building consent may be subject under subsection (3)(b) in respect of specified works are those                           that could be attached to listed building consent in respect of the works if consent were to be granted under section 16.                  

(5)If a heritage partnership agreement contains provision under subsection (3), nothing in sections 10 to 26 and 28 applies in                           relation to listed building consent for the specified works, subject to any regulations under section 26B(2)(f).                  

(6)A heritage partnership agreement may also—                  

(a)specify or describe works that would or would not, in the view of the parties to the agreement, affect the character of the                           listed building as a building of special architectural or historic interest;                  

(b)make provision about the maintenance and preservation of the listed building;                  

(c)make provision about the carrying out of specified work, or the doing of any specified thing, in relation to the listed building;                  

(d)provide for public access to the listed building and the provision to the public of associated facilities, information or                           services;                  

(e)restrict access to, or use of, the listed building;                  

(f)prohibit the doing of any specified thing in relation to the listed building;                  

(g)provide for a relevant public authority to make payments of specified amounts and on specified terms—                  

(i)for, or towards, the costs of any works provided for under the agreement; or                  

(ii)in consideration of any restriction, prohibition or obligation accepted by any other party to the agreement.                  

(7)For the purposes of subsection (6)(g), each of the following, if a party to the agreement, is a relevant public authority—                  

(a)the Secretary of State;                  

(b)the Commission;                  

(c)a relevant local planning authority.                  

(8)In this section “specified” means specified or described in the heritage partnership agreement.                  

(9)In this section and section 26B—                  
          -  “owner”, in relation to a listed building or a part of such a building, means a person who is for the time being —                          (a)
the estate owner in respect of the fee simple in the building or part; or                                 
(b)
entitled to a tenancy of the building or part granted or extended for a term of years certain of which not less than seven                                       years remain unexpired;                                 
 
          -  “relevant local planning authority”, in relation to a listed building, means a local planning authority in whose area the building or any part of the building                              is situated.                         

###### 26BHeritage partnership agreements: supplemental

(1)A heritage partnership agreement—                  

(a)must be in writing;                  

(b)must make provision for the parties to review its terms at intervals specified in the agreement;                  

(c)must make provision for its termination and variation;                  

(d)may relate to more than one listed building or part, provided that in each case a relevant local planning authority and an                           owner are parties to the agreement; and                  

(e)may contain incidental and consequential provisions.                  

(2)The Secretary of State may by regulations make provision—                  

(a)about any consultation that must take place before heritage partnership agreements are made or varied;                  

(b)about the publicity that must be given to heritage partnership agreements before or after they are made or varied;                  

(c)specifying terms that must be included in heritage partnership agreements;                  

(d)enabling the Secretary of State or any other person specified in the regulations to terminate by order a heritage partnership                           agreement or any provision of such an agreement;                  

(e)about the provision that may be included in an order made under regulations under paragraph (d), including provision enabling                           such orders to contain supplementary, incidental, transitory, transitional or saving provision;                  

(f)applying or reproducing, with or without modifications, any provision of sections 10 to 26 and 28 for the purposes of heritage                           partnership agreements;                  

(g)providing for any of the following, as they apply for the purposes of provisions mentioned in paragraph (f), to apply with                           any modifications consequential on provision made under that paragraph—                  

(i)sections 30 to 37;                  

(ii)sections 62 and 63;                  

(iii)Parts 3 and 4;                  

(iv)Schedule 3.                  

(3)Regulations made under subsection (2)(a) may, in particular, include provision as to—                  

(a)the circumstances in which consultation must take place;                  

(b)the types of listed building in respect of which consultation must take place;                  

(c)who must carry out the consultation;                  

(d)who must be consulted (including provision enabling the Commission to direct who is to be consulted in particular cases);                           and                  

(e)how the consultation must be carried out.                  

(4)Listed building consent granted by a heritage partnership agreement (except so far as the agreement or regulations under subsection                           (2) otherwise provide) enures for the benefit of the building and of all persons for the time being interested in it.                  

(5)Subject to subsection (4), a heritage partnership agreement cannot impose any obligation or liability, or confer any right,                           on a person who is not party to the agreement.                  

(6)Section 84 of the Law of Property Act 1925 (power to discharge or modify restrictive covenant) does not apply to a heritage                           partnership agreement.”                  

(3)After section 26B insert—                  

##### “Buildings in England: orders granting listed building consentE+W

###### 26CListed building consent orders

(1)The Secretary of State may by order (a “listed building consent order”) grant listed building consent under section 8(1) in                           respect of works of any description for the alteration or extension of listed buildings of any description in England.                  

(2)The consent may be granted subject to conditions specified in the order.                  

(3)Without prejudice to the generality of subsection (2), the conditions that may be specified include any conditions subject                           to which listed building consent may be granted under section 16.                  

(4)A listed building consent order may (without prejudice to section 17(2)) give the local planning authority power to require                           details of works to be approved by them, and may grant consent subject to conditions with respect to—                  

(a)the making of an application to the authority for a determination as to whether such approval is required, and                  

(b)the outcome of such an application or the way it is dealt with.                  

(5)A listed building consent order may enable the Secretary of State or the local planning authority to direct that consent granted                           by the order does not apply—                  

(a)to a listed building specified in the direction;                  

(b)to listed buildings of a description specified in the direction;                  

(c)to listed buildings in an area specified in the direction.                  

(6)An order may in particular make provision about the making, coming into force, variation and revocation of such a direction,                           including provision conferring powers on the Secretary of State in relation to directions by a local planning authority.                  

(7)Nothing in sections 10 to 26 applies in relation to listed building consent granted by a listed building consent order; but                           that does not affect the application of sections 20, 21 and 22 in relation to an application for approval required by a condition                           to which consent is subject.                  

###### 26DLocal listed building consent orders

(1)A local planning authority for any area in England may by order (a “local listed building consent order”) grant listed building                           consent under section 8(1) in respect of works of any description for the alteration or extension of listed buildings.                  

(2)Regulations under this Act may provide that subsection (1) does not apply to listed buildings of any description or in any                           area.                  

(3)The consent granted by a local listed building consent order may relate—                  

(a)to all listed buildings in the area of the authority or any part of that area;                  

(b)to listed buildings of any description in that area or any part of that area.                  

(4)The consent may be granted subject to conditions specified in the order.                  

(5)Without prejudice to the generality of subsection (4), the conditions that may be specified include any subject to which listed                           building consent may be granted under section 16.                  

(6)A local listed building consent order may enable the local planning authority to direct that the consent granted by the order                           in respect of works of any description does not apply—                  

(a)to a listed building specified in the direction;                  

(b)to listed buildings of a description specified in the direction;                  

(c)to listed buildings in an area specified in the direction.                  

(7)An order may in particular make provision about the making, coming into force, variation and revocation of such a direction,                           including provision conferring powers on the Secretary of State.                  

(8)Nothing in sections 10 to 26 applies in relation to listed building consent granted by a local listed building consent order;                           but that does not affect the application of sections 20, 21 and 22 in relation to an application for approval required by                           a condition to which consent is subject.                  

(9)Schedule 2A makes provision in connection with local listed building consent orders.                  

###### 26EPowers of Secretary of State in relation to local orders

(1)At any time before a local listed building consent order is adopted by a local planning authority the Secretary of State may                           direct that the order (or any part of it) is not to be adopted without the Secretary of State's approval.                  

(2)If the Secretary of State gives a direction under subsection (1)—                  

(a)the authority must not take any step in connection with the adoption of the order until they have submitted the order or the                           part to the Secretary of State and the Secretary of State has decided whether to approve it;                  

(b)the order has no effect unless it (or the part) has been approved by the Secretary of State.                  

(3)In considering an order or part submitted under subsection (2)(a) the Secretary of State may take account of any matter the                           Secretary of State thinks relevant.                  

(4)It is immaterial whether any such matter was taken account of by the local planning authority.                  

(5)The Secretary of State—                  

(a)may approve or reject an order or part of an order submitted under subsection (2)(a);                  

(b)must give reasons for that decision.                  

(6)The Secretary of State—                  

(a)may at any time before a local listed building consent order is adopted by the local planning authority, direct them to modify                           it in accordance with the direction;                  

(b)must give reasons for any such direction.                  

(7)The local planning authority—                  

(a)must comply with a direction under subsection (6);                  

(b)must not adopt the order unless the Secretary of State gives notice of being satisfied that they have complied with the direction.                  

(8)The Secretary of State—                  

(a)may at any time by order revoke a local listed building consent order if of the opinion that it is expedient to do so;                  

(b)must give reasons for doing so.                  

(9)The Secretary of State—                  

(a)must not make an order under subsection (8) without consulting the local planning authority;                  

(b)if proposing to make such an order, must serve notice on the local planning authority.                  

(10)A notice under subsection (9)(b) must specify the period (which must not be less than 28 days from the date of its service)                           within which the authority may require an opportunity of appearing before and being heard by a person appointed by the Secretary                           of State for the purpose.                  

(11)The Secretary of State must give the authority such an opportunity if they require it within the period specified in the notice.                  

###### 26FConsiderations in making orders

(1)In considering whether to make a listed building consent order or local listed building consent order the Secretary of State                           or local planning authority must have special regard to the desirability of preserving—                  

(a)listed buildings of a description to which the order applies,                  

(b)their setting, or                  

(c)any features of special architectural or historic interest which they possess.                  

(2)Before making a listed building consent order the Secretary of State must consult the Commission.                  

###### 26GEffect of revision or revocation of order on incomplete works

(1)A listed building consent order or local listed building consent order may include provision permitting the completion of                           works if—                  

(a)listed building consent is granted by the order in respect of the works, and                  

(b)the listed building consent is withdrawn after the works are started but before they are completed.                  

(2)Listed building consent granted by an order is withdrawn—                  

(a)if the order is revoked;                  

(b)if the order is varied or (in the case of a local listed building consent order) revised so that it ceases to grant listed                           building consent in respect of the works or materially changes any condition or limitation to which the grant of listed building                           consent is subject;                  

(c)if a direction applying to the listed building is issued under powers conferred under section 26C(5) or 26D(6).”                  

(4)After section 28 insert—                  

##### “28ACompensation where consent formerly granted by order is granted conditionally or refused

(1)Section 28 also has effect (subject to subsections (2) and (3)) where—                  

(a)listed building consent granted by a listed building consent order or a local listed building consent order is withdrawn (whether                           by the revocation or amendment of the order or by the issue of a direction), and                  

(b)on an application for listed building consent made within the prescribed period after the withdrawal, consent for works formerly                           authorised by the order is refused or is granted subject to conditions other than those imposed by the order.                  

(2)Section 28 does not have effect by virtue of subsection (1) if—                  

(a)the works authorised by the order were started before the withdrawal, and                  

(b)the order included provision in pursuance of section 26G permitting the works to be completed after the withdrawal.                  

(3)Section 28 does not have effect by virtue of subsection (1) if—                  

(a)notice of the withdrawal was published in the prescribed manner and within the prescribed period before the withdrawal, and                  

(b)the works authorised by the order were not started before the notice was published.                  

(4)Where section 28 has effect by virtue of subsection (1), references in section 28(2) and (3) to the revocation or modification                           of listed building consent are references to the withdrawal of the listed building consent by revocation or amendment of the                           order or by issue of the direction.”                  

(5)Schedule 16 (which inserts Schedule 2A to the Planning (Listed Buildings and Conservation Areas) Act 1990) has effect.                  

Commencement Information

I64S. 60 partly in force; s. 60 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I65S. 60 in force at 6.4.2014 in so far as not already in force by S.I. 2014/416, **art. 3(a)**

#### 61Listed buildings in England: certificates of lawfulnessE+W

In the Planning (Listed Buildings and Conservation Areas) Act 1990 after section 26G insert—

##### “Buildings in England: certificates of lawfulnessE+W

###### 26HCertificate of lawfulness of proposed works

(1)A person who wishes to ascertain whether proposed works for the alteration or extension of a listed building in England would                           be lawful may make an application to the local planning authority specifying the building and describing the works.                  

(2)For the purposes of this section works would be lawful if they would not affect the character of the listed building as a                           building of special architectural or historic interest.                  

(3)If on an application under this section the local planning authority are provided with information satisfying them that the                           works described in the application would be lawful at the time of the application, they must issue a certificate to that effect;                           and in any other case they must refuse the application.                  

(4)A certificate under this section must—                  

(a)specify the building to which it relates;                  

(b)describe the works concerned;                  

(c)give the reasons for determining that the works would be lawful; and                  

(d)specify the date of issue of the certificate.                  

(5)Works for which a certificate is issued under this section are to be conclusively presumed to be lawful, provided that—                  

(a)they are carried out within 10 years beginning with the date of issue of the certificate, and                  

(b)the certificate is not revoked under section 26I.                  

###### 26ICertificates under section 26H: supplementary

(1)An application for a certificate under section 26H must be made in such manner as may be prescribed by regulations under this                           Act.                  

(2)An application must include such particulars, and be verified by such evidence, as may be required—                  

(a)by the regulations,                  

(b)by any directions given under the regulations, or                  

(c)by the local planning authority.                  

(3)Regulations under this Act may make provision about how applications for a certificate under section 26H are to be dealt with                           by local planning authorities.                  

(4)In particular, regulations may provide for requiring the authority—                  

(a)to give to any applicant within a prescribed period such notice as may be prescribed as to the manner in which the application                           has been dealt with; and                  

(b)to give to the Secretary of State, and to such other persons as may be prescribed, prescribed information with respect to                           such applications made to the authority, including information as to the manner in which any application has been dealt with.                  

(5)A certificate under section 26H may be issued--                  

(a)for the whole or part of the listed building specified in the application; and                  

(b)for all or part of the works described in the application;                  

and must be in such form as may be prescribed.                  

(6)A local planning authority may revoke a certificate under section 26H if, on the application for the certificate—                  

(a)a statement was made or document used which was false in a material particular; or                  

(b)any material information was withheld.                  

(7)Regulations under this section may make provision for regulating the manner in which certificates may be revoked and the notice                           to be given of such revocation.                  

###### 26JOffences

(1)A person is guilty of an offence if, for the purpose of procuring a particular decision on an application (whether or not                           by that person) for the issue of a certificate under section 26H, the person—                  

(a)knowingly or recklessly makes a statement which is false or misleading in a material particular;                  

(b)with intent to deceive, uses any document which is false or misleading in a material particular; or                  

(c)with intent to deceive, withholds any material information.                  

(2)A person guilty of an offence under subsection (1) is liable—                  

(a)on summary conviction, to a fine not exceeding the statutory maximum; or                  

(b)on conviction on indictment, to imprisonment for a term not exceeding two years, or a fine, or both.                  

(3)Notwithstanding section 127 of the Magistrates' Courts Act 1980, a magistrates' court may try an information in respect of                           an offence under subsection (1) whenever laid.                  

###### 26KAppeals against refusal or failure to give decision on application

(1)Where an application is made to a local planning authority for a certificate under section 26H and—                  

(a)the application is refused or is refused in part, or                  

(b)the authority do not give notice to the applicant of their decision on the application within such period as may be prescribed                           under section 26I or within such extended period as may at any time be agreed in writing between the applicant and the authority,                  

the applicant may by notice appeal to the Secretary of State.                  

(2)A notice of appeal under this section—                  

(a)must be served within such time and in such manner as may be prescribed;                  

(b)must be accompanied by such information as may be prescribed.                  

(3)The time prescribed for the service of a notice of appeal under this section must not be less than—                  

(a)28 days from the date of notification of the decision on the application; or                  

(b)in the case of an appeal under subsection (1)(b), 28 days from—                  

(i)the end of the period prescribed as mentioned in subsection (1)(b), or                  

(ii)as the case may be, the extended period mentioned in subsection (1)(b).                  

(4)On an appeal under this section, the Secretary of State must grant the appellant a certificate under section 26H or, in the                           case of a refusal in part, modify the certificate granted by the authority on the application, if and so far as the Secretary                           of State is satisfied—                  

(a)in the case of an appeal under subsection (1)(a), that the authority's refusal is not well-founded, or                  

(b)in the case of an appeal under subsection (1)(b), that if the authority had refused the application their refusal would not                           have been well-founded.                  

(5)If and so far as the Secretary of State is satisfied that the authority's refusal is or, as the case may be, would have been                           well-founded, the Secretary of State must dismiss the appeal.                  

(6)Where the Secretary of State grants a certificate under section 26H on an appeal under this section, the Secretary of State                           must give notice to the local planning authority of that fact.                  

(7)References in this section to a refusal of an application in part include a modification or substitution of the description                           in the application of the works concerned.                  

(8)Schedule 3 applies to an appeal under this section.”                  

Commencement Information

I66S. 61 partly in force; s. 61 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I67S. 61 in force at 6.4.2014 in so far as not already in force by S.I. 2014/416, **art. 3(b)**

#### 62Osborne estateU.K.

(1)Section 1 of the Osborne Estate Act 1902 is amended as follows.                  

(2)In subsection (3) (land to be managed in accordance with Crown Lands Act 1851) omit “as if it had been committed to their                        management under section twenty-two of the Crown Lands Act, 1851”.                  

(3)Omit subsection (4)(b) (part of house and grounds to be used for the benefit of officers and their families).                  

(4)Omit the following provisions (which relate to land no longer forming part of the Osborne estate)—                  

(a)in subsection (3) the words from “and the part” to “Barton House and grounds)”;                  

(b)in subsection (4) the words from “And the Commissioners” to the end.                  

(5)The Osborne Estate Act 1914 (which gives power to extend the classes of persons who may benefit under section 1(4)(b) of the                        Osborne Estate Act 1902) is repealed.                  

#### 63Heritage planning regulationE+W

Schedule 17 (heritage planning regulation) has effect.

Commencement Information

I68S. 63 partly in force; s. 63 in force for specified purposes at 25.6.2013, see s. 103(2)(f)

I69S. 63 in force at 25.6.2013 for specified purposes by S.I. 2013/1455, **art. 2(d)** (with art. 4(2))

I70S. 63 in force at 1.10.2013 for specified purposes by S.I. 2013/2227, **art. 2(m)**

I71S. 63 in force at 6.4.2014 for specified purposes by S.I. 2014/416, **art. 3(e)**

### Equality ActsE+W+S

#### 64Commission for Equality and Human RightsE+W+S

(1)In the Equality Act 2006 omit—                  

(a)sections 10(1) and (4) to (8) and 19 (groups);                  

(b)section 27 (conciliation).                  

(2)In section 12(4)(b) of that Act (monitoring progress: reports every three years) for “three” substitute “ five ”.                  

(3)The following subsections make further amendments to the Equality Act 2006.                  

(4)In section 7(3) (Scotland: human rights) omit “or 10”.                  

(5)In section 9(4) and (5) (human rights) omit “or 10”.                  

(6)In section 12 (monitoring progress)—                  

(a)in subsection (1)(a) for “the aim specified in section 3” substitute “ the duties specified in sections 8 and 9 ”;                  

(b)in subsection (1)(b) for “the development of the society described in section 3” substitute “ changes in society that are consistent with those duties ”.                  

(7)In section 13(1) (information, advice etc) for “to 10” substitute “ and 9 ”.                  

(8)In section 16(1) (inquiries) for “, 9 and 10” substitute “ and 9 ”.                  

(9)In section 17(1) (grants) for “to 10” substitute “ and 9 ”.                  

(10)In section 39(4) (orders and regulations) for “10(6), 15(6) or 27(10)” substitute “ 15(6) ”.                  

(11)In Schedule 1 (the Commission)—                  

(a)in paragraph 39 omit “or 27”;                  

(b)omit paragraph 52(1)(a)(v) and (vi) and (b);                  

(c)for paragraph 52(3)(b) substitute—                  

“(b)section 8, in so far as it relates to disability, and”;                  

(d)in paragraph 52(3)(c) omit “, 27(2) and (3)”.                  

(12)The following subsections amend the Equality Act 2010 in consequence of subsection (1).                  

(13)In section 118 (time limits)—                  

(a)in subsection (2) omit “or (4)”;                  

(b)omit subsection (4).                  

(14)In Schedule 17 (disabled pupils: enforcement) omit—                  

(a)paragraph 4(2) (time limits where dispute referred to conciliation under section 27 of the Equality Act 2006);                  

(b)in paragraph 4(2A), “or for conciliation in pursuance of arrangements under section 27 of the Equality Act 2006”.                  

#### 65Equality Act 2010: third party harassment of employeesE+W+S

In section 40 of the Equality Act 2010 (employees and applicants: harassment) omit subsections (2) to (4).

Commencement Information

I72S. 65 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(c)** (with art. 4)

#### 66Equality Act 2010: obtaining information for proceedingsE+W+S

(1)In the Equality Act 2010, omit section 138 (obtaining information, etc).                  

(2)That does not affect section 138 for the purposes of proceedings that relate to a contravention occurring before this section                        comes into force.                  

Commencement Information

I73S. 66 in force at 6.4.2014 by S.I. 2014/416, **art. 3(c)**

### Regulatory Enforcement and Sanctions Act 2008U.K.

#### 67Primary authoritiesU.K.

(1)Section 22 of the Regulatory Enforcement and Sanctions Act 2008 (scope of Part 2) is amended in accordance with subsections                        (2) to (5).                  

(2)Before subsection (1), insert—                  

“(A1)This Part applies in relation to a person if the Secretary of State is satisfied that the person is within subsection (1)                           or (1A).”                  

(3)In subsection (1), for the words from “This Part” to “a person” substitute “A person is within this subsection if—                   

(a)the person”.                  

(4)After subsection (1) insert—                  

“(1A)A person (P) is within this subsection if each of the conditions in subsection (1B) is met.                  

(1B)The conditions are—                  

(a)that P carries on an activity in relation to which a local authority exercises a relevant function;                  

(b)that the effect of arrangements made by P with any organisation or other person is that P's approach to compliance, in respect                           of the relevant function, is one that is shared with another person (Q) who carries on the activity;                  

(c)that—                  

(i)at least one of P and Q carries on the activity in the area of two or more local authorities, or                  

(ii)Q carries on the activity in the area of a local authority in which P does not carry on the activity.”                  

(5)For subsection (2) substitute—                  

“(2)In this Part, references to “the regulated person” are to a person to whom this Part applies.                  

(3)The Secretary of State may from time to time publish guidance about matters likely to be taken into account for the purposes                           of subsection (1B)(b).                  

(4)The guidance may be published in such manner as the Secretary of State considers appropriate.”                  

(6)In section 24 of that Act, after subsection (6) insert—                  

“(7)References in this Part to “the relevant function”, in relation to the regulated person, are to the relevant function by reference to which the Secretary of State is satisfied                           that the person is within section 22(1) or (1A).”                  

(7)In section 26(2) of that Act (nomination of primary authorities), for “The Secretary of State” substitute “ Where the Secretary of State has been satisfied that the regulated person is within section 22(1), the Secretary of State                           ”.                  

Commencement Information

I74S. 67 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(d)**

#### 68Inspection plansU.K.

(1)Section 30 of the Regulatory Enforcement and Sanctions Act 2008 (inspection plans) is amended as follows.                  

(2)After subsection (3) insert—                  

“(3A)An inspection plan may require a local authority other than the primary authority, on exercising the function of inspection                           in relation to the regulated person, to provide the primary authority with a report on its exercise of the function.”                  

(3)In subsection (7)—                  

(a)for the words from the beginning to “exercising” substitute “ Where the primary authority exercises ”;                  

(b)after “regulated person” insert “ , it ”.                  

(4)After subsection (7) insert—                  

“(7A)A local authority other than the primary authority may not exercise the function of inspection in relation to the regulated                           person otherwise than in accordance with a plan that has been brought to its notice under subsection (6), unless—                  

(a)it has notified the primary authority in writing of the way in which it proposes to exercise the function in relation to the                           regulated person, and                  

(b)the primary authority has notified the local authority in writing that it consents to the authority's exercising the function                           in that way.                  

(7B)Subsection (7C) applies if a primary authority that has been notified by a local authority as described in subsection (7A)(a)                           fails to notify that authority in writing, within the notification period, whether it consents to the authority's exercising                           the function of inspection as described in the notification.                  

(7C)The primary authority is to be treated for the purposes of this section, following the expiry of the notification period,                           as having given the notification of consent described in subsection (7A)(b).                  

(7D)The “notification period”, in subsections (7B) and (7C), is the period of five working days beginning with the first working                           day after the day on which the notification referred to in subsection (7A)(a) is received by the primary authority.                  

(7E)Where an inspection plan includes a requirement of the type described in subsection (3A), a local authority exercising the                           function of inspection in relation to the regulated person must provide a report to the primary authority in accordance with                           the requirement.”                  

(5)Omit subsection (8).                  

(6)In subsection (9) for “(8)” substitute “ (7A)(a) ”.                  

(7)After subsection (9) insert—                  

“(9A)A primary authority may, with the consent of the Secretary of State, revoke a plan made by it under this section.                  

(9B)If a primary authority revokes a plan under subsection (9A), it must notify the other local authorities with the function                           of inspection that the plan is no longer in effect.”                  

(8)In subsection (10), for “(9)” substitute “ (9B) ”.                  

(9)After subsection (10) insert—                  

“(11)In subsection (7D), “working day” means a day other than—                  

(a)a Saturday or Sunday,                  

(b)Christmas Day or Good Friday, or                  

(c)a day which is a bank holiday under the Banking and Financial Dealings Act 1971 in—                  

(i)the part of the United Kingdom where the primary authority is, or                  

(ii)(if different) the part of the United Kingdom where the authority is that has given the notification referred to in subsection                           (7A)(a).”                  

Commencement Information

I75S. 68 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(e)** (with art. 5)

### MiscellaneousU.K.

#### 69Civil liability for breach of health and safety dutiesU.K.

(1)Section 47 of the Health and Safety at Work etc. Act 1974 (civil liability) is amended as set out in subsections (2) to (7).                  

(2)In subsection (1), omit paragraph (b) (including the “or” at the end of that paragraph).                  

(3)For subsection (2) substitute—                  

“(2)Breach of a duty imposed by a statutory instrument containing (whether alone or with other provision) health and safety regulations                           shall not be actionable except to the extent that regulations under this section so provide.                  

(2A)Breach of a duty imposed by an existing statutory provision shall not be actionable except to the extent that regulations                           under this section so provide (including by modifying any of the existing statutory provisions).                  

(2B)Regulations under this section may include provision for—                  

(a)a defence to be available in any action for breach of the duty mentioned in subsection (2) or (2A);                  

(b)any term of an agreement which purports to exclude or restrict any liability for such a breach to be void.”                  

(4)In subsection (3), omit the words from “, whether brought by virtue of subsection (2)” to the end.                  

(5)In subsection (4)—                  

(a)for “and (2)” substitute “ , (2) and (2A) ”, and                  

(b)for “(3)” substitute “ (2B)(a) ”.                  

(6)Omit subsections (5) and (6).                  

(7)After subsection (6) insert—                  

“(7)The power to make regulations under this section shall be exercisable by the Secretary of State.”                  

(8)Where, on the commencement of this section, there is in force an Order in Council made under section 84(3) of the Health and                        Safety at Work etc. Act 1974 that applies to matters outside Great Britain any of the provisions of that Act that are amended                        by this section, that Order is to be taken as applying those provisions as so amended.                  

(9)The amendments made by this section do not apply in relation to breach of a duty which it would be within the legislative                        competence of the Scottish Parliament to impose by an Act of that Parliament.                  

(10)The amendments made by this section do not apply in relation to breach of a duty where that breach occurs before the commencement                        of this section.                  

Commencement Information

I76S. 69 partly in force; s. 69 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I77S. 69 in force at 1.10.2013 in so far as not already in force by S.I. 2013/2227, **art. 2(f)**

#### 70Estate agency workU.K.

In section 1 of the Estate Agents Act 1979 (estate agency work), for subsection (4) substitute—

“(4)This Act does not apply to the following things when done by a person who does no other things which fall within subsection                           (1) above—                  

(a)publishing advertisements or disseminating information;                  

(b)providing a means by which—                  

(i)a person who wishes to acquire or dispose of an interest in land can, in response to such an advertisement or dissemination                           of information, make direct contact with a person who wishes to dispose of or, as the case may be, acquire an interest in                           land;                  

(ii)the persons mentioned in sub-paragraph (i) can continue to communicate directly with each other.”                  

Commencement Information

I78S. 70 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(g)**

#### 71Bankruptcy applications: determination by adjudicatorsE+W+S

(1)In Part 14 of the Insolvency Act 1986 (public administration (England and Wales)), before section 399 and the cross-heading                        which precedes it insert—                  

##### “AdjudicatorsE+W+S

###### 398AAppointment etc of adjudicators and assistants

(1)The Secretary of State may appoint persons to the office of adjudicator.                  

(2)A person appointed under subsection (1)—                  

(a)is to be paid out of money provided by Parliament such salary as the Secretary of State may direct,                  

(b)holds office on such other terms and conditions as the Secretary of State may direct, and                  

(c)may be removed from office by a direction of the Secretary of State.                  

(3)A person who is authorised to act as an official receiver may not be appointed under subsection (1).                  

(4)The Secretary of State may appoint officers of the Secretary of State's department to assist adjudicators in the carrying                           out of their functions.”                  

(2)In Part 9 of that Act (bankruptcy), before Chapter 1 insert the Chapter set out in Schedule 18 (adjudicators: bankruptcy applications                        by debtors and bankruptcy orders).                  

(3)Schedule 19 (adjudicators: minor and consequential amendments) has effect.                  

Commencement Information

I79S. 71 partly in force; s. 71 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I80S. 71(1)(2) in force at 6.4.2016 in so far as not already in force by S.I. 2016/191, **art. 2**

I81S. 71(3) in force at 6.4.2016 by S.I. 2016/191, **art. 2**

#### 72Abolition of Agricultural Wages Board and related English bodiesU.K.

(1)The Agricultural Wages Board for England and Wales is abolished.                  

(2)Every agricultural wages committee for an area in England is abolished.                  

(3)Every agricultural dwelling-house advisory committee for an area in England is abolished.                  

(4)Schedule 20 (abolition of Agricultural Wages Board and related English bodies: consequential provision) has effect.                  

Modifications etc. (not altering text)

C1S. 72(4) excluded (W.) (30.7.2014) by Agricultural Sector (Wales) Act 2014 (anaw 6), **ss. 12(2)(a)**, 19 (with s. 14(1))

Commencement Information

I82S. 72(1) in force at 25.6.2013 by S.I. 2013/1455, **art. 2(b)** (with art. 4(2))

I83S. 72(2) in force at 16.12.2013 by S.I. 2013/2979, **art. 2(a)**

I84S. 72(3) in force at 16.12.2013 by S.I. 2013/2979, **art. 2(b)**

I85S. 72(4) in force at 25.6.2013 for specified purposes by S.I. 2013/1455, art. 2(c), **Sch. 1** (with art. 4(2))

I86S. 72(4) in force at 1.10.2013 for specified purposes by S.I. 2013/1455, art. 3, **Sch. 2** (with art. 4(1)-(2), (4), Sch. 3)

I87S. 72(4) in force at 16.12.2013 for specified purposes by S.I. 2013/2979, art. 2(d), **Sch. Pt. 2**

I88S. 72(4) in force at 16.12.2013 for specified purposes for E. by S.I. 2013/2979, art. 2(c), **Sch. Pt. 1** (with art. 4)

I89S. 72(4) in force at 31.3.2014 for specified purposes for E. by S.I. 2013/2979, **art. 3** (as amended (26.3.2014) by S.I. 2014/824, art. 2(a))

I90S. 72(4) in force at 15.9.2014 for specified purposes by S.I. 2014/2481, **art. 2**

I91S. 72(4) in force at 31.12.2014 for specified purposes for E. by S.I. 2013/2979, **art. 3A** (as inserted (26.3.2014) by S.I. 2014/824, art. 2(b) and substituted (14.9.2014) by S.I. 2014/2481, art. 4)

#### 73Unnecessary regulation: miscellaneousU.K.

Schedule 21 (unnecessary regulation: miscellaneous) has effect.

Commencement Information

I92S. 73 partly in force; s. 73 in force for specified purposes at 25.6.2013, see s. 103(2)(g)

I93S. 73 in force at 1.10.2013 for specified purposes by S.I. 2013/2227, **art. 2(n)** (with art. 6)

## **PART 6**U.K.Miscellaneous and general

### Copyright and rights in performancesU.K.

#### 74Exploitation of design derived from artistic workU.K.

(1)The Copyright, Designs and Patents Act 1988 is amended as follows.                  

(2)Omit section 52 (effect of exploitation of design derived from artistic work).                  

(3)In consequence omit the following—                  

(a)section 79(4)(g);                  

(b)in Schedule 1 paragraph 20.                  

#### 75Penalties under provision amending exceptions: copyright and rights in performancesU.K.

Paragraph 1(1)(d) of Schedule 2 to the European Communities Act 1972 (limitation on criminal penalties) does not apply for                     the purposes of provision under section 2(2) of that Act amending—                  

(a)Chapter 3 of Part 1 of the Copyright, Designs and Patents Act 1988 (acts permitted in relation to copyright works), or                  

(b)Schedule 2 to that Act (rights in performances: permitted acts).                  

#### 76Power to reduce duration of copyright in transitional casesU.K.

(1)Section 170 of the Copyright, Designs and Patents Act 1988 (transitional provisions and savings) is amended as follows.                  

(2)At the beginning insert “ (1) ”.                  

(3)At the end insert—                  

“(2)The Secretary of State may by regulations amend Schedule 1 to reduce the duration of copyright in existing works which are                           unpublished, other than photographs or films.                  

(3)The regulations may provide for the copyright to expire—                  

(a)with the end of the term of protection of copyright laid down by Directive 2006/116/EC or at any later time;                  

(b)subject to that, on the commencement of the regulations or at any later time.                  

(4)“Existing works” has the same meaning as in Schedule 1.                  

(5)Regulations under subsection (2) may—                  

(a)make different provision for different purposes;                  

(b)make supplementary or transitional provision;                  

(c)make consequential provision, including provision amending any enactment or subordinate legislation passed or made before                           that subsection comes into force.                  

(6)The power to make regulations under subsection (2) is exercisable by statutory instrument.                  

(7)A statutory instrument containing regulations under subsection (2) may not be made unless a draft of the instrument has been                           laid before and approved by resolution of each House of Parliament.”                  

#### 77Licensing of copyright and performers' rightsU.K.

(1)The Copyright, Designs and Patents Act 1988 is amended as follows.                  

(2)In section 116 (licensing schemes and licensing bodies) after subsection (4) insert—                  

“(5)Schedule A1 confers powers to provide for the regulation of licensing bodies.”                  

(3)After section 116 insert—                  

##### “Orphan works licensing and extended collective licensingU.K.

###### 116APower to provide for licensing of orphan works

(1)The Secretary of State may by regulations provide for the grant of licences in respect of works that qualify as orphan works                           under the regulations.                  

(2)The regulations may—                  

(a)specify a person or a description of persons authorised to grant licences, or                  

(b)provide for a person designated in the regulations to specify a person or a description of persons authorised to grant licences                  

(3)The regulations must provide that, for a work to qualify as an orphan work, it is a requirement that the owner of copyright                           in it has not been found after a diligent search made in accordance with the regulations.                  

(4)The regulations may provide for the granting of licences to do, or authorise the doing of, any act restricted by copyright                           that would otherwise require the consent of the missing owner.                  

(5)The regulations must provide for any licence—                  

(a)to have effect as if granted by the missing owner;                  

(b)not to give exclusive rights;                  

(c)not to be granted to a person authorised to grant licences.                  

(6)The regulations may apply to a work although it is not known whether copyright subsists in it, and references to a missing                           owner and a right or interest of a missing owner are to be read as including references to a supposed owner and a supposed                           right or interest.                  

###### 116BExtended collective licensing

(1)The Secretary of State may by regulations provide for a licensing body that applies to the Secretary of State under the regulations                           to be authorised to grant copyright licences in respect of works in which copyright is not owned by the body or a person on                           whose behalf the body acts.                  

(2)An authorisation must specify—                  

(a)the types of work to which it applies, and                  

(b)the acts restricted by copyright that the licensing body is authorised to license.                  

(3)The regulations must provide for the copyright owner to have a right to limit or exclude the grant of licences by virtue of                           the regulations.                  

(4)The regulations must provide for any licence not to give exclusive rights.                  

(5)In this section “copyright licences” has the same meaning as in section 116.                  

(6)Nothing in this section applies in relation to Crown copyright or Parliamentary copyright.                  

###### 116CGeneral provision about licensing under sections 116A and 116B

(1)This section and section 116D apply to regulations under sections 116A and 116B.                  

(2)The regulations may provide for a body to be or remain authorised to grant licences only if specified requirements are met,                           and for a question whether they are met to be determined by a person, and in a manner, specified in the regulations.                  

(3)The regulations may specify other matters to be taken into account in any decision to be made under the regulations as to                           whether to authorise a person to grant licences.                  

(4)The regulations must provide for the treatment of any royalties or other sums paid in respect of a licence, including—                  

(a)the deduction of administrative costs;                  

(b)the period for which sums must be held;                  

(c)the treatment of sums after that period (as bona vacantia or otherwise).                  

(5)The regulations must provide for circumstances in which an authorisation to grant licences may be withdrawn, and for determining                           the rights and obligations of any person if an authorisation is withdrawn.                  

(6)The regulations may include other provision for the purposes of authorisation and licensing, including in particular provision—                  

(a)for determining the rights and obligations of any person if a work ceases to qualify as an orphan work (or ceases to qualify                           by reference to any copyright owner), or if a rights owner exercises the right referred to in section 116B(3), while a licence                           is in force;                  

(b)about maintenance of registers and access to them;                  

(c)permitting the use of a work for incidental purposes including an application or search;                  

(d)for a right conferred by section 77 to be treated as having been asserted in accordance with section 78;                  

(e)for the payment of fees to cover administrative expenses.                  

###### 116DRegulations under sections 116A and 116B

(1)The power to make regulations includes power—                  

(a)to make incidental, supplementary or consequential provision, including provision extending or restricting the jurisdiction                           of the Copyright Tribunal or conferring powers on it;                  

(b)to make transitional, transitory or saving provision;                  

(c)to make different provision for different purposes.                  

(2)Regulations under any provision may amend this Part, or any other enactment or subordinate legislation passed or made before                           that provision comes into force, for the purpose of making consequential provision or extending or restricting the jurisdiction                           of the Copyright Tribunal or conferring powers on it.                  

(3)Regulations may make provision by reference to guidance issued from time to time by any person.                  

(4)The power to make regulations is exercisable by statutory instrument.                  

(5)A statutory instrument containing regulations may not be made unless a draft of the instrument has been laid before and approved                           by a resolution of each House of Parliament.”                  

(4)Schedule 22 (which inserts Schedule A1 to the Copyright, Designs and Patents Act 1988 and makes provision in relation to performers'                        rights corresponding to provision made by this section in relation to copyright) has effect.                  

#### 78Penalties under provision implementing Directive on term of protectionU.K.

Paragraph 1(1)(d) of Schedule 2 to the European Communities Act 1972 (limitation on criminal penalties) does not apply for                     the purposes of provision under section 2(2) of that Act implementing Directive 2011/77/EU amending Directive 2006/116/EC on the term of protection of copyright and certain related rights.                  

### Payments to directors of quoted companiesU.K.

#### 79Members' approval of directors' remuneration policyU.K.

(1)In section 421 of the Companies Act 2006 (contents of directors' remuneration report) after subsection (2) insert—                  

“(2A)The regulations must provide that any information required to be included in the report as to the policy of the company with                           respect to the making of remuneration payments and payments for loss of office (within the meaning of Chapter 4A of Part 10)                           is to be set out in a separate part of the report.”                  

(2)After section 422 of that Act (approval and signing of directors' remuneration report) insert—                  

##### “422ARevisions to directors' remuneration policy

(1)The directors' remuneration policy contained in a company's directors' remuneration report may be revised.                  

(2)Any such revision must be approved by the board of directors.                  

(3)The policy as so revised must be set out in a document signed on behalf of the board by a director or the secretary of the                           company.                  

(4)Regulations under section 421(1) may make provision as to—                  

(a)the information that must be contained in a document setting out a revised directors' remuneration policy, and                  

(b)how information is to be set out in the document.                  

(5)Sections 422(2) and (3), 454, 456 and 463 apply in relation to such a document as they apply in relation to a directors' remuneration                           report.                  

(6)In this section, “directors' remuneration policy” means the policy of a company with respect to the matters mentioned in section                           421(2A).”                  

(3)In section 439 of that Act (quoted companies: members' approval of directors' remuneration report), in subsection (1), at                        the end insert “other than the part containing the directors' remuneration policy (as to which see section 439A).”                  

(4)After that section insert—                  

##### “439AQuoted companies: members' approval of directors' remuneration policy

(1)A quoted company must give notice of the intention to move, as an ordinary resolution, a resolution approving the relevant                           directors' remuneration policy—                  

(a)at the accounts meeting held in the first financial year which begins on or after the day on which the company becomes a quoted                           company, and                  

(b)at an accounts or other general meeting held no later than the end of the period of three financial years beginning with the                           first financial year after the last accounts or other general meeting in relation to which notice is given under this subsection.                  

(2)A quoted company must give notice of the intention to move at an accounts meeting, as an ordinary resolution, a resolution                           approving the relevant directors' remuneration policy if—                  

(a)a resolution required to be put to the vote under section 439 was not passed at the last accounts meeting of the company,                           and                  

(b)no notice under this section was given in relation to that meeting or any other general meeting held before the next accounts                           meeting.                  

(3)Subsection (2) does not apply in relation to a quoted company before the first meeting in relation to which it gives notice                           under subsection (1).                  

(4)A notice given under subsection (2) is to be treated as given under subsection (1) for the purpose of determining the period                           within which the next notice under subsection (1) must be given.                  

(5)Notice of the intention to move a resolution to which this section applies must be given, prior to the meeting in question,                           to the members of the company entitled to be sent notice of the meeting.                  

(6)Subsections (2) to (4) of section 439 apply for the purposes of a resolution to which this section applies as they apply for                           the purposes of a resolution to which section 439 applies, with the modification that, for the purposes of a resolution relating                           to a general meeting other than an accounts meeting, subsection (3) applies as if for “accounts meeting” there were substituted                           “ general meeting ”.                  

(7)For the purposes of this section, the relevant directors' remuneration policy is—                  

(a)in a case where notice is given in relation to an accounts meeting, the remuneration policy contained in the directors' remuneration                           report in respect of which a resolution under section 439 is required to be put to the vote at that accounts meeting;                  

(b)in a case where notice is given in relation to a general meeting other than an accounts meeting—                  

(i)the remuneration policy contained in the directors' remuneration report in respect of which such a resolution was required                           to be put to the vote at the last accounts meeting to be held before that other general meeting, or                  

(ii)where that policy has been revised in accordance with section 422A, the policy as so revised.                  

(8)In this section—                  

(a)“accounts meeting” means a general meeting of the company before which the company's annual accounts for a financial year are to be laid;                  

(b)“directors' remuneration policy” means the policy of the company with respect to the matters mentioned in section 421(2A).”                  

Commencement Information

I94S. 79 partly in force; s. 79 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I95S. 79 in force at 1.10.2013 in so far as not already in force by S.I. 2013/2227, **art. 2(h)**

#### 80Restrictions on payments to directorsU.K.

After section 226 of the Companies Act 2006 insert—

##### “CHAPTER 4AU.K.Directors of quoted companies: special provision

###### InterpretationU.K.

###### 226AKey definitions

(1)In this Chapter—                  
          -  “directors' remuneration policy” means the policy of a quoted company with respect to the making of remuneration payments                              and payments for loss of office;                         
          -  “quoted company” has the same meaning as in Part 15 of this Act;                         
          -  “remuneration payment” means any form of payment or other benefit made to or otherwise conferred on a person as consideration for the person—                          (a)
holding, agreeing to hold or having held office as director of a company, or                                 
(b)
holding, agreeing to hold or having held, during a period when the person is or was such a director—                                 
(i)
any other office or employment in connection with the management of the affairs of the company, or                                          
(ii)
any office (as director or otherwise) or employment in connection with the management of the affairs of any subsidiary undertaking                                                of the company,                                          
  other than a payment for loss of office;                         
          -  “payment for loss of office” has the same meaning as in Chapter 4 of this Part.                         

(2)Subsection (3) applies where, in connection with a relevant transfer, a director of a quoted company is—                  

(a)to cease to hold office as director, or                  

(b)to cease to be the holder of—                  

(i)any other office or employment in connection with the management of the affairs of the company, or                  

(ii)any office (as director or otherwise) or employment in connection with the management of the affairs of any subsidiary undertaking                           of the company.                  

(3)If in connection with the transfer—                  

(a)the price to be paid to the director for any shares in the company held by the director is in excess of the price which could                           at the time have been obtained by other holders of like shares, or                  

(b)any valuable consideration is given to the director by a person other than the company,                  

the excess or, as the case may be, the money value of the consideration is taken for the purposes of section 226C to have                        been a payment for loss of office.                  

(4)In subsection (2), “relevant transfer” means—                  

(a)a transfer of the whole or any part of the undertaking or property of the company or a subsidiary of the company;                  

(b)a transfer of shares in the company, or in a subsidiary of the company, resulting from a takeover bid.                  

(5)References in this Chapter to the making of a remuneration payment or to the making of a payment for loss of office are to                           be read in accordance with this section.                  

(6)References in this Chapter to a payment by a company include a payment by another person at the direction of, or on behalf                           of, the company.                  

(7)References in this Chapter to a payment to a person (“B”) who is, has been or is to be a director of a company include—                  

(a)a payment to a person connected with B, or                  

(b)a payment to a person at the direction of, or for the benefit of, B or a person connected with B.                  

(8)Section 252 applies for the purposes of determining whether a person is connected with a person who has been, or is to be,                           a director of a company as it applies for the purposes of determining whether a person is connected with a director.                  

(9)References in this Chapter to a director include a shadow director but references to loss of office as a director do not include                           loss of a person's status as a shadow director.                  

###### Restrictions relating to remuneration or loss of office paymentsU.K.

###### 226BRemuneration payments

(1)A quoted company may not make a remuneration payment to a person who is, or is to be or has been, a director of the company                           unless—                  

(a)the payment is consistent with the approved directors' remuneration policy, or                  

(b)the payment is approved by resolution of the members of the company.                  

(2)The approved directors' remuneration policy is the most recent remuneration policy to have been approved by a resolution passed                           by the members of the company in general meeting.                  

###### 226CLoss of office payments

(1)No payment for loss of office may be made by any person to a person who is, or has been, a director of a quoted company unless—                  

(a)the payment is consistent with the approved directors' remuneration policy, or                  

(b)the payment is approved by resolution of the members of the company.                  

(2)The approved directors' remuneration policy is the most recent remuneration policy to have been approved by a resolution passed                           by the members of the company in general meeting.                  

###### 226DSections 226B and 226C: supplementary

(1)A resolution approving a payment for the purposes of section 226B(1)(b) or 226C(1)(b) must not be passed unless a memorandum                           setting out particulars of the proposed payment (including its amount) is made available for inspection by the members of                           the company—                  

(a)at the company's registered office for not less than 15 days ending with the date of the meeting at which the resolution is                           to be considered, and                  

(b)at that meeting itself.                  

(2)The memorandum must explain the ways in which the payment is inconsistent with the approved directors' remuneration policy                           (within the meaning of the section in question).                  

(3)The company must ensure that the memorandum is made available on the company's website from the first day on which the memorandum                           is made available for inspection under subsection (1) until its next accounts meeting.                  

(4)Failure to comply with subsection (3) does not affect the validity of the meeting at which a resolution is passed approving                           a payment to which the memorandum relates or the validity of anything done at the meeting.                  

(5)Nothing in section 226B or 226C authorises the making of a remuneration payment or (as the case may be) a payment for loss                           of office in contravention of the articles of the company concerned.                  

(6)Nothing in section 226B or 226C applies in relation to a remuneration payment or (as the case may be) a payment for loss of                           office made to a person who is, or is to be or has been, a director of a quoted company before the earlier of—                  

(a)the end of the first financial year of the company to begin on or after the day on which it becomes a quoted company, and                  

(b)the date from which the company's first directors' remuneration policy to be approved under section 439A takes effect.                  

(7)In this section the “company's website” is the website on which the company makes material available under section 430.                  

###### SupplementaryU.K.

###### 226EPayments made without approval: civil consequences

(1)An obligation (however arising) to make a payment which would be in contravention of section 226B or 226C has no effect.                  

(2)If a payment is made in contravention of section 226B or 226C—                  

(a)it is held by the recipient on trust for the company or other person making the payment, and                  

(b)in the case of a payment by a company, any director who authorised the payment is jointly and severally liable to indemnify                           the company that made the payment for any loss resulting from it.                  

(3)If a payment for loss of office is made in contravention of section 226C to a director of a quoted company in connection with                           the transfer of the whole or any part of the undertaking or property of the company or a subsidiary of the company—                  

(a)subsection (2) does not apply, and                  

(b)the payment is held by the recipient on trust for the company whose undertaking or property is or is proposed to be transferred.                  

(4)If a payment for loss of office is made in contravention of section 226C to a director of a quoted company in connection with                           a transfer of shares in the company, or in a subsidiary of the company, resulting from a takeover bid—                  

(a)subsection (2) does not apply,                  

(b)the payment is held by the recipient on trust for persons who have sold their shares as a result of the offer made, and                  

(c)the expenses incurred by the recipient in distributing that sum amongst those persons shall be borne by the recipient and                           not retained out of that sum.                  

(5)If in proceedings against a director for the enforcement of a liability under subsection (2)(b)—                  

(a)the director shows that he or she has acted honestly and reasonably, and                  

(b)the court considers that, having regard to all the circumstances of the case, the director ought to be relieved of liability,                  

the court may relieve the director, either wholly or in part, from liability on such terms as the court thinks fit.                  

###### 226FRelationship with requirements under Chapter 4

(1)This Chapter does not affect any requirement for approval by a resolution of the members of a company which applies in relation                           to the company under Chapter 4.                  

(2)Where the making of a payment to which section 226B or 226C applies requires approval by a resolution of the members of the                           company concerned under Chapter 4, approval obtained for the purposes of that Chapter is to be treated as satisfying the requirements                           of section 226B(1)(b) or (as the case may be) 226C(1)(b).”                  

Commencement Information

I96S. 80 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(h)**

#### 81Payments to directors: minor and consequential amendmentsU.K.

(1)The Companies Act 2006 is amended as follows.                  

(2)In section 180 (consent, approval or authorisation by members)—                  

(a)in subsection (2), in the words before paragraph (a)—                  

(i)after “Chapter 4” insert “ or 4A ”, and                  

(ii)for “that Chapter” substitute “ either of those Chapters ”,                  

(b)in that subsection, in paragraph (a), for “that Chapter” substitute “ the Chapter concerned ”, and                  

(c)in subsection (3), after “Chapter 4” insert “ or 4A ”.                  

(3)In section 190 (substantial property transactions: requirement of members' approval), in subsection (6)(b), for the words                        in brackets substitute “ (payments to which the requirements of Chapter 4 or 4A apply) ”.                  

(4)In section 215 (payments for loss of office), after subsection (4) insert—                  

“(5)Nothing in this section or sections 216 to 222 applies in relation to a payment for loss of office to a director of a quoted                           company other than a payment to which section 226C does not apply by virtue of section 226D(6).”                  

(5)Section 430 (quoted companies: annual accounts and reports to be made available on website) is amended as follows.                  

(6)After subsection (2) insert—                  

“(2A)If the directors' remuneration policy of a quoted company is revised in accordance with section 422A, the company must ensure                           that the revised policy is made available on the website on which its annual accounts and reports are made available.                  

(2B)If a person ceases to be a director of a quoted company, the company must ensure that the following information is made available                           on the website on which its annual accounts and reports are made available—                  

(a)the name of the person concerned,                  

(b)particulars of any remuneration payment (within the meaning of Chapter 4A of Part 10) made or to be made to the person after                           ceasing to be a director, including its amount and how it was calculated, and                  

(c)particulars of any payment for loss of office (within the meaning of that Chapter) made or to be made to the person, including                           its amount and how it was calculated.”                  

(7)In subsection (3) —                  

(a)for “the annual accounts and reports on the website” substitute “ the material made available on the website under subsections (1) to (2B) ”, and                  

(b)for “the annual accounts and reports from” substitute “ such material from ”.                  

(8)After subsection (4) insert—                  

“(4A)Where subsection (2A) or (2B) applies, the material in question—                  

(a)must be made available as soon as reasonably practicable, and                  

(b)must be kept available until the next directors' remuneration report of the company is made available on the website.”                  

(9)In subsection (5)—                  

(a)in the words before paragraph (a), for the words from “the annual accounts and reports” to “that period” substitute “ material available on a website throughout the period mentioned in subsection (4) or (as the case may be) (4A) ”, and                  

(b)in paragraph (a) for “the annual accounts and reports are” substitute “ the material is ”.                  

(10)In section 440 (quoted companies: offences in connection with procedure for approval)—                  

(a)in subsection (1) —                  

(i)after “section 439(1)” insert “ or 439A(1) or (2) ”, and                  

(ii)in the words in brackets, after “report” insert “ or policy ”,                  

(b)in subsection (2), for “the accounts meeting” substitute “ the meeting to which it relates ”, and                  

(c)in subsection (5), omit the definition of “the accounts meeting”.                  

(11)In Schedule 8 (in the index of defined expressions), at the appropriate places insert—                  

(12)In that Schedule, after “quoted company”, insert—                  

Commencement Information

I97S. 81 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(h)**

#### 82Payments to directors: transitional provisionU.K.

(1)In relation to a company that is a quoted company immediately before the day on which section 79 of this Act comes into force,                        section 439A(1)(a) of the Companies Act 2006 (as inserted by section 79(4) of this Act) applies as if—                  

(a)the reference to the day on which the company becomes a quoted company were a reference to the day on which section 79 of                        this Act comes into force, and                  

(b)at the end of the paragraph (but before the “, and”) there were inserted “or at an earlier general meeting”.                  

(2)In relation to a company that is a quoted company immediately before the day on which section 79 of this Act comes into force,                        section 226D(6)(a) of the Companies Act 2006 (as inserted by section 80 of this Act) applies as if the reference to the day                        on which the company becomes a quoted company were a reference to the day on which section 79 of this Act comes into force.                  

(3)Chapter 4A of Part 10 of the Companies Act 2006 does not apply in relation to remuneration payments or payments for loss of                        office that are required to be made under an agreement entered into before 27 June 2012 or in consequence of any other obligation                        arising before that date.                  

(4)An agreement entered into, or any other obligation arising, before 27 June 2012 that is modified or renewed on or after that                        date is to be treated for the purposes of subsection (3) as having been entered into or (as the case may be) as having arisen                        on the date on which it was modified or renewed.                  

(5)The amendment made by section 81(4) does not apply in relation to a payment for loss of office to which subsection (3) of                        this section applies.                  

Commencement Information

I98S. 82 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(h)**

### Redress schemes: lettings and property management agentsE+W

#### 83Redress schemes: lettings agency workE+W

(1)The Secretary of State may by order require persons who engage in lettings agency work to be members of a redress scheme for                        dealing with complaints in connection with that work which is either—                  

(a)a redress scheme approved by the Secretary of State, or                  

(b)a government administered redress scheme.                  

(2)A “redress scheme” is a scheme which provides for complaints against members of the scheme to be investigated and determined                        by an independent person.                  

(3)A “government administered redress scheme” means a redress scheme which is—                  

(a)administered by or on behalf of the Secretary of State, and                  

(b)designated for the purposes of the order by the Secretary of State.                  

(4)The order may provide for the duty mentioned in subsection (1) to apply—                  

(a)only to specified descriptions of persons who engage in lettings agency work;                  

(b)only in relation to specified descriptions of such work.                  

(5)The order may also provide for the duty not to apply in relation to complaints of any specified description (which may be                        framed by reference to a description of person making a complaint).                  

(6)Before making the order, the Secretary of State must be satisfied that all persons who are to be subject to the duty will                        be eligible to join a redress scheme before the duty applies to them.                  

(7)In this section, “lettings agency work” means things done by any person in the course of a business in response to instructions received from—                  

(a)a person seeking to find another person wishing to rent a dwelling-house in England under a domestic tenancy and, having found                        such a person, to grant such a tenancy (“a prospective landlord”);                  

(b)a person seeking to find a dwelling-house in England to rent under a domestic tenancy and, having found such a dwelling-house,                        to obtain such a tenancy of it (“a prospective tenant”).                  

(8)However, “lettings agency work” does not include any of the following things when done by a person who does no other things falling within subsection (7)—                  

(a)publishing advertisements or disseminating information;                  

(b)providing a means by which—                  

(i)a prospective landlord or a prospective tenant can, in response to an advertisement or dissemination of information, make                        direct contact with a prospective tenant or (as the case may be) prospective landlord;                  

(ii)a prospective landlord and a prospective tenant can continue to communicate directly with each other.                  

(9)“Lettings agency work” also does not include —                  

(a)things done by a local authority;                  

(b)things of a description, or things done by a person of a description, specified for the purposes of this section in an order                        made by the Secretary of State.                  

(10)In subsection (7), “domestic tenancy” means—                  

(a)a tenancy which is an assured tenancy for the purposes of the Housing Act 1988 except where—                  

(i)the landlord is a private registered provider of social housing (as to which see section 80 of the Housing and Regeneration                        Act 2008), or                  

(ii)the tenancy is a long lease within the meaning given by section 84(10);                  

(b)a tenancy under which a dwelling-house is let as a separate dwelling and which is of a description specified for the purposes                        of this section in an order made by the Secretary of State.                  

(11)An order under subsection (10)(b) may not provide for any of the following to be a domestic tenancy—                  

(a)a tenancy where the landlord is a registered provider of social housing (as to which see section 80 of the Housing and Regeneration                        Act 2008);                  

(b)a long lease within the meaning given by section 84(10).                  

Commencement Information

I99S. 83 partly in force; s. 83 in force for specified purposes at Royal Assent, see s. 103(1)(i)

#### 84Redress schemes: property management workE+W

(1)The Secretary of State may by order require persons who engage in property management work to be members of a redress scheme                        for dealing with complaints in connection with that work which is either—                  

(a)a redress scheme approved by the Secretary of State, or                  

(b)a government administered redress scheme.                  

(2)“Redress scheme” and “government administered redress scheme” have the same meanings as in section 83.                  

(3)The order may provide for the duty mentioned in subsection (1) to apply—                  

(a)only to specified descriptions of persons who engage in property management work;                  

(b)only in relation to specified descriptions of such work.                  

(4)The order may also provide for the duty not to apply in relation to complaints of any specified description (which may be                        framed by reference to a description of person making a complaint).                  

(5)Before making the order, the Secretary of State must be satisfied that all persons who are to be subject to the duty will                        be eligible to join a redress scheme before the duty applies to them.                  

(6)In this section, “property management work” means things done by any person (“A”) in the course of a business in response to instructions received from another person                        (“C”) where—                  

(a)C wishes A to arrange services, repairs, maintenance, improvements or insurance or to deal with any other aspect of the management                        of premises in England on C's behalf, and                  

(b)the premises consist of or include a dwelling-house let under a relevant tenancy.                  

(7)However, “property management work” does not include—                  

(a)things done by a person who is a social landlord for the purposes of Schedule 2 to the Housing Act 1996;                  

(b)things of a description, or things done by a person of a description, specified for the purposes of this section in an order                        made by the Secretary of State.                  

(8)In subsection (6), “relevant tenancy” means—                  

(a)a tenancy which is an assured tenancy for the purposes of the Housing Act 1988;                  

(b)a tenancy which is a regulated tenancy for the purposes of the Rent Act 1977;                  

(c)a long lease other than one to which Part 2 of the Landlord and Tenant Act 1954 applies;                  

(d)a tenancy of a description specified for the purposes of this section in an order made by the Secretary of State.                  

(9)An order under subsection (8)(d) may not provide for a tenancy to which Part 2 of the Landlord and Tenant Act 1954 applies                        to be a relevant tenancy.                  

(10)In subsection (8)(c), “long lease” means a lease which is a long lease for the purposes of Chapter 1 of Part 1 of the Leasehold Reform, Housing and Urban Development                        Act 1993 or which, in the case of a shared ownership lease (within the meaning given by section 7(7) of that Act), would be                        such a lease if the tenant's total share (within the meaning given by that section) were 100 per cent.                  

Commencement Information

I100S. 84 partly in force; s. 84 in force for specified purposes at Royal Assent, see s. 103(1)(i)

#### 85Orders under section 83 or 84: enforcementE+W

(1)An order under section 83(1) or 84(1) may make provision —                  

(a)for sanctions to be imposed in respect of a breach of a requirement imposed by the order;                  

(b)for the investigation of suspected breaches of such a requirement.                  

(2)The sanctions for which provision may be made in the order are—                  

(a)the imposition of civil penalties;                  

(b)the making of orders prohibiting a person from engaging in lettings agency work or (as the case may be) property management                        work or from engaging in a particular description of such work;                  

(c)the creation of criminal offences in respect of breaches of orders mentioned in paragraph (b).                  

(3)Provision made for the imposition of a sanction by virtue of subsection (1)(a) must include—                  

(a)provision for appeals to a court or tribunal against the imposition of the sanction, and                  

(b)such other provision as the Secretary of State considers appropriate for safeguarding the interests of persons on whom the                        sanction may be imposed.                  

(4)Provision made by virtue of this section may confer functions on a person that exercises functions of a public nature.                  

(5)The Secretary of State may make payments out of money provided by Parliament to a person on whom functions are conferred by                        virtue of this section.                  

Commencement Information

I101S. 85 partly in force; s. 85 in force for specified purposes at Royal Assent, see s. 103(1)(i)

Prospective

#### 86Sections 83 to 85: minor definitionsE+W

(1)This section applies for the purposes of sections 83 to 85.                     

(2)References to persons who engage in lettings agency work or property management work do not include references to persons                           who engage in that work in the course of their employment under a contract of employment.                     

(3)A “dwelling-house” may be a house or part of a house.                     

(4)“Local authority” means—                     

(a)a county or district council;                     

(b)a London borough council;                     

(c)the Common Council of the City of London in its capacity as a local authority;                     

(d)the Council of the Isles of Scilly.                     

#### 87Approval of redress schemes for the purposes of section 83 or 84E+W

(1)The Secretary of State may by order make provision about the approval of redress schemes for the purposes of section 83 or                        84, including provision as to—                  

(a)the making of applications for approval;                  

(b)conditions which must be satisfied before approval may be given;                  

(c)conditions which must be complied with by administrators of approved redress schemes;                  

(d)the withdrawal of approval.                  

(2)The order may make provision about the conditions which must be satisfied before a scheme administered by or on behalf of                        the Secretary of State may be designated for the purposes of section 83 or 84.                  

Commencement Information

I102S. 87 partly in force; s. 87 in force for specified purposes at Royal Assent, see s. 103(1)(i)

#### 88Redress schemes: supplementalE+W

(1)The power to make an order under section 83, 84 or 87 includes power to make incidental, supplementary, consequential, transitional                        or saving provision, including doing so by amending any provision made by or under an Act.                  

(2)An order under any of those sections must be made by statutory instrument.                  

(3)A statutory instrument containing (whether alone or with other provision)—                  

(a)an order under section 83 or 84 which includes—                  

(i)provision by virtue of section 85, or                  

(ii)provision by virtue of subsection (1) of this section that amends an Act, or                  

(b)an order under section 87,                  

may not be made unless a draft of the instrument has been laid before, and approved by a resolution of, each House of Parliament.

(4)A statutory instrument containing an order under section 83 or 84, other than one to which subsection (3) applies, is subject                        to annulment in pursuance of a resolution of either House of Parliament.                  

(5)Nothing in sections 83 to 87 prevents a redress scheme from providing—                  

(a)for membership to be open to persons who are not subject to the duty to be a member of a scheme;                  

(b)for the investigation and determination of any complaints in relation to which the duty does not apply, where the members                        concerned have voluntarily accepted the jurisdiction of the scheme over those complaints;                  

(c)for the exclusion from investigation and determination under the scheme of any complaint in such cases or circumstances as                        may be specified in or determined under the scheme.                  

Commencement Information

I103S. 88 partly in force; s. 88 in force for specified purposes at Royal Assent, see s. 103(1)(i)

### Supply of customer dataU.K.

#### 89Supply of customer dataU.K.

(1)The Secretary of State may by regulations require a regulated person to provide customer data—                  

(a)to a customer, at the customer's request;                  

(b)to a person who is authorised by a customer to receive the data, at the customer's request or, if the regulations so provide,                        at the authorised person's request.                  

(2)“Regulated person” means—                  

(a)a person who, in the course of a business, supplies gas or electricity to any premises;                  

(b)a person who, in the course of a business, provides a mobile phone service;                  

(c)a person who, in the course of a business, provides financial services consisting of the provision of current account or credit                        card facilities;                  

(d)any other person who, in the course of a business, supplies or provides goods or services of a description specified in the                        regulations.                  

(3)“Customer data” means information which—                  

(a)is held in electronic form by or on behalf of the regulated person, and                  

(b)relates to transactions between the regulated person and the customer.                  

(4)Regulations under subsection (1) may make provision as to the form in which customer data is to be provided and when it is                        to be provided (and any such provision may differ depending on the form in which a request for the data is made).                  

(5)Regulations under subsection (1)—                  

(a)may authorise the making of charges by a regulated person for complying with requests for customer data, and                  

(b)if they do so, must provide that the amount of any such charge—                  

(i)is to be determined by the regulated person, but                  

(ii)may not exceed the cost to that person of complying with the request.                  

(6)Regulations under subsection (1)(b) may provide that the requirement applies only if the authorised person satisfies any conditions                        specified in the regulations.                  

(7)In deciding whether to specify a description of goods or services for the purposes of subsection (2)(d), the Secretary of                        State must (among other things) have regard to the following—                  

(a)the typical duration of the period during which transactions between suppliers or providers of the goods or services and their                        customers take place;                  

(b)the typical volume and frequency of the transactions;                  

(c)the typical significance for customers of the costs incurred by them through the transactions;                  

(d)the effect that specifying the goods or services might have on the ability of customers to make an informed choice about which                        supplier or provider of the goods or services, or which particular goods or services, to use;                  

(e)the effect that specifying the goods or services might have on competition between suppliers or providers of the goods or                        services.                  

(8)The power to make regulations under this section may be exercised—                  

(a)so as to make provision generally, only in relation to particular descriptions of regulated persons, customers or customer                        data or only in relation to England, Wales, Scotland or Northern Ireland;                  

(b)so as to make different provision for different descriptions of regulated persons, customers or customer data;                  

(c)so as to make different provision in relation to England, Wales, Scotland and Northern Ireland;                  

(d)so as to provide for exceptions or exemptions from any requirement imposed by the regulations, including doing so by reference                        to the costs to the regulated person of complying with the requirement (whether generally or in particular cases).                  

(9)For the purposes of this section, a person (“C”) is a customer of another person (“R”) if—                  

(a)C has at any time, including a time before the commencement of this section, purchased (whether for the use of C or another                        person) goods or services supplied or provided by R or received such goods or services free of charge, and                  

(b)the purchase or receipt occurred—                  

(i)otherwise than in the course of a business, or                  

(ii)in the course of a business of a description specified in the regulations.                  

(10)In this section, “mobile phone service” means an electronic communications service which is provided wholly or mainly so as to be available to members of the public                        for the purpose of communicating with others, or accessing data, by mobile phone.                  

Commencement Information

I104S. 89 partly in force; s. 89 in force for specified purposes at Royal Assent, see s. 103(1)(i)

#### 90Supply of customer data: enforcementU.K.

(1)Regulations may make provision for the enforcement of regulations under section 89 (“customer data regulations”) by the Information Commissioner or any other person specified in the regulations (and, in this section, “enforcer” means a person on whom functions of enforcement are conferred by the regulations).                  

(2)The provision that may be made under subsection (1) includes provision—                  

(a)for applications for orders requiring compliance with the customer data regulations to be made by an enforcer to a court or                        tribunal;                  

(b)for notices requiring compliance with the customer data regulations to be issued by an enforcer and for the enforcement of                        such notices (including provision for their enforcement as if they were orders of a court or tribunal).                  

(3)The provision that may be made under subsection (1) also includes provision—                  

(a)as to the powers of an enforcer for the purposes of investigating whether there has been, or is likely to be, a breach of                        the customer data regulations or of orders or notices of a kind mentioned in subsection (2)(a) or (b) (which may include powers                        to require the provision of information and powers of entry, search, inspection and seizure);                  

(b)for the enforcement of requirements imposed by an enforcer in the exercise of such powers (which may include provision comparable                        to any provision that is, or could be, included in the regulations for the purposes of enforcing the customer data regulations).                  

(4)Regulations under subsection (1) may—                  

(a)require an enforcer (if not the Information Commissioner) to inform the Information Commissioner if the enforcer intends to                        exercise functions under the regulations in a particular case;                  

(b)provide for functions under the regulations to be exercisable by more than one enforcer (whether concurrently or jointly);                  

(c)where such functions are exercisable concurrently by more than one enforcer—                  

(i)designate one of the enforcers as the lead enforcer;                  

(ii)require the other enforcers to consult the lead enforcer before exercising the functions in a particular case;                  

(iii)authorise the lead enforcer to give directions as to which of the enforcers is to exercise the functions in a particular case.                  

(5)Regulations may make provision for applications for orders requiring compliance with the customer data regulations to be made                        to a court or tribunal by a customer who has made a request under those regulations or in respect of whom such a request has                        been made.                  

(6)Subsection (8)(a) to (c) of section 89 applies for the purposes of this section as it applies for the purposes of that section.                  

(7)The Secretary of State may make payments out of money provided by Parliament to an enforcer.                  

(8)In this section, “customer” and “regulated person” have the same meaning as in section 89.                  

Commencement Information

I105S. 90 partly in force; s. 90 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I106S. 90(7) in force at 1.10.2013 in so far as not already in force by S.I. 2013/2227, **art. 2(i)**

#### 91Supply of customer data: supplementalU.K.

(1)The power to make regulations under section 89 or 90 includes—                  

(a)power to make incidental, supplementary, consequential, transitional or saving provision;                  

(b)power to provide for a person to exercise a discretion in a matter.                  

(2)Regulations under either of those sections must be made by statutory instrument.                  

(3)A statutory instrument containing (whether alone or with other provision)—                  

(a)regulations under section 89 which make provision by virtue of section 89(2)(d), or                  

(b)regulations under section 90,                  

may not be made unless a draft of the instrument has been laid before, and approved by a resolution of, each House of Parliament.

(4)A statutory instrument which—                  

(a)contains regulations under section 89, and                  

(b)is not an instrument to which subsection (3) applies,                  

is subject to annulment in pursuance of a resolution of either House of Parliament.

Commencement Information

I107S. 91 partly in force; s. 91 in force for specified purposes at Royal Assent, see s. 103(1)(i)

### Insolvency: protection of essential suppliesE+W+S

#### 92Power to add to supplies protected under Insolvency Act 1986E+W+S

(1)The Secretary of State may by order amend section 233 of the Insolvency Act 1986 so as to add to the supplies mentioned in                        subsection (3) of that section any of the following—                  

(a)a supply of gas, electricity, water or communication services by a specified description of person;                  

(b)a supply of a specified description of goods or services by a specified description of person where the supply is for the                        purpose of enabling or facilitating anything to be done by electronic means.                  

(2)The Secretary of State may by order amend section 372 of that Act of 1986 so as to add to the supplies mentioned in subsection                        (4) of that section any of the following—                  

(a)a supply of gas, electricity, water or communication services by a specified description of person;                  

(b)a supply of a specified description of goods or services by a specified description of person where the supply is for the                        purpose of enabling or facilitating anything to be done by electronic means.                  

(3)The power to make an order under this section includes power to make incidental, supplementary, consequential, transitional                        or saving provision, including doing so by amending any enactment.                  

(4)An order under this section must be made by statutory instrument.                  

(5)A statutory instrument containing an order under this section may not be made unless a draft of the instrument has been laid                        before, and approved by a resolution of, each House of Parliament.                  

(6)In this section—                  
          -  “enactment” includes—                          (a)
an enactment contained in subordinate legislation (within the meaning of the Interpretation Act 1978),
(b)
an enactment contained in, or in an instrument made under, an Act of the Scottish Parliament, and
(c)
an enactment contained in, or in an instrument made under, a Measure or Act of the National Assembly for Wales; and
 
          -  “specified” means specified in the order.                         

#### 93Corporate insolvency: power to give further protection to essential suppliesE+W+S

(1)The Secretary of State may by order make provision for insolvency-related terms of a contract for the supply of essential                        goods or services to a company to cease to have effect where—                  

(a)the company enters administration or a voluntary arrangement under Part 1 of the Insolvency Act 1986 takes effect in relation                        to it, and                  

(b)any conditions specified in the order are met.                  

(2)The order must include provision for securing that, where an insolvency-related term of a contract ceases to have effect under                        the order, the contract may be terminated by the supplier if—                  

(a)an insolvency office-holder consents to the termination,                  

(b)a court grants permission for the termination, or                  

(c)any charges in respect of the supply that are incurred after the company enters administration or the voluntary arrangement                        takes effect are not paid within the period of 28 days beginning with the day on which payment is due.                  

(3)The order must include provision for securing that, where an insolvency-related term of a contract ceases to have effect under                        the order, the supplier may terminate the supply unless an insolvency office-holder personally guarantees the payment of any                        charges in respect of the continuation of the supply.                  

(4)The order may provide for exceptions to the right of a supplier to terminate a supply under provision made by virtue of subsection                        (3).                  

(5)The order must (in addition to the provision mentioned in subsections (2) and (3)) include such other provision as the Secretary                        of State considers appropriate for securing that the interests of suppliers are protected.                  

(6)A contract for the supply of essential goods or services is a contract for a supply mentioned in section 233(3) of the Insolvency                        Act 1986.                  

(7)An insolvency-related term of a contract for the supply of essential goods or services to a company is a provision of the                        contract under which—                  

(a)the contract or the supply would terminate, or any other thing would take place, because the company enters administration                        or the voluntary arrangement takes effect,                  

(b)the supplier would be entitled to terminate the contract or the supply, or to do any other thing, because the company enters                        administration or the voluntary arrangement takes effect, or                  

(c)the supplier would be entitled to terminate the contract or the supply because of an event that occurred before the company                        enters administration or the voluntary arrangement takes effect.                  

(8)In this section, “insolvency office-holder” means—                  

(a)in a case where a company enters administration, the administrator;                  

(b)in the case where a voluntary arrangement under Part 1 of the Insolvency Act 1986 takes effect in relation to a company, the                        supervisor of the voluntary arrangement.                  

#### 94Individual insolvency: power to give further protection to essential suppliesE+W

(1)The Secretary of State may by order make provision for insolvency-related terms of a contract for the supply of essential                        goods or services to an individual to cease to have effect where—                  

(a)a voluntary arrangement proposed by the individual is approved under Part 8 of the Insolvency Act 1986, and                  

(b)any conditions specified in the order are met.                  

(2)The order must include a condition that ensures that an insolvency-related term of a contract for the supply of essential                        goods or services to an individual does not cease to have effect unless the supply is for the purpose of a business that is                        or has been carried on by the individual or with which the individual has or had another connection of a kind specified in                        the order.                  

(3)The order must include provision for securing that, where an insolvency-related term of a contract ceases to have effect under                        the order, the contract may be terminated by the supplier if—                  

(a)the supervisor of the voluntary arrangement consents to the termination,                  

(b)a court grants permission for the termination, or                  

(c)any charges in respect of the supply that are incurred after the voluntary arrangement proposed by the individual is approved                        are not paid within the period of 28 days beginning with the day on which payment is due.                  

(4)The order must include provision for securing that, where an insolvency-related term of a contract ceases to have effect under                        the order, the supplier may terminate the supply unless the supervisor of the voluntary arrangement personally guarantees                        the payment of any charges in respect of the continuation of the supply.                  

(5)The order may provide for exceptions to the right of a supplier to terminate a supply under provision made by virtue of subsection                        (4).                  

(6)The order must (in addition to the provision mentioned in subsections (3) and (4)) include such other provision as the Secretary                        of State considers appropriate for securing that the interests of suppliers are protected.                  

(7)A contract for the supply of essential goods or services is a contract for a supply mentioned in section 372(4) of the Insolvency                        Act 1986.                  

(8)An insolvency-related term of a contract for the supply of essential goods or services to an individual is a provision of                        the contract under which—                  

(a)the contract or the supply would terminate, or any other thing would take place, because the voluntary arrangement proposed                        by the individual is approved,                  

(b)the supplier would be entitled to terminate the contract or the supply, or to do any other thing, because the voluntary arrangement                        proposed by the individual is approved, or                  

(c)the supplier would be entitled to terminate the contract or the supply because of an event that occurred before the voluntary                        arrangement proposed by the individual is approved.                  

#### 95Sections 93 and 94: supplementalE+W+S

(1)The power to make an order under section 93 or 94 includes—                  

(a)power to make different provision for different cases;                  

(b)power to provide for a person to exercise a discretion in a matter;                  

(c)power to make incidental, supplementary, consequential, transitional or saving provision;                  

(d)power to make any provision that may be made by the order by amending the Insolvency Act 1986 or any other enactment.                  

(2)An order under either of those sections may not be made so as to have effect in relation to contracts entered into before                        the order come into force.                  

(3)An order under either of those sections must be made by statutory instrument.                  

(4)A statutory instrument containing an order under either of those sections may not be made unless a draft of the instrument                        has been laid before, and approved by a resolution of, each House of Parliament.                  

(5)In this section, “enactment” has the same meaning as in section 92.                  

### Royal ChartersE+W

#### 96Royal Charters: requirements for Parliamentary approvalE+W

Where a body is established by Royal Charter after 1 March 2013 with functions relating to the carrying on of an industry,                     no recommendation may be made to Her Majesty in Council to amend the body's Charter or dissolve the body unless any requirements                     included in the Charter on the date it is granted for Parliament to approve the amendment or dissolution have been met.                  

### Caste as an aspect of raceE+W+S

#### 97Equality Act 2010: caste as an aspect of raceE+W+S

(1)Section 9(5) of the Equality Act 2010 is amended in accordance with subsections (2) to (4).                  

(2)Omit “may by order”.                  

(3)In paragraph (a) (power to provide for caste to be an aspect of race) at the beginning insert “ must by order ”.                  

(4)In paragraph (b) (power to provide for exceptions to apply or not to apply to caste) at the beginning insert “ may by order ”.                  

(5)A Minister of the Crown—                  

(a)may carry out a review of the effect of section 9(5) of the Equality Act 2010 (and orders made under it) and whether it remains                        appropriate, and                  

(b)must publish a report on the outcome of any such review.                  

(6)The power under subsection (5)(a) may not be exercised before the end of the period of 5 years beginning with the day on which                        this Act is passed (but may be exercised on more than one occasion after that).                  

(7)If a Minister of the Crown considers it appropriate in the light of the outcome of a review under subsection (5), the Minister                        may by order repeal or otherwise amend section 9(5) of the Equality Act 2010.                  

(8)The power to make an order under subsection (7) includes power to make incidental, supplementary, consequential, transitional                        or saving provision, including doing so by amending an Act or subordinate legislation (within the meaning of the Interpretation                        Act 1978).                  

(9)An order under subsection (7) must be made by statutory instrument.                  

(10)A statutory instrument containing an order under subsection (7) may not be made unless a draft of the instrument has been                        laid before, and approved by a resolution of, each House of Parliament.                  

Commencement Information

I108S. 97 wholly in force at 25.6.2013; s. 97 in force for specified purposes at Royal Assent and otherwise in force at 25.6.2013, see s. 103(1)(i)(2)(e)

### Equal pay auditsE+W+S

#### 98Power to provide for equal pay auditsE+W+S

(1)The Equality Act 2010 is amended as follows.                  

(2)After section 139 insert—                  

##### “139A Equal pay audits

(1)Regulations may make provision requiring an employment tribunal to order the respondent to carry out an equal pay audit in                           any case where the tribunal finds that there has been an equal pay breach.                  

(2)An equal pay breach is—                  

(a)a breach of an equality clause, or                  

(b)a contravention in relation to pay of section 39(2), 49(6) or 50(6), so far as relating to sex discrimination.                  

(3)An equal pay audit is an audit designed to identify action to be taken to avoid equal pay breaches occurring or continuing.                  

(4)The regulations may make further provision about equal pay audits, including provision about—                  

(a)the content of an audit;                  

(b)the powers and duties of a tribunal for deciding whether its order has been complied with;                  

(c)any circumstances in which an audit may be required to be published or may be disclosed to any person.                  

(5)The regulations must provide for an equal pay audit not to be ordered where the tribunal considers that—                  

(a)an audit completed by the respondent in the previous 3 years meets requirements prescribed for this purpose,                  

(b)it is clear without an audit whether any action is required to avoid equal pay breaches occurring or continuing,                  

(c)the breach the tribunal has found gives no reason to think that there may be other breaches, or                  

(d)the disadvantages of an equal pay audit would outweigh its benefits.                  

(6)The regulations may provide for an employment tribunal to have power, where a person fails to comply with an order to carry                           out an equal pay audit, to order that person to pay a penalty to the Secretary of State of not more than an amount specified                           in the regulations.                  

(7)The regulations may provide for that power—                  

(a)to be exercisable in prescribed circumstances;                  

(b)to be exercisable more than once, if the failure to comply continues.                  

(8)The first regulations made by virtue of subsection (6) must not specify an amount of more than £5,000.                  

(9)Sums received by the Secretary of State under the regulations must be paid into the Consolidated Fund.                  

(10)The first regulations under this section must specify an exemption period during which the requirement to order an equal pay                           audit does not apply in the case of a business that—                  

(a)had fewer than 10 employees immediately before a specified time, or                  

(b)was begun as a new business in a specified period.                  

(11)For the purposes of subsection (10)—                  

(a)“specified” means specified in the regulations, and                  

(b)the number of employees a business had or the time when a business was begun as a new business is to be determined in accordance                           with the regulations.                  

(12)Before making regulations under this section, a Minister of the Crown must consult any other Minister of the Crown with responsibility                           for employment tribunals.”                  

(3)In section 207(6) (exercise of power to make subordinate legislation: power to amend enactments) after “37,” and after “in                        the case of section” insert “ 139A, ”.                  

(4)In section 208(5) (subordinate legislation by Ministers of the Crown etc: affirmative procedure) after paragraph (e) insert—                  

“(ea)regulations under section 139A (equal pay audits);”.                  

### GeneralU.K.

#### 99Consequential amendments, repeals and revocationsU.K.

(1)The Secretary of State may by order made by statutory instrument make such provision as the Secretary of State considers appropriate                        in consequence of this Act.                  

(2)The power conferred by subsection (1) includes power—                  

(a)to make transitional, transitory or saving provision;                  

(b)to amend, repeal, revoke or otherwise modify any provision made by or under an enactment (including any enactment passed or                        made in the same Session as this Act).                  

(3)An order under subsection (1) which makes provision for the transfer of a function from the Competition Commission or the                        Office of Fair Trading to the Competition and Markets Authority in consequence of Part 3 of this Act may make such modifications                        to the function as the Secretary of State considers appropriate in consequence of the transfer.                  

(4)The modifications mentioned in subsection (3) may, in particular, alter the circumstances in which, or the conditions under                        which, the function is exercisable.                  

(5)A statutory instrument containing (whether alone or with other provision) an order under this section which amends, repeals                        or revokes any provision of primary legislation is not to be made unless a draft of the instrument has been laid before, and                        approved by a resolution of, each House of Parliament.                  

(6)A statutory instrument containing an order under this section which does not amend, repeal or revoke any provision of primary                        legislation is subject to annulment in pursuance of a resolution of either House of Parliament.                  

(7)In this section—                  
          -  “enactment” includes an Act of the Scottish Parliament, a Measure or Act of the National Assembly for Wales and Northern Ireland legislation;                         
          -  “primary legislation” means—                          (a)
an Act of Parliament,
(b)
an Act of the Scottish Parliament,
(c)
a Measure or Act of the National Assembly for Wales, and
(d)
Northern Ireland legislation.
 

#### 100Transitional, transitory or saving provisionU.K.

The Secretary of State may by order made by statutory instrument make such transitional, transitory or saving provision as                     the Secretary of State considers appropriate in connection with the coming into force of any provision of this Act.                  

#### 101Financial provisionU.K.

There is to be paid out of money provided by Parliament—

(a)any expenditure incurred under or by virtue of this Act by the Secretary of State or the Competition and Markets Authority,                        and                  

(b)any increase attributable to this Act in the sums payable under any other Act out of money so provided.                  

#### 102ExtentU.K.

(1)Part 1 extends to England and Wales, Scotland and Northern Ireland.                  

(2)Part 2 extends only to England and Wales and Scotland, except that the following provisions of that Part extend also to Northern                        Ireland—                  

(a)section 23(3);                  

(b)paragraph 11 of Schedule 1;                  

(c)paragraphs 36 to 39 of Schedule 2.                  

(3)Part 3 extends to England and Wales, Scotland and Northern Ireland, except as follows—                  

(a)paragraphs 15 to 44, 69 to 84 and 101 to 107 of Schedule 6 extend only to England and Wales and Scotland;                  

(b)paragraphs 52 to 68, 96, 108 to 123 and 127 to 139 of that Schedule extend only to England and Wales;                  

(c)paragraphs 9 to 14, 45 to 51, 171 to 180 and 192 to 209 of that Schedule extend only to Scotland;                  

(d)paragraphs 149 to 170 and 181 to 191 of that Schedule extend only to Northern Ireland.                  

(4)Part 4 extends to England and Wales, Scotland and Northern Ireland, except as follows—                  

(a)paragraphs 1 to 7 and 11 to 14 of Schedule 14 and paragraphs 2, 3, 7, 13 and 41 of Schedule 15, extend only to England and                        Wales and Scotland;                  

(b)paragraphs 8 to 10 and 20 to 22 of Schedule 14, and paragraphs 4 to 6 and 47 to 49 of Schedule 15, extend only to England                        and Wales;                  

(c)paragraphs 23 to 29 of Schedule 14, and paragraphs 53 to 55 of Schedule 15, extend only to Northern Ireland.                  

(5)Part 5 extends as follows—                  

(a)sections 59, 62, 67, 68 and 70 and Part 1 of Schedule 21 extend to England and Wales, Scotland and Northern Ireland,                  

(b)section 69 extends only to England and Wales and Scotland except that it also extends to Northern Ireland so far as Parts                        1 and 4 of the Health and Safety at Work etc. Act 1974 extend there,                  

(c)sections 64, 65 and 66 and paragraphs 1, 56 to 58, 60 and 66 of Schedule 19 (and section 71(3) so far as it relates to those                        paragraphs) extend only to England and Wales and Scotland,                  

(d)sections 60, 61, 63, 71(1) and (2) and 72(1) to (3), Schedules 16, 17 and 18, paragraphs 2 to 55, 59, 61 to 65 of Schedule                        19 (and section 71(3) so far as it relates to those paragraphs) and Parts 2 and 3 of Schedule 21 extend only to England and                        Wales, and                  

(e)an amendment, repeal or revocation made by Schedule 20 has the same extent as the provision amended, repealed or revoked,                        subject to subsection (6).                  

(6)The repeals of the following provisions in Schedule 20 extend to England and Wales only—                  

(a)section 67 of the Agriculture Act 1967,                  

(b)paragraph 32 of Schedule 2 to the Social Security (Consequential Provisions) Act 1975,                  

(c)paragraph 10 of Schedule 4 to the Social Security Pensions Act 1975,                  

(d)paragraph 12 of Schedule 17 to the Employment Protection Act 1975, and                  

(e)paragraph 4 of Schedule 2 to the Social Security (Consequential Provisions) Act 1992.                  

(7)If a provision repealed by Part 1 of Schedule 21 extends to the Isle of Man or any of the Channel Islands, Her Majesty may                        by Order in Council extend the repeal there.                  

(8)This Part extends to England and Wales, Scotland and Northern Ireland except that—                  

(a)sections 92, 93, 95, 97 and 98 extend only to England and Wales and Scotland;                  

(b)sections 83 to 88, 94 and 96 extend only to England and Wales.                  

#### 103CommencementU.K.

(1)The following provisions come into force on the day on which this Act is passed—                  

(a)section 10;                  

(b)section 24;                  

(c)section 28;                  

(d)sections 52 and 53;                  

(e)section 59;                  

(f)sections 75 to 78 and Schedule 22;                  

(g)sections 92 to 96;                  

(h)sections 98 to 104;                  

(i)any other provision so far as is necessary for enabling the exercise on or after the day on which this Act is passed of any                        power (arising under or by virtue of that provision) to make provision by regulations, rules or order made by statutory instrument.                  

(2)The following provisions (so far as not already in force by virtue of subsection (1)(i)) come into force at the end of the                        period of 2 months beginning with the day on which this Act is passed—                  

(a)Part 1;                  

(b)sections 12, 13, 15, 17, 18, 20, 21 and 22;                  

(c)section 62;                  

(d)section 64;                  

(e)section 97;                  

(f)paragraphs 7 and 8 of Schedule 17 (and section 63 so far as it relates to them);                  

(g)Parts 1 and 2 of Schedule 21 (and section 73 so far as it relates to them).                  

(3)Except as provided by subsections (1) and (2), the provisions of this Act come into force on such day as the Secretary of                        State may by order made by statutory instrument appoint.                  

(4)An order under subsection (3) may appoint different days for different purposes.                  

#### 104Short titleU.K.

This Act may be cited as the Enterprise and Regulatory Reform Act 2013.

# SCHEDULES

 Section 7(2)

## SCHEDULE 1U.K.Conciliation: minor and consequential amendments

### Trade Union and Labour Relations (Consolidation) Act 1992 (c. 52)E+W+S

1E+W+SIn section 288 of the Trade Union and Labour Relations (Consolidation) Act 1992 (restriction on contracting out), in subsection                        (2), for “section 18” substitute “ any of sections 18A to 18C ”.

Commencement Information

I109Sch. 1 para. 1 in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, **art. 3(f)** (with art. 5(1))

### Employment Tribunals Act 1996 (c. 17)E+W+S

2E+W+SThe Employment Tribunals Act 1996 is amended as follows.

Commencement Information

I110Sch. 1 para. 2 in force at 6.3.2014 in so far as not already in force by S.I. 2014/253, **art. 2**

3E+W+SIn section 7 (employment tribunal procedure regulations), in subsection (3ZA)(b), after “form” insert “ (including certificates issued under section 18A(4)) ”.

Commencement Information

I111Sch. 1 para. 3 in force at 6.3.2014 in so far as not already in force by S.I. 2014/253, **art. 2**

4E+W+SIn section 7B (mediation), in subsection (5), for “the Advisory, Conciliation and Arbitration Service” substitute “ ACAS ”.

Commencement Information

I112Sch. 1 para. 4 in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, **art. 3(f)**

5(1)Section 18 (conciliation) is amended as follows.E+W+S

(2)At the end of the heading insert “ : relevant proceedings etc. ”

(3)In subsection (1), for the words before paragraph (a) substitute “ In this section and sections 18A to 18C “relevant proceedings” means employment tribunal proceedings— ”.

(4)In subsection (1)(b)—

(a)after “68” insert “ , 70B ”;

(b)after “Act 1992” insert “ or paragraph 156 of Schedule A1 to that Act ”.

(5)In subsection (1)(dd), for “20(1)(a)” substitute “ 19D(1)(a) ”.

(6)Omit subsection (1)(f) and (n).

(7)After subsection (1) insert—

“(1A)Sections 18A and 18B apply in the case of matters which could be the subject of relevant proceedings, and section 18C applies                           in the case of relevant proceedings themselves.”                  

(8)Omit subsections (2) to (5).

(9)In subsections (6) and (7), for “this section” substitute “ any of sections 18A to 18C ”.

Commencement Information

I113Sch. 1 para. 5 in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, **art. 3(f)** (with art. 5(1)(2))

6E+W+SAfter section 18B (inserted by section 7(1)) insert—

#### “18CConciliation after institution of proceedings

(1)Where an application instituting relevant proceedings has been presented to an employment tribunal, and a copy of it has been                           sent to a conciliation officer, the conciliation officer shall endeavour to promote a settlement—                  

(a)if requested to do so by the person by whom and the person against whom the proceedings are brought, or                  

(b)if, in the absence of any such request, the conciliation officer considers that the officer could act under this section with                           a reasonable prospect of success.                  

(2)Where a person who has presented a complaint to an employment tribunal under section 111 of the Employment Rights Act 1996                           has ceased to be employed by the employer against whom the complaint was made, the conciliation officer may in particular—                  

(a)seek to promote the reinstatement or re-engagement of the complainant by the employer, or by a successor of the employer or                           by an associated employer, on terms appearing to the conciliation officer to be equitable, or                  

(b)where the complainant does not wish to be reinstated or re-engaged, or where reinstatement or re-engagement is not practicable,                           and the parties desire the conciliation officer to act, seek to promote agreement between them as to a sum by way of compensation                           to be paid by the employer to the complainant.                  

(3)In subsection (1) “settlement” means a settlement that brings proceedings to an end without their being determined by an employment tribunal.”                  

Commencement Information

I114Sch. 1 para. 6 in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, **art. 3(f)**

7E+W+SIn section 19A (conciliation: recovery of sums payable under compromises), in subsection (1)(a)(i), for “section 18” substitute                        “ any of sections 18A to 18C ”.

Commencement Information

I115Sch. 1 para. 7 in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, **art. 3(f)** (with art. 5(1))

8E+W+SIn section 40 (power to amend Act), in subsection (2), omit the words from “and to section 18” to the end.

Commencement Information

I116Sch. 1 para. 8 in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, **art. 3(f)**

9E+W+SIn section 42 (interpretation), in subsection (1)—

(a)before the definition of “the Appeal Tribunal” insert—

““ACAS” means the Advisory, Conciliation and Arbitration Service,”;                  

(b)in the definition of “conciliation officer” for “the Advisory, Conciliation and Arbitration Service” substitute “ ACAS ”.

Commencement Information

I117Sch. 1 para. 9 in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, **art. 3(f)**

### Employment Rights Act 1996 (c. 18)E+W+S

10E+W+SIn section 203 of the Employment Rights Act 1996 (restrictions on contracting out), in subsection (2)(e), for “section 18”                        substitute “ any of sections 18A to 18C ”.

Commencement Information

I118Sch. 1 para. 10 in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, **art. 3(f)** (with art. 5(1))

### National Minimum Wage Act 1998 (c. 39)U.K.

11U.K.In section 49 of the National Minimum Wage Act 1998 (restrictions on contracting out), in subsection (2)(a), for “section                        18” substitute “ any of sections 18A to 18C ”.

Commencement Information

I119Sch. 1 para. 11 in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, **art. 3(f)** (with art. 5(1))

### Employment Act 2008 (c. 24)E+W+S

12E+W+SSection 5 of the Employment Act 2008 (which amends provisions repealed by paragraph 5(8)) is omitted.

Commencement Information

I120Sch. 1 para. 12 in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, **art. 3(f)**

### Pensions Act 2008 (c. 30)E+W+S

13E+W+SIn section 58 of the Pensions Act 2008 (restrictions on agreements to limit operation of Part 1), in subsection (3), for “section                        18” substitute “ any of sections 18A to 18C ”.

Commencement Information

I121Sch. 1 para. 13 in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, **art. 3(f)** (with art. 5(1))

 Section 8

## SCHEDULE 2U.K.Extension of limitation periods to allow for conciliation

### Trade Union and Labour Relations (Consolidation) Act 1992 (c. 52)E+W+S

1E+W+SThe Trade Union and Labour Relations (Consolidation) Act 1992 is amended as follows.

Commencement Information

I122Sch. 2 para. 1 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

2E+W+SIn section 66 (complaint of infringement of right under section 64), after subsection (2) insert—

“(2A)Section 292A (extension of time limits to facilitate conciliation before institution of proceedings) applies for the purposes                           of subsection (2)(a).”                  

Commencement Information

I123Sch. 2 para. 2 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

3E+W+SIn section 68A (complaint of infringement of right under section 68), after subsection (1) insert—

“(1A)Section 292A (extension of time limits to facilitate conciliation before institution of proceedings) applies for the purposes                           of subsection (1)(a).”                  

Commencement Information

I124Sch. 2 para. 3 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

4E+W+SIn section 70C (section 70B: complaint to employment tribunal), after subsection (2) insert—

“(2A)Section 292A (extension of time limits to facilitate conciliation before institution of proceedings) applies for the purposes                           of subsection (2)(a).”                  

Commencement Information

I125Sch. 2 para. 4 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

5E+W+SIn section 87 (complaint in respect of employer's failure under section 86), after subsection (2) insert—

“(2A)Section 292A (extension of time limits to facilitate conciliation before institution of proceedings) applies for the purposes                           of subsection (2)(a).”                  

Commencement Information

I126Sch. 2 para. 5 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

6E+W+SIn section 139 (time limit for proceedings under sections 137 and 138), after subsection (3) insert—

“(4)Section 292A (extension of time limits to facilitate conciliation before institution of proceedings) applies for the purposes                           of subsection (1)(a).”                  

Commencement Information

I127Sch. 2 para. 6 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

7(1)Section 145C (time limit for proceedings under sections 145A and 145B) is amended as follows.E+W+S

(2)The existing text becomes subsection (1).

(3)After that subsection insert—

“(2)Section 292A (extension of time limits to facilitate conciliation before institution of proceedings) applies for the purposes                           of subsection (1)(a).”                  

Commencement Information

I128Sch. 2 para. 7 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

8E+W+SIn section 147 (time limit for proceedings under section 146), after subsection (3) insert—

“(4)Section 292A (extension of time limits to facilitate conciliation before institution of proceedings) applies for the purposes                           of subsection (1)(a).”                  

Commencement Information

I129Sch. 2 para. 8 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

9(1)Section 171 (time limit for proceedings under sections 168, 168A, 169 and 170) is amended as follows.E+W+S

(2)The existing text becomes subsection (1).

(3)After that subsection insert—

“(2)Section 292A (extension of time limits to facilitate conciliation before institution of proceedings) applies for the purposes                           of subsection (1)(a).”                  

Commencement Information

I130Sch. 2 para. 9 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

10(1)Section 175 (time limit for proceedings under section 174) is amended as follows.E+W+S

(2)The existing text becomes subsection (1).

(3)After that subsection insert—

“(2)Section 292A (extension of time limits to facilitate conciliation before institution of proceedings) applies for the purposes                           of subsection (1)(a).”                  

Commencement Information

I131Sch. 2 para. 10 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

11E+W+SIn section 189 (complaint: contravention of section 188), after subsection (5) insert—

“(5A)Where the complaint concerns a failure to comply with a requirement of section 188, section 292A (extension of time limits                           to facilitate conciliation before institution of proceedings) applies for the purposes of subsection (5)(b).”                  

Commencement Information

I132Sch. 2 para. 11 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

12E+W+SIn section 192 (complaint by employee to employment tribunal: contravention of section 190), after subsection (2) insert—

“(2A)Section 292A (extension of time limits to facilitate conciliation before institution of proceedings) applies for the purposes                           of subsection (2)(a).”                  

Commencement Information

I133Sch. 2 para. 12 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

13E+W+SAfter section 292 insert—

#### “292AExtension of time limits to facilitate conciliation before institution of proceedings

(1)This section applies where this Act provides for it to apply for the purposes of a provision of this Act (a “relevant provision”).                  

(2)In this section—                  

(a)Day A is the day on which the complainant concerned complies with the requirement in subsection (1) of section 18A of the                           Employment Tribunals Act 1996 (requirement to contact ACAS before instituting proceedings) in relation to the matter in respect                           of which the proceedings are brought, and                  

(b)Day B is the day on which the complainant concerned receives or, if earlier, is treated as receiving (by virtue of regulations                           made under subsection (11) of that section) the certificate issued under subsection (4) of that section.                  

(3)In working out when a time limit set by a relevant provision expires the period beginning with the day after Day A and ending                           with Day B is not to be counted.                  

(4)If a time limit set by a relevant provision would (if not extended by this subsection) expire during the period beginning                           with Day A and ending one month after Day B, the time limit expires instead at the end of that period.                  

(5)Where an employment tribunal has power under this Act to extend a time limit set by a relevant provision, the power is exercisable                           in relation to the time limit as extended by this section.”                  

Commencement Information

I134Sch. 2 para. 13 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

14E+W+SIn Schedule A1 (collective bargaining: recognition), in paragraph 157 (complaint to employment tribunal: contravention of                        paragraph 156), after sub-paragraph (3) insert—

“(4)Section 292A (extension of time limits to facilitate conciliation before institution of proceedings) applies for the purposes                           of sub-paragraph (1)(a).”                  

Commencement Information

I135Sch. 2 para. 14 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

### Employment Rights Act 1996 (c. 18)E+W+S

15E+W+SThe Employment Rights Act 1996 is amended as follows.

Commencement Information

I136Sch. 2 para. 15 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

16E+W+SIn section 11 (references to employment tribunals: contravention of section 8), after subsection (5) insert—

“(6)Where the reference concerns compliance with section 8, section 207B (extension of time limits to facilitate conciliation                           before institution of proceedings) also applies for the purposes of subsection (4)(a).”                  

Commencement Information

I137Sch. 2 para. 16 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

17E+W+SIn section 23 (complaints to employment tribunals: contravention of section 13, 15, 18(1) or 21(1)), in subsection (3A), for                        “applies” substitute “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I138Sch. 2 para. 17 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

18E+W+SIn section 34 (complaints to employment tribunals: contravention of section 28), in subsection (2A), for “applies” substitute                        “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I139Sch. 2 para. 18 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

19E+W+SIn section 48 (complaints to employment tribunals: contravention of Part 5), in subsection (4A), for “applies” substitute                        “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I140Sch. 2 para. 19 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

20E+W+SIn section 51 (complaints to employment tribunals: contravention of section 50), in subsection (2A), for “applies” substitute                        “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I141Sch. 2 para. 20 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

21E+W+SIn section 54 (complaints to employment tribunals: contravention of section 52 or 53), in subsection (2A), for “applies” substitute                        “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I142Sch. 2 para. 21 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

22E+W+SIn section 57 (complaints to employment tribunals: contravention of section 55 or 56), in subsection (2A), for the words from                        “applies” to the end substitute “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply for the purposes                           of subsection (2)(a) ”.

Commencement Information

I143Sch. 2 para. 22 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

23E+W+SIn section 57ZC (complaint to employment tribunal: agency workers), after subsection (3) insert—

“(3A)Section 207A(3) (extension because of mediation in certain European cross-border disputes) and section 207B (extension of                           time limits to facilitate conciliation before institution of proceedings) apply for the purposes of subsection (3)(a).”                  

Commencement Information

I144Sch. 2 para. 23 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

24E+W+SIn section 57B (complaint to employment tribunal: contravention of section 57A), in subsection (2A), for “applies” substitute                        “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I145Sch. 2 para. 24 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

25E+W+SIn section 60 (complaints to employment tribunals: contravention of section 58 or 59), in subsection (2A), for “applies” substitute                        “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I146Sch. 2 para. 25 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

26E+W+SIn section 63 (complaints to employment tribunals: contravention of section 61 or 62), in subsection (2A), for “applies” substitute                        “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I147Sch. 2 para. 26 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

27E+W+SIn section 63C (complaints to employment tribunals: contravention of section 63A or 63B), in subsection (2A), for “applies”                        substitute “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I148Sch. 2 para. 27 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

28E+W+SIn section 63I (complaints to employment tribunals: contravention of section 63F(4), (5) or (6) or 63I(1)(b)), in subsection                        (7), for “applies” substitute “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I149Sch. 2 para. 28 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

29E+W+SIn section 70 (complaints to employment tribunals: contravention of section 64, 67 or 68), in subsection (8), for “applies”                        substitute “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I150Sch. 2 para. 29 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

30E+W+SIn section 70A (complaints to employment tribunals: agency workers), after subsection (7) insert—

“(7A)Section 207A(3) (extension because of mediation in certain European cross-border disputes) and section 207B (extension of                           time limits to facilitate conciliation before institution of proceedings) apply for the purposes of subsections (2)(a) and                           (5)(a).”                  

Commencement Information

I151Sch. 2 para. 30 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

31E+W+SIn section 80 (complaint to employment tribunal: parental leave), in subsection (2A), for “applies” substitute “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I152Sch. 2 para. 31 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

32E+W+SIn section 80H (complaints to employment tribunals: contravention of section 80G(1) or 80H(1)(b)), in subsection (7), for                        “applies” substitute “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I153Sch. 2 para. 32 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

33E+W+SIn section 111 (complaints to employment tribunal: contravention of section 92 or Part 10), in subsection (2A), for “applies”                        substitute “ and section 207B (extension of time limits to facilitate conciliation before institution of proceedings) apply ”.

Commencement Information

I154Sch. 2 para. 33 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

34E+W+SIn section 164 (claims for redundancy payment: contravention of section 135), after subsection (4) insert—

“(5)Section 207B (extension of time limits to facilitate conciliation before institution of proceedings) applies for the purposes                           of subsections (1)(c) and (2).”                  

Commencement Information

I155Sch. 2 para. 34 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

35E+W+SAfter section 207A (extension of time limits because of mediation in certain cross-border disputes) insert—

#### “207BExtension of time limits to facilitate conciliation before institution of proceedings

(1)This section applies where this Act provides for it to apply for the purposes of a provision of this Act (a “relevant provision”).                  

But it does not apply to a dispute that is (or so much of a dispute as is) a relevant dispute for the purposes of section                        207A.                  

(2)In this section—                  

(a)Day A is the day on which the complainant or applicant concerned complies with the requirement in subsection (1) of section                           18A of the Employment Tribunals Act 1996 (requirement to contact ACAS before instituting proceedings) in relation to the matter                           in respect of which the proceedings are brought, and                  

(b)Day B is the day on which the complainant or applicant concerned receives or, if earlier, is treated as receiving (by virtue                           of regulations made under subsection (11) of that section) the certificate issued under subsection (4) of that section.                  

(3)In working out when a time limit set by a relevant provision expires the period beginning with the day after Day A and ending                           with Day B is not to be counted.                  

(4)If a time limit set by a relevant provision would (if not extended by this subsection) expire during the period beginning                           with Day A and ending one month after Day B, the time limit expires instead at the end of that period.                  

(5)Where an employment tribunal has power under this Act to extend a time limit set by a relevant provision, the power is exercisable                           in relation to the time limit as extended by this section.”                  

Commencement Information

I156Sch. 2 para. 35 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

### National Minimum Wage Act 1998 (c. 39)U.K.

36U.K.The National Minimum Wage Act 1998 is amended as follows.

Commencement Information

I157Sch. 2 para. 36 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

37U.K.In section 11 (failure of employer to allow access to records), after subsection (4) insert—

“(4A)Where the complaint is presented to an employment tribunal in England and Wales or Scotland, section 11A applies for the purposes                           of subsection (3).”                  

Commencement Information

I158Sch. 2 para. 37 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

38U.K.After section 11 insert—

#### “11AExtension of time limit to facilitate conciliation before institution of proceedings

(1)In this section—                  

(a)Day A is the day on which the worker concerned complies with the requirement in subsection (1) of section 18A of the Employment                           Tribunals Act 1996 (requirement to contact ACAS before instituting proceedings) in relation to the matter in respect of which                           the proceedings are brought, and                  

(b)Day B is the day on which the worker concerned receives or, if earlier, is treated as receiving (by virtue of regulations                           made under subsection (11) of that section) the certificate issued under subsection (4) of that section.                  

(2)In working out when the time limit set by section 11(3) expires the period beginning with the day after Day A and ending with                           Day B is not to be counted.                  

(3)If the time limit set by section 11(3) would (if not extended by this subsection) expire during the period beginning with                           Day A and ending one month after Day B, the time limit expires instead at the end of that period.                  

(4)The power conferred on the employment tribunal by subsection (4) of section 11 to extend the time limit set by subsection                           (3) of that section is exercisable in relation to that time limit as extended by this section.”                  

Commencement Information

I159Sch. 2 para. 38 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

39U.K.In section 24 (enforcement of right under section 23), in subsection (2)(a), for “sections 48(2) to (4)” substitute “ sections 48(2) to (4A) ”.

Commencement Information

I160Sch. 2 para. 39 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

### Employment Relations Act 1999 (c. 26)E+W+S

40E+W+SIn section 11 of the Employment Relations Act 1999 (complaint to employment tribunal), after subsection (2) insert—

“(2A)Section 207A(3) (extension because of mediation in certain European cross-border disputes) and section 207B (extension of                           time limits to facilitate conciliation before institution of proceedings) of the Employment Rights Act 1996 apply for the                           purposes of subsection (2)(a).                  

(2B)Subsections (2) and (2A) are to be treated as provisions of the Employment Rights Act 1996 for the purposes of sections 207A                           and 207B of that Act.”                  

Commencement Information

I161Sch. 2 para. 40 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

### Pensions Act 2008 (c. 30)E+W+S

41E+W+SIn section 56 of the Pensions Act 2008 (enforcement of right under section 55), in subsection (2), for “sections 48(2) to                        (4)” substitute “ sections 48(2) to (4A) ”.

Commencement Information

I162Sch. 2 para. 41 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

### Equality Act 2010 (c. 15)E+W+S

42E+W+SThe Equality Act 2010 is amended as follows.

Commencement Information

I163Sch. 2 para. 42 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

43E+W+SIn section 123 (time limits: proceedings under section 120), in subsection (1), for “section 140A” substitute “ sections 140A and 140B ”.

Commencement Information

I164Sch. 2 para. 43 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

44E+W+SIn section 129 (time limits: proceedings under section 127)—

(a)in subsection (3), for “section 140A” substitute “ sections 140A and 140B ”;

(b)in subsection (4), after “the period mentioned in the second column” insert “ , subject to section 140B ”.

Commencement Information

I165Sch. 2 para. 44 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

45E+W+SAfter section 140A (extension of time limits because of mediation in certain cross-border disputes) insert—

#### “140BExtension of time limits to facilitate conciliation before institution of proceedings

(1)This section applies where a time limit is set by section 123(1)(a) or 129(3) or (4).                  

But it does not apply to a dispute that is (or so much of a dispute as is) a relevant dispute for the purposes of section                        140A.                  

(2)In this section—                  

(a)Day A is the day on which the complainant or applicant concerned complies with the requirement in subsection (1) of section                           18A of the Employment Tribunals Act 1996 (requirement to contact ACAS before instituting proceedings) in relation to the matter                           in respect of which the proceedings are brought, and                  

(b)Day B is the day on which the complainant or applicant concerned receives or, if earlier, is treated as receiving (by virtue                           of regulations made under subsection (11) of that section) the certificate issued under subsection (4) of that section.                  

(3)In working out when the time limit set by section 123(1)(a) or 129(3) or (4) expires the period beginning with the day after                           Day A and ending with Day B is not to be counted.                  

(4)If the time limit set by section 123(1)(a) or 129(3) or (4) would (if not extended by this subsection) expire during the period                           beginning with Day A and ending one month after Day B, the time limit expires instead at the end of that period.                  

(5)The power conferred on the employment tribunal by subsection (1)(b) of section 123 to extend the time limit set by subsection                           (1)(a) of that section is exercisable in relation to that time limit as extended by this section.”                  

Commencement Information

I166Sch. 2 para. 45 in force at 6.4.2014 by S.I. 2014/253, **art. 3(g)**

 Section 16(2)

## SCHEDULE 3E+W+SFinancial penalties: minor and consequential amendments

### Trade Union and Labour Relations (Consolidation) Act 1992 (c. 52)E+W+S

1E+W+SIn section 138 of the Trade Union and Labour Relations (Consolidation) Act 1992 (refusal of service of employment agency on                        grounds related to union membership), after subsection (2) insert—

“(2A)Section 12A of the Employment Tribunals Act 1996 (financial penalties) applies in relation to a complaint under this section                           as it applies in relation to a claim involving an employer and a worker (reading references to an employer as references to                           the employment agency and references to a worker as references to the complainant).”                  

Commencement Information

I167Sch. 3 para. 1 in force at 6.4.2014 by S.I. 2014/253, **art. 3(h)**

### Employment Tribunals Act 1996 (c. 17)E+W+S

2E+W+SThe Employment Tribunals Act 1996 is amended as follows.

Commencement Information

I168Sch. 3 para. 2 in force at 6.4.2014 by S.I. 2014/253, **art. 3(h)**

3E+W+SBefore section 13 insert— “ Costs etc, interest and enforcement ”.

Commencement Information

I169Sch. 3 para. 3 in force at 6.4.2014 by S.I. 2014/253, **art. 3(h)**

4(1)In section 41 (orders, regulations and rules), in subsection (2) (orders etc subject to affirmative resolution procedure),                        after “4(4) or (6D)” insert “ , 12A(12) ”.E+W+S

(2)If this paragraph comes into force before section 11, sub-paragraph (1) has effect as if “4(4)” were substituted for “ 4(4) or (6D) ”.

Commencement Information

I170Sch. 3 para. 4 in force at 6.4.2014 by S.I. 2014/253, **art. 3(h)**

### Employment Rights Act 1996 (c. 18)E+W+S

5E+W+SIn section 201 of the Employment Rights Act 1996 (power to extend employment legislation to offshore employment), after subsection                        (3) insert—

“(3A)Where an Order in Council under this section confers jurisdiction on an employment tribunal, the jurisdiction conferred includes                           power to make an order under section 12A of the Employment Tribunals Act 1996 (financial penalties), and that section applies                           accordingly.”                  

Commencement Information

I171Sch. 3 para. 5 in force at 6.4.2014 by S.I. 2014/253, **art. 3(h)**

### Agency Workers Regulations 2010 (S.I. 2010/93)E+W+S

6E+W+SIn regulation 18 of the Agency Workers Regulations 2010 (complaints to employment tribunals etc), after paragraph (14) insert—

“(14A)In relation to an infringement or breach for which a tribunal orders a respondent to pay compensation under paragraph (8)(b),                           the tribunal may order the respondent also to pay a penalty under section 12A of the Employment Tribunals Act 1996 only if                           the tribunal decides not to exercise the power under paragraph (14) to make an additional award of compensation against the                           respondent.”                  

Commencement Information

I172Sch. 3 para. 6 in force at 6.4.2014 by S.I. 2014/253, **art. 3(h)**

 Section 25(4)

## SCHEDULE 4U.K.The Competition and Markets Authority

### **PART 1**U.K.General

#### MembershipU.K.

1(1)The CMA is to consist of—U.K.

(a)a person appointed by the Secretary of State to chair the CMA and the CMA Board (the “chair”), and

(b)other persons appointed by the Secretary of State to membership of—

(i)the CMA Board (see Part 2);

(ii)the CMA panel (see Part 3);

(iii)both the CMA Board and the CMA panel.

(2)The Secretary of State must consult the chair before making an appointment under sub-paragraph (1)(b).

(3)At least five of the members appointed under sub-paragraph (1)(b) must be appointed to membership of the CMA Board.

(4)At least one of the members appointed under sub-paragraph (1)(b) must be appointed to membership of the CMA Board and to membership                        of the CMA panel.

(5)Of the persons appointed to membership of the CMA Board under sub-paragraph (1)(b), no more than half may be members of staff                        of the CMA.

(6)In this Schedule, references to members of the CMA are to persons appointed under sub-paragraph (1).

(7)A person holding office as a member of the Competition Appeal Tribunal is ineligible for appointment under this paragraph.

Commencement Information

I173Sch. 4 para. 1 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Terms and conditionsU.K.

2(1)The members of the CMA are to hold and vacate office in accordance with the terms and conditions of their appointments.U.K.

(2)Those terms and conditions are to be determined by the Secretary of State.

Commencement Information

I174Sch. 4 para. 2 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Term of appointmentU.K.

3(1)Appointment to membership of the CMA Board under paragraph 1(1)(b) is to be for a term of not more than five years.U.K.

(2)Appointment to membership of the CMA panel under paragraph 1(1)(b) is to be for a term of not more than eight years.

(3)Appointment as the chair is to be for a term of not more than five years.

Commencement Information

I175Sch. 4 para. 3 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Re-appointmentU.K.

4(1)A person who has been appointed to membership of the CMA panel may be re-appointed to membership of the CMA panel only for                        the purpose of continuing to act as a member of a group constituted under paragraph 36 before the expiry of his or her term                        of office.U.K.

(2)Subject to sub-paragraph (1), a person's previous appointment under paragraph 1 does not affect eligibility for a subsequent                        appointment under that paragraph.

Commencement Information

I176Sch. 4 para. 4 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Remuneration etc of membersU.K.

5(1)The CMA must pay to its members such remuneration, allowances and expenses as the Secretary of State may determine.U.K.

(2)The CMA must pay or make provision for the payment of such pension, allowances or gratuities as the Secretary of State may                        determine to or in respect of a current or former member.

(3)If a person ceases to hold an office to which he or she has been appointed under paragraph 1, and the Secretary of State decides                        that there are special circumstances which mean that the person should be compensated, the CMA must pay compensation to the                        person of such amount as the Secretary of State may determine.

Commencement Information

I177Sch. 4 para. 5 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### ResignationU.K.

6(1)The chair may at any time resign from membership of the CMA by giving written notice to this effect to the Secretary of State.U.K.

(2)A person who is a member of either the CMA Board or the CMA panel (but not of both) may at any time resign from membership                        of the CMA by giving written notice to this effect to the Secretary of State.

(3)A person who is a member of both the CMA Board and the CMA panel may at any time, by giving written notice to this effect                        to the Secretary of State—

(a)resign from membership of either the CMA Board or the CMA panel, or

(b)resign from membership of the CMA.

Commencement Information

I178Sch. 4 para. 6 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Termination of membershipU.K.

7U.K.The Secretary of State may at any time remove a person from office as a member of the CMA on any of the following grounds—

(a)incapacity;

(b)misbehaviour;

(c)failure to carry out his or her duties.

Commencement Information

I179Sch. 4 para. 7 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### StatusU.K.

8U.K.The CMA is to perform its functions on behalf of the Crown.

Commencement Information

I180Sch. 4 para. 8 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Chief executive and other staffU.K.

9(1)The CMA is to have a chief executive appointed by the Secretary of State (the “chief executive”).U.K.

(2)The chief executive may also be a member of the CMA, but must not be—

(a)the chair, or

(b)a member of the CMA panel.

(3)Before appointing the chief executive, the Secretary of State must consult the chair.

(4)The appointment—

(a)is to be for a term of not more than five years;

(b)subject to that, is to be on such terms and conditions as the Secretary of State considers fit.

(5)The chief executive holds that office as a member of the staff of the CMA.

(6)A previous appointment as chief executive does not affect a person's eligibility for re-appointment.

Commencement Information

I181Sch. 4 para. 9 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

10(1)The CMA may appoint other members of staff.U.K.

(2)A person appointed as a member of the CMA's staff under sub-paragraph (1) may also be a member of the CMA, but must not be—

(a)the chair, or

(b)a member of the CMA panel.

(3)The following are to be determined by the CMA with the approval of the Minister for the Civil Service—

(a)the number of members of staff appointed under sub-paragraph (1);

(b)their conditions of service.

Commencement Information

I182Sch. 4 para. 10 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

11U.K.A person holding office as a member of the Competition Appeal Tribunal is ineligible for appointment under paragraph 9 or                        10.

Commencement Information

I183Sch. 4 para. 11 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Annual planU.K.

12(1)The CMA must prepare an annual plan for each financial year.U.K.

(2)The plan must—

(a)set out the CMA's main objectives for the year and indicate the relative priorities of each of those objectives;

(b)provide a summary of the proposed allocation of the CMA's financial resources to the activities to be carried on in connection                        with those objectives.

(3)The CMA must arrange for the plan to be laid before Parliament.

(4)The CMA must publish the plan, in whatever way it considers appropriate, before the start of the financial year in question.

Commencement Information

I184Sch. 4 para. 12 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

13(1)Before finalising an annual plan, the CMA must draw up proposals for it.U.K.

(2)The CMA must arrange for the proposals to be laid before Parliament.

(3)The CMA must—

(a)publish the proposals in whatever way it considers appropriate, and

(b)make arrangements to consult with the public about them.

(4)Arrangements made under sub-paragraph (3)(b) may provide for consultation with the public to be effected in whatever way the                        CMA considers appropriate.

Commencement Information

I185Sch. 4 para. 13 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Performance reportU.K.

14(1)As soon as practicable after the end of each financial year, the CMA must prepare and send to the Secretary of State an annual                        report on its activities and performance during the year.U.K.

(2)The report must include—

(a)a survey of developments, during the year, in matters relating to the CMA's functions;

(b)an assessment of the extent to which the CMA's objectives for the year, as set out in the plan published under paragraph 12,                        have been met;

(c)a summary of the significant decisions, investigations or other activities made or carried out by the CMA during the year;

(d)a summary of the allocation of the CMA's financial resources to its various activities during the year;

(e)an assessment of the CMA's performance and practices, during the year, in relation to its enforcement functions.

(3)The CMA must—

(a)arrange for the report to be laid before Parliament;

(b)publish the report in whatever way it considers appropriate.

Commencement Information

I186Sch. 4 para. 14 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

15U.K.The CMA may—

(a)prepare other reports about matters relating to any of its functions;

(b)publish a report prepared under this paragraph.

Commencement Information

I187Sch. 4 para. 15 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Concurrency reportU.K.

16(1)As soon as practicable after the end of each financial year, the CMA must prepare a report containing an assessment of how                        the concurrency arrangements have operated during the year.U.K.

(2)The concurrency arrangements are the arrangements for co-operation between the CMA and the sectoral regulators in respect                        of functions which are exercisable concurrently by the CMA and one or more of the regulators under Part 1 of the Competition                        Act 1998 (the “1998 Act”) and Part 4 of the Enterprise Act 2002 (the “2002 Act”).

(3)The report must, in particular, include information about—

(a)the exercise during the year by the CMA of its functions under Part 1 of the 1998 Act or Part 4 of the 2002 Act in cases in                        which the functions are or were exercisable concurrently by one or more sectoral regulators,

(b)the exercise during the year by each sectoral regulator of its functions under Part 1 of the 1998 Act or Part 4 of the 2002                        Act, and

(c)any decision made during the year by a sectoral regulator, in respect of a case in relation to which the regulator considers                        that its functions under Part 1 of the 1998 Act were exercisable, that it was more appropriate for it to proceed by exercising                        functions other than those it has under that Part of that Act.

(4)The CMA is not required to include information in a report under this paragraph if it considers that doing so would, or would                        be likely to, prejudice the exercise of any of the functions of the CMA or a sectoral regulator.

(5)In preparing a report under this paragraph, the CMA must consult each sectoral regulator.

(6)The CMA must publish a report prepared under this paragraph in whatever way it considers appropriate.

(7)Each of the following is a sectoral regulator—

(a)the Office of Communications;

(b)the Gas and Electricity Markets Authority;

(c)the Water Services Regulation Authority;

(d)[F5the Office of Rail and Road] ;

(e)the Northern Ireland Authority for Utility Regulation;

(f)the Civil Aviation Authority;

(g)Monitor;

[F6(h)the Payment Systems Regulator established under section 40 of the Financial Services (Banking Reform) Act 2013.]

[F7(i)the Financial Conduct Authority.]

Textual Amendments

F5Words in Sch. 4 para. 16(7)(d) substituted (16.10.2015) by The Office of Rail Regulation (Change of Name) Regulations 2015 (S.I. 2015/1682), reg. 1(2), **Sch. para. 4(v)(iii)**

F6Sch. 4 para. 16(7)(h) inserted (1.4.2014) by Financial Services (Banking Reform) Act 2013 (c. 33), **ss. 67(5)**, 148(5); S.I. 2014/823, art. 2(g)

F7Sch. 4 para. 16(7)(i) inserted (1.4.2015) by Financial Services (Banking Reform) Act 2013 (c. 33), s. 148(5), **Sch. 8 para. 12**; S.I. 2014/2458, art. 3(b)(v)

Commencement Information

I188Sch. 4 para. 16 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### DocumentsU.K.

17(1)The application of the CMA's seal must be authenticated by the signature of—U.K.

(a)a person who is a member of the CMA Board, or

(b)a person authorised (generally or specifically) for that purpose by the CMA.

(2)A document purporting to be duly executed under the CMA's seal or signed on its behalf—

(a)is to be received in evidence;

(b)is to be taken to be duly signed or sealed unless the contrary is shown.

(3)But this paragraph does not apply in relation to a document which is, or is to be, signed in accordance with the law of Scotland.

Commencement Information

I189Sch. 4 para. 17 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Membership of committees and sub-committeesU.K.

18(1)The members of a committee or sub-committee of the CMA may include persons who are not members of the CMA.U.K.

(2)A sub-committee may include persons who are not members of the committee that established it.

Commencement Information

I190Sch. 4 para. 18 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Additional powersU.K.

19U.K.The CMA may—

(a)if so requested by the Secretary of State, represent the government of the United Kingdom in matters relating to international                        relations in any field connected to its functions, and

(b)promote good practice outside the United Kingdom in the carrying on of activities which may affect the economic interests                        of consumers in the United Kingdom.

Commencement Information

I191Sch. 4 para. 19 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

20(1)The CMA may do anything that is calculated to facilitate, or is conducive or incidental to, the performance of its functions.U.K.

(2)The power in sub-paragraph (1) is subject to any restrictions imposed by or under any enactment.

Commencement Information

I192Sch. 4 para. 20 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Public recordsU.K.

21U.K.In Schedule 1 to the Public Records Act 1958 (definition of public records), in Part 2 of the Table at the end of paragraph                        3, at the appropriate place insert— “ Competition and Markets Authority. ”

Commencement Information

I193Sch. 4 para. 21 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Parliamentary CommissionerU.K.

22U.K.In Schedule 2 to the Parliamentary Commissioner Act 1967 (departments etc subject to investigation) at the appropriate place                        insert— “ Competition and Markets Authority. ”

Commencement Information

I194Sch. 4 para. 22 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### DisqualificationU.K.

23U.K.In Part 2 of Schedule 1 to the House of Commons Disqualification Act 1975 (bodies of which all members are disqualified) at                        the appropriate place insert— “ The Competition and Markets Authority. ”

Commencement Information

I195Sch. 4 para. 23 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

24U.K.In Part 2 of Schedule 1 to the Northern Ireland Assembly Disqualification Act 1975 (bodies of which all members are disqualified),                        at the appropriate place insert— “ The Competition and Markets Authority. ”

Commencement Information

I196Sch. 4 para. 24 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Freedom of informationU.K.

25U.K.In Part 1 of Schedule 1 to the Freedom of Information Act 2000 (definition of public authority: general)—

(a)in paragraph 1 after “other than” insert “— 

(a)the Competition and Markets Authority,                  

(b)”;

(b)after paragraph 1 insert—

“1ZAThe Competition and Markets Authority, in respect of information held otherwise than as a tribunal.”

Commencement Information

I197Sch. 4 para. 25 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### EqualityU.K.

26U.K.In Part 1 of Schedule 19 to the Equality Act 2010 (public authorities: general), under the heading “*Industry, business, finance etc*” at the appropriate place insert— “ The Competition and Markets Authority. ”

Commencement Information

I198Sch. 4 para. 26 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

### **PART 2**U.K.The CMA Board

#### MembershipU.K.

27U.K.The CMA Board is to consist of—

(a)the chair;

(b)the members appointed under paragraph 1(1)(b) to membership of the CMA Board.

Commencement Information

I199Sch. 4 para. 27 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### FunctionsU.K.

28U.K.Except where otherwise provided by or under any enactment, the functions of the CMA are exercisable by the CMA Board on behalf                        of the CMA.

Commencement Information

I200Sch. 4 para. 28 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### DelegationU.K.

29(1)Anything that the CMA Board is required or permitted to do (including conferring authorisation under this sub-paragraph) may                        be done by—U.K.

(a)a member of the CMA Board, or a member of staff of the CMA, who has been authorised for that purpose by the CMA Board, whether                        generally or specifically;

(b)a committee or sub-committee of the CMA Board that has been so authorised.

(2)Sub-paragraph (1) does not apply to the functions of deciding—

(a)whether the duty to publish a market study notice under section 130A of the Enterprise Act 2002 applies;

(b)whether to propose to make, or to make, a reference under section 131 of that Act;

(c)for the purposes of the requirement imposed by section 131A(2)(b) of that Act, whether the CMA is proposing to make a decision                        as to whether to make a reference under section 131 of that Act in a way that is likely to have a substantial impact on the                        interests of any person;

(d)whether section 140A of that Act applies in respect of a particular case;

(e)whether to accept an undertaking under section 154 of that Act, or to vary or supersede or release an undertaking under that                        section;

(f)for the purposes of the requirement imposed by section 169(2) of that Act, whether the CMA is proposing to make a decision                        to make a reference under section 131 of that Act in a way that is likely to have a substantial impact on the interests of                        any person.

(3)Sub-paragraph (1)(b) does not apply to a committee or sub-committee whose members include any person who is not a member of                        the CMA or of its staff.

Commencement Information

I201Sch. 4 para. 29(1) in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

I202Sch. 4 para. 29(2)(3) in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

30U.K.Paragraph 29(1) is subject to provision in rules made under section 51 of the Competition Act 1998, by virtue of paragraph                        1A of Schedule 9 to that Act, in respect of the exercise of a function of the CMA under Part 1 of that Act.

Commencement Information

I203Sch. 4 para. 30 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

#### ProceedingsU.K.

31(1)The CMA Board may regulate its own proceedings.U.K.

(2)The CMA Board must consult the Secretary of State before making or revising rules and procedures, under sub-paragraph (1),                        for dealing with—

(a)conflicts of interest, or

(b)quorum.

Commencement Information

I204Sch. 4 para. 31 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### ValidityU.K.

32U.K.The validity of anything done by the CMA Board is not affected by—

(a)a vacancy;

(b)a defective appointment.

Commencement Information

I205Sch. 4 para. 32 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Reference of matter to the chairU.K.

33(1)This paragraph applies where the CMA Board is to consider whether a matter should be referred to the chair for the constitution                        of a group under this Schedule.U.K.

(2)Before the CMA Board considers whether to refer the matter to the chair, the chair must determine whether a person who is                        a member of the CMA Board might reasonably be expected to be a member of a group constituted in connection with the matter.

(3)If the chair determines that a person who is a member of the CMA Board might reasonably be expected to be a member of such                        a group, that person is not to participate in the CMA Board's consideration of whether to refer the matter to the chair.

Commencement Information

I206Sch. 4 para. 33 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

### **PART 3**U.K.The CMA panel

#### The CMA panelU.K.

34U.K.The CMA panel is a panel of persons available for selection as members of a group constituted in accordance with this Part                        of this Schedule.

Commencement Information

I207Sch. 4 para. 34 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Membership of CMA panelU.K.

35(1)The CMA panel is to consist of—U.K.

(a)at least one person (a “newspaper panel member”) appointed to the CMA panel under paragraph 1(1)(b) for the purpose of being                        available for selection as a member of a group constituted to carry out functions on behalf of the CMA with respect to a newspaper                        merger reference (a “newspaper merger reference group”);

(b)at least three persons (“specialist communications panel members”) appointed to the CMA panel under paragraph 1(1)(b) for                        the purpose of being available for selection as members of a group constituted to carry out functions on behalf of the CMA                        with respect to a specialist communications reference (a “specialist communications reference group”);

(c)at least six persons (“specialist utility panel members”) appointed to the CMA panel under paragraph 1(1)(b) for the purpose                        of being available for selection as members of a group constituted to carry out specialist utility functions on behalf of                        the CMA (a “specialist utility group”);

[F8( ca)at least one person (a “payment systems panel member”) appointed to the CMA panel under paragraph 1(1)(b) for the purpose                           of being available for selection as a member of a group constituted to carry out functions on behalf of the CMA with respect                           to an appeal made in accordance with section 79 of the Financial Services (Banking Reform) Act 2013 (a “specialist payment                           systems group”); ]

(d)at least one person (a “reporting panel member”) appointed to the CMA panel under paragraph 1(1)(b) for the purpose of being                        available for selection as a member of any group constituted to carry out functions on behalf of the CMA;

F9(e). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2)A person who is appointed to the CMA panel as a member of a kind mentioned in one of paragraphs (a) to [F10(d)] of sub-paragraph (1) may also be appointed as a member of one or more of the other kinds mentioned in those paragraphs.

(3)For the purposes of this paragraph and paragraph 38—
          -  a “newspaper merger reference” is—  (a)
a reference under section 45 of the Enterprise Act 2002 that specifies a newspaper public interest consideration (within the                                    meaning of paragraph 20A of Schedule 8 to that Act);                                 
(b)
a reference under section 62 of that Act that specifies a consideration specified in section 58(2A) or (2B) of that Act;
 
          -  a “specialist communications reference” is a reference under section 193 of the Communications Act 2003; 
          -  “specialist utility functions” are functions with respect to—  (a)
an appeal under section 23B, or a reference under section 41E, of the Gas Act 1986;
(b)
an appeal under section 11C, or a reference under section 56C, of the Electricity Act 1989;
(c)
a reference under section 12, 14 or 17K of the Water Industry Act 1991;
(d)
the giving of a direction or the making of modifications under section 16A or 17P of that Act;
(da)
[F11 an appeal under article 14B of the Electricity (Northern Ireland) Order 1992 ( SI 1992/231 (NI 1) ); ]                                  
(db)
[F11 an appeal under article 14B of the Gas (Northern Ireland) Order 1996 ( SI 1996/275 (NI 2) ); ]                                  
(e)
an appeal under section 173 of the Energy Act 2004;
(f)
a reference under article 3 of the Water Services etc (Scotland) Act 2005 (Consequential Provisions and Modifications) Order                                    2005 (SI 2005/3172);                                 
(g)
the giving of a direction or the making of modifications under article 9 of that Order.
 

Textual Amendments

F8Sch. 4 para. 35(1)(ca) inserted (1.3.2014) by Financial Services (Banking Reform) Act 2013 (c. 33), s. 148(5), **Sch. 5 para. 2(2)**; S.I. 2014/377, art. 2(1)(a), Sch. Pt. 1

F9Sch. 4 para. 35(1)(e) omitted (6.2.2015) by virtue of The Enterprise and Regulatory Reform Act 2013 (Amendment) (Gas and Electricity Appeals) Regulations 2015 (S.I. 2015/16), regs. 1(1), **2(2)(a)** (with regs. 3, 4)

F10Word in Sch. 4 para. 35(2) substituted (6.2.2015) by The Enterprise and Regulatory Reform Act 2013 (Amendment) (Gas and Electricity Appeals) Regulations 2015 (S.I. 2015/16), regs. 1(1), **2(2)(b)** (with regs. 3, 4)

F11Words in Sch. 4 para. 35(3) inserted (6.2.2015) by The Enterprise and Regulatory Reform Act 2013 (Amendment) (Gas and Electricity Appeals) Regulations 2015 (S.I. 2015/16), regs. 1(1), **2(2)(c)** (with regs. 3, 4)

Modifications etc. (not altering text)

C2Sch. 4 para. 35(3) modified by SI 2003/1592 Sch. 4 para. 18(a) (as inserted (1.4.2014) by The Enterprise Act 2002 (Protection of Legitimate Interests) (Amendment) Order 2014 (S.I. 2014/891), arts. 1, **19(5)** (with arts. 20-23))

Commencement Information

I208Sch. 4 para. 35 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Constitution of CMA groupsU.K.

36U.K.Where the chair is, by or under any enactment, required to constitute a group under this Schedule (a “CMA group”), the chair                        must constitute the group in accordance with this Part of this Schedule.

Commencement Information

I209Sch. 4 para. 36 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

#### Membership of CMA groupsU.K.

37(1)The members of a CMA group are to be selected by the chair.U.K.

(2)In selecting the members of a CMA group, the chair must comply with any requirements imposed by or under any enactment.

(3)Subject to that, paragraph 38 has effect for the purposes of the membership of a CMA group.

Commencement Information

I210Sch. 4 para. 37 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

38(1)Each CMA group is to consist of at least three members of the CMA panel.U.K.

(2)Subject to sub-paragraphs (3) to (6), those members are to be such persons as the chair may select.

(3)In the case of a newspaper merger reference group—

(a)the group must include at least one newspaper panel member;

(b)the members of the group (if any) who are not newspaper panel members must be reporting panel members.

(4)In the case of a specialist communications reference group, the group must include at least one, but not more than three,                        of the specialist communications panel members.

(5)In the case of a specialist utility group, the group must include at least one of the specialist utility panel members.

[F12(5A)In the case of a specialist payment systems group, the group must include at least one payment systems member. ]

(6)A newspaper panel member is not to be selected as a member of a CMA group that is not a newspaper merger reference group.

(7)The chair may at any time appoint a reporting panel member to be an additional member of a CMA group.

(8)The chair must appoint one of the members of a CMA group to chair the group (the “group chair”).

Textual Amendments

F12Sch. 4 para. 38(5A) inserted (1.3.2014) by Financial Services (Banking Reform) Act 2013 (c. 33), s. 148(5), **Sch. 5 para. 2(3)**; S.I. 2014/377, art. 2(1)(a), Sch. Pt. 1

Commencement Information

I211Sch. 4 para. 38 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

39U.K.The validity of anything done by a CMA group is not affected by—

(a)a vacancy;

(b)a defective appointment.

Commencement Information

I212Sch. 4 para. 39 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

#### Termination of person's membership of a CMA groupU.K.

40U.K.A member of the CMA panel may at any time resign from a CMA group by giving written notice to this effect to the chair.

Commencement Information

I213Sch. 4 para. 40 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

41(1)Sub-paragraph (2) applies if the chair considers that—U.K.

(a)a member of a CMA group will be unable, for a substantial period, to perform his or her duties as a member of the group, or

(b)because of a particular interest of a member of a CMA group, it is inappropriate for him or her to remain a member of the                        group.

(2)The chair may remove the person in question from membership of the group.

Commencement Information

I214Sch. 4 para. 41 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

42U.K.A person ceases to be a member of a CMA group on ceasing to be a member of the CMA panel.

Commencement Information

I215Sch. 4 para. 42 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

#### Replacement of a member of a CMA groupU.K.

43(1)Sub-paragraph (2) applies if a person ceases to be a member of a CMA group, whether by being removed under paragraph 41, or                        otherwise.U.K.

(2)The chair may select a replacement member of the group from the CMA panel.

Commencement Information

I216Sch. 4 para. 43 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

#### Continuity on removal or replacementU.K.

44(1)A person's ceasing to be a member of a CMA group, whether by being removed under paragraph 41, or otherwise, does not prevent—U.K.

(a)the group from continuing with anything begun before the person ceased to be a member of it;

(b)any decision made or direction given by the person while a member of the group from having effect after he or she has ceased                        to be a member of the group.

(2)Sub-paragraph (1)—

(a)applies whether or not a replacement member of the group is selected under paragraph 43;

(b)does not affect any requirements imposed by or under any enactment with respect to the constitution of a CMA group.

Commencement Information

I217Sch. 4 para. 44 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

#### Attendance of other membersU.K.

45(1)At the invitation of the group chair of a CMA group, any reporting panel member who is not a member of the group may attend                        its meetings or otherwise take part in its proceedings.U.K.

(2)But a person attending in response to such an invitation may not—

(a)vote in any proceedings of the group, or

(b)have a statement of his or her dissent from a conclusion of the group included in a report made by the group.

(3)Nothing in sub-paragraph (1) is to be taken to prevent a CMA group from consulting any member of the CMA panel with respect                        to any matter or question with which the group is concerned.

Commencement Information

I218Sch. 4 para. 45 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

#### Powers of chair pending group's constitution and first meetingU.K.

46(1)While a CMA group is being constituted, the chair may take such steps as he or she considers appropriate to facilitate the                        work of the group once it has been constituted.U.K.

(2)The steps taken must be steps that it would be within the power of the group to take, had it already been constituted.

Commencement Information

I219Sch. 4 para. 46 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

47(1)The chair may, on behalf of the CMA, exercise the power conferred by section 37(1), 48(1) or 64(1) of the Enterprise Act 2002                        in respect of the reference of a matter—U.K.

(a)while a CMA group is being constituted in connection with the reference;

(b)after a CMA group has been so constituted, but before it has held its first meeting.

(2)Sections 34C, 46D and 62A of the Enterprise Act 2002 have effect subject to sub-paragraph (1).

Modifications etc. (not altering text)

C3Sch. 4 para. 47(1)(2) modified by SI 2003/1592 Sch. 4 para. 18(b)(c) (as inserted (1.4.2014) by The Enterprise Act 2002 (Protection of Legitimate Interests) (Amendment) Order 2014 (S.I. 2014/891), arts. 1, **19(5)** (with arts. 20-23))

Commencement Information

I220Sch. 4 para. 47 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

#### Performance of functions of chair with respect to constitution etc of CMA groupU.K.

48(1)A function of the chair that is specified in sub-paragraph (4) may, with the consent of the CMA Board, be exercised on behalf                        of the chair by—U.K.

(a)a person who is a member of both the CMA panel and the CMA Board, or

(b)a member of the CMA panel designated by the Secretary of State (whether generally or specifically) for the purposes of this                        paragraph.

(2)The consent referred to in sub-paragraph (1) must specify the identity of the person by whom a function of the chair is to                        be exercised.

(3)It may be given—

(a)by reference generally to functions specified in sub-paragraph (4);

(b)by reference to specific functions, or functions of a particular description;

(c)by reference generally to CMA groups;

(d)by reference to specific matters or specific CMA groups, or by reference to matters or CMA groups of a particular description.

(4)The functions are—

(a)the chair's functions under paragraph 33 and under this Part of this Schedule;

(b)the chair's functions by or under any other enactment in respect of the constitution of a CMA group;

(c)the chair's functions under—

(i)Schedule 4A to the Gas Act 1986;

(ii)Schedule 5A to the Electricity Act 1989;

[F13(iia)Schedule 5A to the Electricity (Northern Ireland) Order 1992 (SI 1992/231 (NI 1));

(iib)Schedule 3A to the Gas (Northern Ireland) Order 1996 (SI 1996/275 (NI2));]

(iii)Schedule 22 to the Energy Act 2004;

(iv)Schedule 2 to the Civil Aviation Act 2012.

[F14(v)Schedule 5 to the Financial Services (Banking Reform) Act 2013.]

Textual Amendments

F13Sch. 4 para. 48(4)(c)(iia)(iib) inserted (6.2.2015) by The Enterprise and Regulatory Reform Act 2013 (Amendment) (Gas and Electricity Appeals) Regulations 2015 (S.I. 2015/16), regs. 1(1), **2(3)** (with regs. 3, 4)

F14Sch. 4 para. 48(4)(c)(v) inserted (1.3.2014) by Financial Services (Banking Reform) Act 2013 (c. 33), s. 148(5), **Sch. 5 para. 2(4)**; S.I. 2014/377, art. 2(1)(a), Sch. Pt. 1

Commencement Information

I221Sch. 4 para. 48 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

#### Independence of groupsU.K.

49(1)In making decisions that they are required or permitted to make by virtue of any enactment, CMA groups must act independently                        of the CMA Board.U.K.

(2)Nothing in sub-paragraph (1) prevents—

(a)the CMA Board from giving information in its possession to a CMA group, or

(b)a CMA group giving information in its possession to the CMA Board.

Commencement Information

I222Sch. 4 para. 49 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

#### Casting votesU.K.

50U.K.If a CMA group's vote on any decision is tied, the group chair is to have a casting vote.

Commencement Information

I223Sch. 4 para. 50 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

#### Requirement to make rules of procedure for certain groupsU.K.

51(1)The CMA Board must make rules of procedure for merger reference groups, market reference groups, and special reference groups.U.K.

(2)Those rules are subject to any provision made by or under any enactment in respect of the procedure of a CMA group.

(3)Before making rules under this paragraph, the CMA Board must consult such persons as it considers appropriate.

(4)The CMA Board must publish rules made under this paragraph in whatever manner it considers appropriate for bringing them to                        the attention of those likely to be affected by them.

(5)Subject to rules made under this paragraph, and to any provision made by or under any enactment, a CMA group of a type referred                        to in sub-paragraph (1) may determine its own procedure.

(6)In this paragraph and paragraph 53—

(a)“market reference group” means a CMA group constituted in connection with a reference under section 131, 132 or 140A of the Enterprise Act 2002;

(b)“merger reference group” means a CMA group constituted in connection with a reference under section 32 of the Water Industry Act 1991 or section                        22, 33, 45, or 62 of the Enterprise Act 2002;

(c)“special reference group” means a CMA group constituted in connection with a reference under—

(i)section 11 of the Competition Act 1980;

(ii)section 41E of the Gas Act 1986;

(iii)section 56C of the Electricity Act 1989;

(iv)section 12, 14 or 17K of the Water Industry Act 1991;

F15(v). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(vi)section 13 of, or Schedule 4A to, the Railways Act 1993;

F16(vii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(viii)section 12 of the Transport Act 2000;

(ix)section 193 of the Communications Act 2003;

(x)article 3 of the Water Services etc (Scotland) Act 2005 (Consequential Provisions and Modifications) Order 2005 (SI 2005/3172).

Textual Amendments

F15Sch. 4 para. 51(6)(c)(v) omitted (6.2.2015) by virtue of The Enterprise and Regulatory Reform Act 2013 (Amendment) (Gas and Electricity Appeals) Regulations 2015 (S.I. 2015/16), regs. 1(1), **2(4)** (with regs. 3, 4)

F16Sch. 4 para. 51(6)(c)(vii) omitted (6.2.2015) by virtue of The Enterprise and Regulatory Reform Act 2013 (Amendment) (Gas and Electricity Appeals) Regulations 2015 (S.I. 2015/16), regs. 1(1), **2(4)** (with regs. 3, 4)

Modifications etc. (not altering text)

C4Sch. 4 para. 51(6)(b) modified by SI 2003/1592 Sch. 4 para. 18(d) (as inserted (1.4.2014) by The Enterprise Act 2002 (Protection of Legitimate Interests) (Amendment) Order 2014 (S.I. 2014/891), arts. 1, **19(5)** (with arts. 20-23))

Commencement Information

I224Sch. 4 para. 51 in force at 1.10.2013 for specified purposes by S.I. 2013/2227, **art. 2(k)** (with art. 3)

I225Sch. 4 para. 51 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

52(1)In determining how to proceed in accordance with rules made for it by the CMA Board under paragraph 51(1), and in determining                        its own procedure under paragraph 51(5), a group must have regard to any guidance issued by the CMA Board.U.K.

(2)Before issuing guidance for the purposes of this paragraph, or amending or revoking it, the CMA Board must consult such persons                        as it considers appropriate.

Commencement Information

I226Sch. 4 para. 52 in force at 1.10.2013 for specified purposes by S.I. 2013/2227, **art. 2(I)** (with art. 3)

I227Sch. 4 para. 52 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

53(1)Rules made under paragraph 51 may—U.K.

(a)make different provision for different cases or different purposes;

(b)be varied or revoked by rules subsequently made under that paragraph.

(2)They may in particular make provision—

(a)for particular stages of a merger investigation, market investigation, or special investigation to be dealt with in accordance                        with a timetable and for revision of that timetable;

(b)as to the documents and information that must be given to a relevant group in connection with a merger investigation, market                        investigation or special investigation;

(c)as to the documents and information that a relevant group must give to other persons in connection with such an investigation.

(3)Rules making provision as described in sub-paragraph (2)(a) or (2)(b) may, in particular, permit or require a relevant group                        to disregard documents or information given after a particular date.

(4)Rules making provision as described in sub-paragraph (2)(c) may in particular make provision for the notification or publication                        of, and for consultation about, provisional findings of a relevant group.

(5)Rules made under paragraph 51 may make provision as to the quorum of relevant groups.

(6)They may make provision—

(a)as to the extent (if any) to which persons interested or claiming to be interested in a matter under consideration that is                        specified or described in the rules are allowed—

(i)to be present before or heard by a relevant group, either by themselves or by their representatives;

(ii)to cross-examine witnesses;

(iii)otherwise to take part;

(b)as to the extent (if any) to which sittings of a relevant group are to be held in public;

(c)generally in connection with any matters permitted by rules making provision as described in paragraph (a) or (b) (including,                        in particular, provision for a record of any hearings).

(7)Rules made under paragraph 51 may make provision for—

(a)the notification or publication of information relating to merger investigations, market investigations or special investigations;

(b)consultation about such investigations.

(8)Rules made under paragraph 51 for market reference groups may make provision as to the involvement of any public interest                        expert in the market investigation in connection with the reference under section 140A of the Enterprise Act 2002 in relation                        to which the expert was appointed.

(9)For the purposes of this paragraph—
          -  “market investigation” means an investigation carried out by a market reference group in connection with a reference under section 131, 132 or                           140A of the Enterprise Act 2002;                         
          -  “merger investigation” means an investigation carried out by a merger reference group in connection with a reference under section 32 of the Water                           Industry Act 1991 or section 22, 33, 45, or 62 of the Enterprise Act 2002;                         
          -  “public interest expert” means a person appointed under section 141B of the Enterprise Act 2002 in relation to a reference under section 140A(6)                           of that Act;                         
          -  “relevant group” means a market reference group, a merger reference group, or a special reference group;                         
          -  “special investigation” means an investigation carried out by a special reference group in connection with a provision listed in paragraph 51(6)(c).                         

Modifications etc. (not altering text)

C5Sch. 4 para. 53(9) modified by SI 2003/1592 Sch. 4 para. 18(e) (as inserted (1.4.2014) by The Enterprise Act 2002 (Protection of Legitimate Interests) (Amendment) Order 2014 (S.I. 2014/891), arts. 1, **19(5)** (with arts. 20-23))

Commencement Information

I228Sch. 4 para. 53 in force at 1.10.2013 for specified purposes by S.I. 2013/2227, **art. 2(k)** (with art. 3)

I229Sch. 4 para. 53 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

#### Procedure of other CMA groupsU.K.

54(1)Subject to any special or general directions given by the Secretary of State, and to any provision made by or under any enactment,                        a CMA group that is not a group of a type referred to in paragraph 51(1) may determine its own procedure.U.K.

(2)It may, in particular, determine its quorum, and determine—

(a)the extent (if any) to which persons interested or claiming to be interested in a matter under consideration are allowed—

(i)to be present before or heard by it, either by themselves or by their representatives;

(ii)to cross-examine witnesses;

(iii)otherwise to take part;

(b)the extent (if any) to which its sittings are to be held in public.

(3)In determining its procedure under sub-paragraph (1), a CMA group must have regard to any guidance issued by the CMA Board.

Commencement Information

I230Sch. 4 para. 54 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

#### CMA group decision: requirement for two thirds majorityU.K.

55U.K.For the purposes of paragraphs 56 to 58, a “qualifying majority decision” is a decision made by a CMA group which is that                        of at least two-thirds of the members of the group.

Commencement Information

I231Sch. 4 para. 55 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

56(1)This paragraph applies for the purposes of Part 3 of the Enterprise Act 2002.U.K.

(2)Where a decision of a CMA group under section 35(1) or 36(1) of that Act that there is an anti-competitive outcome is not                        a qualifying majority decision, it is to be treated as a decision under that section that there is not an anti-competitive                        outcome.

(3)Where a decision of a CMA group under section 47 of that Act is not a qualifying majority decision—

(a)in the case of a decision that a relevant merger situation has been created, it is to be treated as a decision under section                        47 that no such situation has been created;

(b)in the case of a decision that the creation of a relevant merger situation has resulted, or may be expected to result, in                        a substantial lessening of competition within any market or markets in the United Kingdom for goods and services, it is to                        be treated as a decision under section 47 that the creation of that situation has not resulted, or may be expected not to                        result, in such a substantial lessening of competition;

(c)in the case of a decision that arrangements are in progress or in contemplation which, if carried into effect, will result                        in the creation of a relevant merger situation, it is to be treated as a decision under section 47 that no such arrangements                        are in progress or in contemplation;

(d)in the case of a decision that the creation of such a situation as is mentioned in paragraph (c) may be expected to result                        in a substantial lessening of competition within any market or markets in the United Kingdom for goods and services, it is                        to be treated as a decision under section 47 that the creation of that situation may be expected not to result in such a substantial                        lessening of competition.

(4)Where a decision of a CMA group under section 63 of that Act is not a qualifying majority decision—

(a)in the case of a decision that a special merger situation has been created, it is to be treated as a decision under section                        63 that no such situation has been created;

(b)in the case of a decision that arrangements are in progress or in contemplation which, if carried into effect, will result                        in the creation of a special merger situation, it is to be treated as a decision under section 63 that no such arrangements                        are in progress or in contemplation.

(5)Expressions used in this paragraph are to be construed in accordance with Part 3 of the Enterprise Act 2002.

Modifications etc. (not altering text)

C6Sch. 4 para. 56(1) modified by SI 2003/1592 Sch. 4 para. 18(f) (as inserted (1.4.2014) by The Enterprise Act 2002 (Protection of Legitimate Interests) (Amendment) Order 2014 (S.I. 2014/891), arts. 1, **19(5)** (with arts. 20-23))

C7Sch. 4 para. 56(4) modified by SI 2003/1592 Sch. 4 para. 18(g) (as inserted (1.4.2014) by The Enterprise Act 2002 (Protection of Legitimate Interests) (Amendment) Order 2014 (S.I. 2014/891), arts. 1, **19(5)** (with arts. 20-23))

Commencement Information

I232Sch. 4 para. 56 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

57(1)This paragraph applies for the purposes of Part 4 of the Enterprise Act 2002.U.K.

(2)Where a decision under section 134, 141 or 141A of that Act is not a qualifying majority decision—

(a)in the case of a decision on an ordinary reference that a feature or combination of features of a relevant market prevents,                        restricts or distorts competition in connection with the supply or acquisition of any goods or services in the United Kingdom                        or a part of the United Kingdom, it is to be treated as a decision that the feature or (as the case may be) combination of                        features of that relevant market does not prevent, restrict or distort such competition;

(b)in the case of a decision on a cross-market reference that a feature or a combination of the features specified in the reference,                        as that feature or combination of features relates to goods or services of one or more than one of the descriptions so specified,                        prevents, restricts or distorts competition in connection with the supply or acquisition of any goods or services in the United                        Kingdom or a part of the United Kingdom, it is to be treated as a decision that that feature or (as the case may be) combination                        of features as it relates to goods or services of those descriptions does not prevent, restrict or distort such competition.

(3)Accordingly, a CMA group is to be treated as having decided under section 134, 141 or 141A that there is no adverse effect                        on competition in relation to an ordinary reference or a cross-market reference if—

(a)one or more than one decision of the group, in relation to the reference, is to be treated as mentioned in sub-paragraph (2)(a)                        or (as the case may be) (b), and

(b)there is, in relation to the reference, no other relevant decision of the group.

(4)“Relevant decision”, in sub-paragraph (3)(b), means—

(a)in relation to an ordinary reference, a decision that is not to be treated as mentioned in sub-paragraph (2)(a), and which                        is that a feature or combination of features of a relevant market prevents, restricts or distorts competition in connection                        with the supply or acquisition of any goods or services in the United Kingdom or a part of the United Kingdom;

(b)in relation to a cross-market reference, a decision that is not to be treated as mentioned in sub-paragraph (2)(b), and which                        is that a feature or a combination of the features specified in the reference, as that feature or combination of features                        relates to goods or services of one or more than one of the descriptions so specified, prevents, restricts or distorts competition                        in connection with the supply or acquisition of any goods or services in the United Kingdom or a part of the United Kingdom.

(5)Where a decision of a CMA group under section 141A of that Act is not a qualifying majority decision, in the case of a decision                        under section 141A(4) that the feature or combination of features in question operates or may be expected to operate against                        the public interest, it is to be treated as a decision under section 141A that the feature or combination of features in question                        does not operate nor may be expected to operate against the public interest.

(6)Expressions used in this paragraph are to be construed in accordance with Part 4 of the Enterprise Act 2002.

Commencement Information

I233Sch. 4 para. 57 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

58U.K.A decision made by a CMA group is also subject to any other provision made by or under any enactment about decisions that                        are not qualifying majority decisions.

Commencement Information

I234Sch. 4 para. 58 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

### **PART 4**U.K.Interpretation and transitional and transitory provision

#### InterpretationU.K.

59(1)In this Schedule, “enactment” means—U.K.

(a)an enactment contained in this or any other Act;

(b)an enactment comprised in subordinate legislation within the meaning of the Interpretation Act 1978;

(c)an enactment contained in, or in an instrument made under, an Act of the Scottish Parliament;

(d)a Measure or Act of the National Assembly for Wales;

(e)an enactment contained in, or in an instrument made under, Northern Ireland legislation (within the meaning of the Interpretation                        Act 1978).

(2)Any reference in this Schedule to an enactment includes a reference to an enactment whenever passed or made.

Commencement Information

I235Sch. 4 para. 59 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

60U.K.References in this Schedule to the commencement date are to the date on which section 25(3) comes into force.

Commencement Information

I236Sch. 4 para. 60 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Members of the Competition CommissionU.K.

61(1)This paragraph applies—U.K.

(a)in relation to any appointments under paragraph 1(1)(b) to the CMA panel that are made before the abolition of the Competition                        Commission under section 26, to any person who is a panel member of the Competition Commission and whose term of office as                        such is not due to expire before the abolition of the Competition Commission under that section;

(b)in relation to any other appointment under paragraph 1(1)(b) to the CMA panel, to a person who was a panel member of the Competition                        Commission immediately prior to its abolition under section 26.

(2)A person to whom this paragraph applies may be appointed under paragraph 1(1)(b) as a member of the CMA panel.

(3)But the terms of the person's appointment as a member of the CMA panel must not be such that the sum of the period of his                        or her office as a member of the CMA panel, and of the period of his or her office as a panel member of the Competition Commission                        (excluding any period when he or she also holds office as a member of the CMA panel), exceeds eight years.

(4)Paragraph 4(1) applies for the purposes of the person's re-appointment as a member of the CMA panel as it does for the purposes                        of the re-appointment of a CMA panel member to whom this paragraph does not apply.

(5)The power conferred by section 100 includes power to make provision for the appointment of panel members of the Competition                        Commission as members of the CMA panel, or for the re-appointment of persons who are appointed as members of the CMA panel                        by virtue of sub-paragraph (2), for the purpose of enabling anything in the process of being done by or on behalf of the Competition                        Commission immediately prior to its abolition to be completed by or on behalf of the CMA; and nothing in sub-paragraphs (1)                        to (4) restricts the provision that may be made for that purpose.

Commencement Information

I237Sch. 4 para. 61(1)-(4) in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

I238Sch. 4 para. 61(5) in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(c)** (with Sch.)

62U.K.Except as provided for by paragraph 61, a person who holds or has held office as a panel member of the Competition Commission                        at any time prior to its abolition may not be appointed under paragraph 1(1)(b) as a member of the CMA panel.

Commencement Information

I239Sch. 4 para. 62 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

63U.K.References in paragraphs 61 and 62 to a panel member of the Competition Commission are to a person appointed as a member of                        the Competition Commission of a kind mentioned in paragraph 2(3) of Schedule 7 to the Competition Act 1998.

Commencement Information

I240Sch. 4 para. 63 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### Financial years of the CMAU.K.

64(1)If the duration of the period beginning with the commencement date and ending with the next 31 March is six months or more,                        the first financial year of the CMA is that period.U.K.

(2)But if the duration of that period is less than six months, the first financial year of the CMA is the period beginning with                        the commencement date, and ending with the 31 March in the year following the next 31 March after the commencement date.

(3)The subsequent financial years of the CMA are each successive period of 12 months.

Commencement Information

I241Sch. 4 para. 64 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

#### First annual plan of the CMAU.K.

65(1)The CMA is to publish its first annual plan within the period of three months beginning with the commencement date.U.K.

(2)The first annual plan is to relate to the period beginning with the date of publication of the plan, and ending with the date                        on which the CMA's first financial year ends.

Commencement Information

I242Sch. 4 para. 65 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(j)** (with art. 3)

 Section 26(3)

## SCHEDULE 5U.K.Amendments related to Part 3

### **PART 1**U.K.Transfer of functions under the 1998 Act to the CMA

1U.K.The Competition Act 1998 is amended as follows.

Commencement Information

I243Sch. 5 para. 1 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

2U.K.In section 6 (block exemptions), in subsections (1) and (6), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I244Sch. 5 para. 2 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

3U.K.In section 8 (block exemptions: procedure), in subsections (1) to (3) and (5), for “OFT” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I245Sch. 5 para. 3 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

4U.K.In section 10 (parallel exemptions), in subsections (5), (7) and (8), for “OFT” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I246Sch. 5 para. 4 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

5(1)Section 25 (power to investigate) is amended as follows.U.K.

(2)In subsections (1) and (8) to (11), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I247Sch. 5 para. 5 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

6U.K.In section 26 (powers when conducting investigations), in subsections (1) and (5), for “OFT” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I248Sch. 5 para. 6 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

7U.K.In section 27 (power to enter business premises without a warrant), in subsections (1) and (3), for “OFT” (in each place where                        it occurs) substitute “ CMA ”.

Commencement Information

I249Sch. 5 para. 7 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

8(1)Section 28 (power to enter business premises under a warrant) is amended as follows.U.K.

(2)In subsection (1)(b)(i), for “OFT” substitute “ CMA ”.

(3)In subsection (2)—

(a)for “OFT” (in each place where it occurs) substitute “ CMA ”, and

(b)for “OFT's” substitute “CMA's”.

Commencement Information

I250Sch. 5 para. 8 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

9U.K.In section 28A (power to enter domestic premises under a warrant), in subsections (1)(b)(i) and (2), for “OFT” (in each place                        where it occurs) substitute “ CMA ”.

Commencement Information

I251Sch. 5 para. 9 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

10U.K.In section 31 (decisions following an investigation), in subsections (1) and (2), for “OFT” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I252Sch. 5 para. 10 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

11U.K.In section 31A (commitments), in subsections (1) to (4), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I253Sch. 5 para. 11 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

12U.K.In section 31B (effect of commitments under section 31A), in subsections (1) to (5), for “OFT” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I254Sch. 5 para. 12 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

13U.K.In section 31C (review of commitments), in subsections (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I255Sch. 5 para. 13 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

14U.K.In section 31D (guidance), in subsections (1) to (3), (5), (6) and (8), for “OFT” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I256Sch. 5 para. 14 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

15U.K.In section 31E (enforcement of commitments), in subsection (1), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I257Sch. 5 para. 15 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

16U.K.In section 32 (directions in relation to agreements), in subsection (1), for “OFT” substitute “ CMA ”.

Commencement Information

I258Sch. 5 para. 16 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

17U.K.In section 33 (directions in relation to conduct), in subsection (1), for “OFT” substitute “ CMA ”.

Commencement Information

I259Sch. 5 para. 17 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

18U.K.In section 34 (enforcement of directions), in subsection (1), for “OFT” substitute “ CMA ”.

Commencement Information

I260Sch. 5 para. 18 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

19U.K.In section 35 (interim measures), in subsections (1) to (4), (8) and (9), for “OFT” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I261Sch. 5 para. 19 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

20U.K.In section 36 (penalties), in subsections (1) to (5), (8) and (9), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I262Sch. 5 para. 20 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

21U.K.In section 37 (recovery of penalties), in subsection (1), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I263Sch. 5 para. 21 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

22U.K.In section 38 (the appropriate level of a penalty), in subsections (1) to (3), (5), (6), (8) and (9), for “OFT” (in each place                        where it occurs) substitute “ CMA ”.

Commencement Information

I264Sch. 5 para. 22 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

23U.K.In section 39 (limited immunity in relation to the Chapter 1 prohibition), in subsections (3) to (5) and (8), for “OFT” (in                        each place where it occurs) substitute “ CMA ”.

Commencement Information

I265Sch. 5 para. 23 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

24U.K.In section 40 (limited immunity in relation to the Chapter 2 prohibition), in subsections (3) to (5) and (8), for “OFT” (in                        each place where it occurs) substitute “ CMA ”.

Commencement Information

I266Sch. 5 para. 24 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

25U.K.In section 44 (false or misleading information), in subsections (1) and (2), for “OFT” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I267Sch. 5 para. 25 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

26U.K.In section 46 (appealable decisions), in subsections (1) to (3), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I268Sch. 5 para. 26 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

27U.K.In section 47 (third party appeals), in subsection (1), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I269Sch. 5 para. 27 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

28U.K.In section 47A (monetary claims before Tribunal), in subsections (6) and (7), for “OFT” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I270Sch. 5 para. 28 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

29U.K.In section 50 (vertical agreements and land agreements), in subsection (3), for “OFT” substitute “ CMA ”.

Commencement Information

I271Sch. 5 para. 29 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

30U.K.In the cross-heading preceding section 51, for “OFT's” substitute “CMA's”.

Commencement Information

I272Sch. 5 para. 30 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

31(1)Section 51 (rules) is amended as follows.U.K.

(2)In subsection (1), for “OFT” substitute “ CMA ”.

(3)In subsection (2), for “OFT's” substitute “CMA's”.

(4)In subsections (3) and (5) to (10), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I273Sch. 5 para. 31 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

32(1)Section 52 (advice and information) is amended as follows.U.K.

(2)In subsection (1), for the words from the beginning to “the Director” substitute “ The CMA ”.

(3)In subsection (1A), for the words from the beginning to “the OFT” substitute “ The CMA ”.

(4)In subsections (2) to (6) and (8), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I274Sch. 5 para. 32 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

33U.K.In section 54 (regulators), in subsections (2), (5) and (7), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I275Sch. 5 para. 33 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

34U.K.In section 57 (defamation), for “OFT” substitute “ CMA ”.

Commencement Information

I276Sch. 5 para. 34 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

35U.K.In the cross-heading preceding section 58, for “OFT” substitute “ CMA ”.

Commencement Information

I277Sch. 5 para. 35 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

36(1)Section 58 (findings of fact) is amended as follows.U.K.

(2)In subsection (1), for “an OFT's” substitute “a CMA's”.

(3)In subsection (2)—

(a)for “an OFT's” substitute “a CMA's”, and

(b)for “OFT” (in each place where it occurs) substitute “ CMA ”.

(4)In subsection (3), for “OFT” substitute “ CMA ”.

(5)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I278Sch. 5 para. 36 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

37U.K.In section 58A (findings of infringements), in subsections (3) and (4), for “OFT” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I279Sch. 5 para. 37 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

38(1)Section 59 (interpretation of Part 1) is amended as follows.U.K.

(2)In subsection (1)—

(a)after the definition of “the Chapter II prohibition” insert—

““the CMA” means the Competition and Markets Authority;”, and                  

(b)omit the definition of “the OFT”.

(3)In subsection (4), for “OFT” substitute “ CMA ”.

Commencement Information

I280Sch. 5 para. 38 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

39U.K.In section 60 (principles to be applied in determining questions), in subsection (4), for “OFT” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I281Sch. 5 para. 39 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

40U.K.In section 61 (interpretation of Part 2), in subsection (1)—

(a)after the definition of “books and records” insert—

““the CMA” means the Competition and Markets Authority;”, and                  

(b)omit the definition of “the OFT”.

Commencement Information

I282Sch. 5 para. 40 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

41U.K.In section 62 (power to enter business premises under a warrant: Article 20 inspections), in subsections (5) and (10), for                        “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I283Sch. 5 para. 41 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

42U.K.In section 62A (power to enter non-business premises under a warrant: Article 21 inspections), in subsections (3) to (5),                        and (12), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I284Sch. 5 para. 42 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

43U.K.In section 62B (powers when conducting Article 22(2) inspection), in subsections (1) and (2), for “OFT” (in each place where                        it occurs) substitute “ CMA ”.

Commencement Information

I285Sch. 5 para. 43 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

44U.K.In section 63 (power to enter business premises under a warrant: Article 22(2) inspections), in subsections (1)(a), (2) to                        (5) and (10), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I286Sch. 5 para. 44 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

45(1)Section 65C (interpretation of Part 2A) is amended as follows.U.K.

(2)In subsection (1), in the definition of “Article 22(1) investigation”, for “OFT” substitute “ CMA ”.

(3)In subsection (2)—

(a)after the entry for “Article 82” insert— “ “the CMA”; ”, and

(b)omit the entry for “the OFT”.

(4)In subsection (4), for “OFT” substitute “ CMA ”.

Commencement Information

I287Sch. 5 para. 45 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

46U.K.In section 65D (power to conduct an Article 22(1) investigation), in subsection (1), for “OFT” substitute “ CMA ”.

Commencement Information

I288Sch. 5 para. 46 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

47U.K.In section 65E (powers when conducting Article 22(1) investigations), in subsections (1) and (5), for “OFT” (in each place                        where it occurs) substitute “ CMA ”.

Commencement Information

I289Sch. 5 para. 47 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

48U.K.In section 65F (power to enter business premises without a warrant), in subsections (1) and (3), for “OFT” (in each place                        where it occurs) substitute “ CMA ”.

Commencement Information

I290Sch. 5 para. 48 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

49U.K.In section 65G (power to enter business premises under a warrant), in subsections (1)(b)(i) and (2), for “OFT” (in each place                        where it occurs) substitute “ CMA ”.

Commencement Information

I291Sch. 5 para. 49 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

50U.K.In section 65H (power to enter domestic premises under a warrant), in subsections (1)(b)(i) and (2), for “OFT” (in each place                        where it occurs) substitute “ CMA ”.

Commencement Information

I292Sch. 5 para. 50 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

51U.K.In section 65N (false or misleading information), in subsections (1) and (2), for “OFT” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I293Sch. 5 para. 51 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

52U.K.In section 75A (rules in relation to Parts 2 and 2A), in subsections (1) to (8), for “OFT” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I294Sch. 5 para. 52 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

53(1)Schedule 1 (exclusions: mergers and concentrations) is amended as follows.U.K.

(2)In paragraph 4, in sub-paragraphs (1) to (5), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In paragraph 5, for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I295Sch. 5 para. 53 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

54U.K.In Schedule 2 (exclusions: other competition scrutiny), in Part 3, in paragraph 5(3)(a), for “Director” substitute “ CMA ”.

Commencement Information

I296Sch. 5 para. 54 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

55(1)Schedule 3 (general exclusions) is amended as follows.U.K.

(2)In paragraph 9, in sub-paragraphs (3) to (7), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I297Sch. 5 para. 55 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

56(1)Schedule 6A (commitments) is amended as follows.U.K.

(2)In paragraph 1, for “OFT” substitute “ CMA ”.

(3)In paragraph 2—

(a)in sub-paragraph (1), for “OFT” substitute “ CMA ”, and

(b)in sub-paragraph (2)—

(i)for “OFT” (in each place where it occurs) substitute “ CMA ”, and

(ii)for “OFT's” substitute “CMA's”.

(4)In paragraph 3, in sub-paragraph (1), for “OFT” substitute “ CMA ”.

(5)In paragraph 4, for “OFT” (in each place where it occurs) substitute “ CMA ”.

(6)In paragraph 5, for “OFT” substitute “ CMA ”.

(7)In paragraph 6, for “OFT” substitute “ CMA ”.

(8)In paragraph 7, for “OFT” (in each place where it occurs) substitute “ CMA ”.

(9)In paragraph 8, for “OFT” (in each place where it occurs) substitute “ CMA ”.

(10)In paragraph 10, for “OFT” substitute “ CMA ”.

(11)In paragraph 11, in sub-paragraph (1), for “OFT” substitute “ CMA ”.

(12)In paragraph 12, for “OFT” substitute “ CMA ”.

(13)In paragraph 13, for “OFT” substitute “ CMA ”.

(14)In paragraph 14, for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I298Sch. 5 para. 56 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

57(1)Schedule 8 (appeals) is amended as follows.U.K.

(2)In paragraph 2, in sub-paragraph (2), for “OFT's” substitute “CMA's”.

(3)In paragraph 3, in sub-paragraphs (2) and (3), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(4)In paragraph 3A, in sub-paragraph (3), for “OFT” substitute “ CMA ”.

Commencement Information

I299Sch. 5 para. 57 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

58(1)Schedule 9 (rules under section 51) is amended as follows.U.K.

(2)In the heading, for “OFT's” substitute “CMA's”.

(3)In paragraph 1, for “OFT” substitute “ CMA ”.

(4)In paragraph 5, in sub-paragraphs (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In paragraph 8, for “OFT” (in each place where it occurs) substitute “ CMA ”.

(6)In paragraph 9, for “OFT” (in each place where it occurs) substitute “ CMA ”.

(7)In paragraph 11, for “OFT” substitute “ CMA ”.

(8)In paragraph 12, in sub-paragraph (1)—

(a)for “OFT” substitute “ CMA ”, and

(b)for “OFT's” substitute “CMA's”.

(9)In paragraph 13—

(a)for “OFT” substitute “ CMA ”, and

(b)for “OFT's” substitute “CMA's”.

(10)In paragraph 14, for “OFT” substitute “ CMA ”.

Commencement Information

I300Sch. 5 para. 58 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

### **PART 2**U.K.Transfer of functions under the 2002 Act to the CMA

59U.K.The Enterprise Act 2002 is amended as follows.

Commencement Information

I301Sch. 5 para. 59 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Part 1U.K.

60(1)Section 5 (acquisition of information etc) is amended as follows.U.K.

(2)In subsections (1), (2) and (3), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In the italic cross-heading preceding the section for “OFT” substitute “ the CMA ”.

Commencement Information

I302Sch. 5 para. 60 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

61U.K.In section 6 (provision of information etc to the public), in subsections (1) and (2), for “OFT” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I303Sch. 5 para. 61 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

62(1)Section 7 (provision of information and advice to Ministers etc) is amended as follows.U.K.

(2)In subsection (1), for “OFT” substitute “ CMA ”.

(3)In subsection (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I304Sch. 5 para. 62 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

63U.K.Omit section 8 (promoting good consumer practice).

Commencement Information

I305Sch. 5 para. 63 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

64(1)Section 11 (super-complaints) is amended as follows.U.K.

(2)In subsections (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (3), for “OFT's” substitute “CMA's”.

(4)In subsection (7), for “OFT” substitute “ CMA ”.

Commencement Information

I306Sch. 5 para. 64 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

65U.K.For the title to Part 1 substitute “ General functions of the CMA ”.

Commencement Information

I307Sch. 5 para. 65 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Part 2U.K.

66U.K.In Schedule 4 (Competition Appeal Tribunal: procedure), in Part 2 (Tribunal rules), in paragraph 22(2), for “OFT” substitute                        “ CMA ”.

Commencement Information

I308Sch. 5 para. 66 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Part 3U.K.

67(1)Section 22 (duty to make references in relation to completed mergers) is amended as follows.U.K.

(2)In subsection (1), for the words before paragraph (a) substitute “ The CMA shall, subject to subsections (2) and (3), make a reference to its chair for the constitution of a group under Schedule                           4 to the Enterprise and Regulatory Reform Act 2013 if the CMA believes that it is or may be the case that— ”.

(3)In subsection (2)—

(a)in the words before paragraph (a), for “OFT” substitute “ CMA ”, and

(b)in paragraph (a), omit “to the Commission”.

(4)In subsections (3) and (3A), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In subsection (7)—

(a)in paragraph (a), for “the OFT or (as the case may be) the Commission” substitute “ the CMA ”, and

(b)in paragraph (b), for “the OFT, the Commission” substitute “ the CMA ”.

Commencement Information

I309Sch. 5 para. 67 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

68U.K.In section 23 (relevant merger situations), in subsection (9), in paragraph (a), for “Commission” substitute “ CMA ”.

Commencement Information

I310Sch. 5 para. 68 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

69U.K.In section 24 (time-limits and prior notice), in subsection (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I311Sch. 5 para. 69 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

70U.K.In section 25 (extension of time-limits), in subsections (1) to (6) and (8), for “OFT” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I312Sch. 5 para. 70 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

71U.K.In section 28 (turnover test), in subsection (5), for “OFT” substitute “ CMA ”.

Commencement Information

I313Sch. 5 para. 71 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

72(1)Section 33 (duty to make references in relation to anticipated mergers) is amended as follows.U.K.

(2)In subsection (1), for the words before paragraph (a) substitute “ The CMA shall, subject to subsections (2) and (3), make a reference to its chair for the constitution of a group under Schedule                           4 to the Enterprise and Regulatory Reform Act 2013 if the CMA believes that it is or may be the case that— ”.

(3)In subsection (2)—

(a)in the words before paragraph (a), for “OFT” substitute “ CMA ”,

(b)in paragraph (a), omit “to the Commission”, and

(c)in paragraph (b), omit “to the Commission”.

(4)In subsections (3) and (3A), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I314Sch. 5 para. 72 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

73(1)Section 34A (duty where case referred by the European Commission) is amended as follows.U.K.

(2)In subsection (1), for “OFT” substitute “ CMA ”.

(3)In subsection (2)—

(a)in the words before paragraph (a), for “OFT” substitute “ CMA ”, and

(b)in paragraph (a), omit “to the Commission”.

(4)In subsection (3), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I315Sch. 5 para. 73 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

74U.K.Before section 35 (but after the italic cross-heading immediately preceding it) insert—

##### “34CFunctions to be exercised by CMA groups

(1)Where a reference is made to the chair of the CMA under section 22 or 33 for the constitution of a group under Schedule 4                           to the Enterprise and Regulatory Reform Act 2013, the functions of the CMA under or by virtue of the following provisions                           of this Part in relation to the matter concerned are to be carried out on behalf of the CMA by the group so constituted—                  

(a)sections 35 to 41B, except for sections 35(6) and (7), 36(5) and (6) and 37(6);                  

(b)where a reference is treated by virtue of section 37(2) as having been made under section 22, section 23(9)(a);                  

(c)section 76, as it applies in relation to orders under section 83, and sections 77, 78 and 80 to 84;                  

(d)section 87, so far as relating to an enforcement order made on behalf of the CMA by the group;                  

(e)sections 92(4), 94 and 94A, so far as relating to an enforcement undertaking or enforcement order made on behalf of the CMA                           by the group;                  

(f)section 104, so far as relating to a decision mentioned in paragraph (a)(iii) of the definition of relevant decision in subsection                           (6) of that section;                  

(g)section 107, so far as relating to anything done on behalf of the CMA by the group;                  

(h)section 109, where the permitted purpose in question relates to a function that (by virtue of this section) is being or is                           to be carried out on behalf of the CMA by the group;                  

(i)sections 110 to 115, so far as relating to a notice given under section 109 on behalf of the CMA by the group;                  

(j)section 120(5)(b), so far as relating to a decision of the group;                  

(k)Schedule 10, so far as relating to an enforcement undertaking or enforcement order which the group is considering accepting                           or making, or which the group has accepted or made, on behalf of the CMA.                  

(2)The functions of the CMA under section 95(4) in relation to the matter concerned may be carried out on behalf of the CMA by                           the group.                  

(3)Nothing in subsection (1) prevents the CMA Board from exercising a function of the CMA under or by virtue of the following                           provisions of this Part where the group constituted as mentioned in subsection (1) has ceased to exist—                  

(a)section 76 and Schedule 10, so far as relating to the making of an order under section 76 in relation to an order under section                           83;                  

(b)section 83 and Schedule 10, so far as relating to the making of an order under section 83;                  

(c)sections 76 (as it applies in relation to an order under section 83), 80 to 84 and Schedule 10, so far as relating to the                           variation, supersession or release of enforcement undertakings or the variation or revocation of enforcement orders;                  

(d)section 87;                  

(e)sections 92(4) and 94.”                  

Commencement Information

I316Sch. 5 para. 74 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

75U.K.In section 35 (questions to be decided in relation to completed mergers), in subsections (1) and (3) to (7), for “Commission”                        (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I317Sch. 5 para. 75 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

76U.K.In section 36 (questions to be decided in relation to anticipated mergers), in subsections (1) to (6), for “Commission” (in                        each place where it occurs) substitute “ CMA ”.

Commencement Information

I318Sch. 5 para. 76 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

77(1)Section 37 (cancellation and variation of references under section 22 or 33) is amended as follows.U.K.

(2)In subsections (1) to (4), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (6), for “OFT” substitute “ CMA ”.

(4)Omit subsections (7) and (8).

(5)In subsection (9)—

(a)for “OFT” substitute “ CMA ”, and

(b)for “Commission” substitute “ CMA ”.

Commencement Information

I319Sch. 5 para. 77 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

78(1)Section 38 (investigations and reports on references under section 22 or 33) is amended as follows.U.K.

(2)In subsections (1) to (3), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)Omit subsection (4).

Commencement Information

I320Sch. 5 para. 78 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

79U.K.In section 39 (time-limits for investigations and reports), in subsections (1), (3), (4) and (8), for “Commission” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I321Sch. 5 para. 79 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

80U.K.In section 40 (section 39: supplementary), in subsections (10), (11) and (13), for “Commission” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I322Sch. 5 para. 80 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

81U.K.In section 41 (duty to remedy effects of completed or anticipated mergers), in subsections (1) to (5), for “Commission” (in                        each place where it occurs) substitute “ CMA ”.

Commencement Information

I323Sch. 5 para. 81 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

82(1)Section 42 (intervention by Secretary of State in certain public interest cases) is amended as follows.U.K.

(2)In subsection (2), for “OFT” substitute “ CMA ”.

(3)In subsection (6)—

(a)for “OFT” (in each place where it occurs) substitute “ CMA ”, and

(b)for “Commission” substitute “ CMA ”.

Commencement Information

I324Sch. 5 para. 82 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

83(1)Section 43 (intervention notices under section 42) is amended as follows.U.K.

(2)In subsection (4)—

(a)in paragraph (a), for “OFT” substitute “ CMA ”, and

(b)for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I325Sch. 5 para. 83 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

84(1)Section 44 (investigation and report) is amended as follows.U.K.

(2)In subsections (2) and (3), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (4) —

(a)in the words before paragraph (a), for “OFT” substitute “ CMA ”, and

(b)in paragraph (c), omit “to the Commission”.

(4)In subsections (5), (5A) and (7), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I326Sch. 5 para. 84 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

85(1)Section 45 (power of Secretary of State to refer matter) is amended as follows.U.K.

(2)In subsection (1), in paragraph (b), for “OFT” substitute “ CMA ”.

(3)In subsections (2) to (5), for “to the Commission” (in each place where it occurs) substitute “ to the chair of the CMA for the constitution of a group under Schedule 4 to the Enterprise and Regulatory Reform Act 2013                           ”.

(4)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I327Sch. 5 para. 85 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

86U.K.In section 46 (references under section 46: supplementary), in subsection (2), for “OFT” substitute “ CMA ”.

Commencement Information

I328Sch. 5 para. 86 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

87(1)Section 46A (cases referred by European Commission where intervention notice is in force) is amended as follows.U.K.

(2)In subsection (1), for “OFT” substitute “ CMA ”.

(3)In subsection (2), in paragraph (a), omit “to the Commission”.

Commencement Information

I329Sch. 5 para. 87 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

88U.K.Before section 47 (but after the italic cross-heading immediately preceding it) insert—

##### “46DFunctions to be exercised by CMA groups

Where a reference is made to the chair of the CMA under section 45 for the constitution of a group under Schedule 4 to the                        Enterprise and Regulatory Reform Act 2013, the functions of the CMA under or by virtue of the following provisions of this                        Part in relation to the matter concerned are to be carried out on behalf of the CMA by the group so constituted—                  

(a)sections 47 to 53;                  

(b)where a reference is treated by virtue of section 49(1) as having been made under section 45(2) or (3), section 23(9)(ab)                           (as it has effect by virtue of section 42(6));                  

(c)sections 104, so far as relating to any decision mentioned in paragraph (a)(iii) of the definition of relevant decision in                           subsection (6) of that section, and 104A;                  

(d)section 107, so far as relating to anything done on behalf of the CMA by the group;                  

(e)section 109, where the permitted purpose relates to a function that (by virtue of this section) is being or is to be carried                           out on behalf of the CMA by the group;                  

(f)sections 110 to 115, so far as relating to a notice given under section 109 on behalf of the CMA by the group;                  

(g)section 118(4);                  

(h)section 120(5)(b), so far as relating to a decision of the group.”                  

Commencement Information

I330Sch. 5 para. 88 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

89U.K.In section 47 (questions to be decided on references under section 45), in subsections (1) to (11), for “Commission” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I331Sch. 5 para. 89 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

90U.K.In section 48 (cases where references on certain questions need not be decided), in subsections (1) to (3) for “Commission”                        (in each place where it occurs), substitute “ CMA ”.

Commencement Information

I332Sch. 5 para. 90 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

91U.K.In section 49 (variation of references under section 45), in subsections (1) to (4) and (7) to (9), for “Commission” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I333Sch. 5 para. 91 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

92U.K.In section 50 (investigations and reports on references under section 45), in subsections (1) to (3), for “Commission” (in                        each place where it occurs) substitute “ CMA ”.

Commencement Information

I334Sch. 5 para. 92 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

93(1)Section 51 (time-limits for investigations and reports) is amended as follows.U.K.

(2)In subsections (1) to (4) and (8), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I335Sch. 5 para. 93 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

94U.K.Section 52 (section 51: supplementary), in subsections (10), (11) and (13), for “Commission” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I336Sch. 5 para. 94 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

95(1)Section 53 (restrictions on action where public interest considerations not finalised) is amended as follows.U.K.

(2)In subsection (1), for “Commission” substitute “ CMA ”.

(3)In subsection (2)—

(a)omit “to the Commission”, and

(b)for “Commission” substitute “ CMA ”.

(4)In subsections (3) to (5), for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I337Sch. 5 para. 95 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

96(1)Section 54 (decision of Secretary of State in public interest cases) is amended as follows.U.K.

(2)In subsection (1), for “Commission” substitute “ CMA ”.

(3)In subsection (3), omit “to the Commission” (in each place where it occurs).

(4)In subsections (5) and (6), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(5)In subsection (7)—

(a)omit “to the Commission” (in each place where it occurs),

(b)for “of the Commission” (in each place where it occurs) substitute “ of the CMA ”, and

(c)in paragraph (b)(ii), for “OFT” substitute “ CMA ”.

Commencement Information

I338Sch. 5 para. 96 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

97U.K.In section 55 (enforcement action by Secretary of State), in subsection (3), for “Commission” substitute “ CMA ”.

Commencement Information

I339Sch. 5 para. 97 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

98(1)Section 56 (competition cases where intervention on public interest grounds ceases) is amended as follows.U.K.

(2)In subsections (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (3)—

(a)for “Commission” (in each place where it occurs) substitute “ CMA ”,

(b)for “the report of the OFT” substitute “ its report ”, and

(c)omit “to it by the OFT”.

(4)In subsection (4), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(5)In subsection (6)—

(a)for “Commission” substitute “ CMA ”, and

(b)omit “to it”.

(6)In subsection (7), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(7)In subsection (8)—

(a)for “Commission” substitute “ CMA ”,

(b)after “(6)” insert “— 

(a)”,

(c)omit “to the Commission by the OFT”, and

(d)at the end insert “; and 

(b)for the purposes of section 34C, the group constituted in consequence of the reference under section 45 is to be treated as                           if it were constituted in consequence of a reference under section 22 or (as the case may be) 33.”                  

Commencement Information

I340Sch. 5 para. 98 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

99(1)Section 57 (duties of authorities to inform Secretary of State) is amended as follows.U.K.

(2)In subsection (1), for “OFT” substitute “ CMA ”.

(3)In subsection (2)—

(a)for “OFT, OFCOM and the Commission” substitute “ CMA and OFCOM ”, and

(b)for “OFT, OFCOM or (as the case may be) the Commission” substitute “ CMA or (as the case may be) OFCOM ”.

(4)In the heading, for “OFT and Commission” substitute “ CMA and OFCOM ”.

Commencement Information

I341Sch. 5 para. 99 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

100U.K.In section 58 (specified considerations), in subsection (4)(b) for “OFT, OFCOM, the Commission” substitute “ CMA, OFCOM ”.

Commencement Information

I342Sch. 5 para. 100 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

101(1)Section 59 (intervention by Secretary of State in special public interest cases) is amended as follows.U.K.

(2)In subsection (2), for “OFT” substitute “ CMA ”.

(3)In subsection (6)—

(a)for “OFT” (in each place where it occurs) substitute “ CMA ”, and

(b)for “Commission” substitute “ CMA ”.

Commencement Information

I343Sch. 5 para. 101 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

102(1)Section 60 (special intervention notices under section 59) is amended as follows.U.K.

(2)In subsection (4)—

(a)in paragraph (a), for “OFT” substitute “ CMA ”, and

(b)for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I344Sch. 5 para. 102 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

103(1)In section 61 (initial investigation and report) is amended as follows.U.K.

(2)In subsections (2) to (4A) and (6), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I345Sch. 5 para. 103 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

104(1)Section 62 (power of Secretary of State to refer matter) is amended as follows.U.K.

(2)In subsection (1), in paragraph (b), for “OFT” substitute “ CMA ”.

(3)In subsections (2) and (3), for “to the Commission” (in each place where it occurs), substitute “ to the chair of the CMA for the constitution of a group under Schedule 4 to the Enterprise and Regulatory Reform Act 2013                           ”.

(4)In subsection (5), for “OFT” substitute “ CMA ”.

Commencement Information

I346Sch. 5 para. 104 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

105U.K.Before section 63 insert—

##### “62AFunctions to be exercised by CMA groups

Where a reference is made to the chair of the CMA under section 62 for the constitution of a group under Schedule 4 to the                        Enterprise and Regulatory Reform Act 2013, the functions of the CMA under or by virtue of the following provisions of this                        Part in relation to the matter concerned are to be carried out on behalf of the CMA by the group so constituted—                  

(a)sections 63 to 65;                  

(b)where a reference is treated by virtue of section 64(2) as having been made under section 62(2), section 23(9)(ab) (as it                           has effect by virtue of section 59(6));                  

(c)sections 104, so far as relating to any decision mentioned in paragraph (a)(iii) of the definition of relevant decision in                           subsection (6) of that section, and 104A;                  

(d)section 107, so far as relating to anything done on behalf of the CMA by the group;                  

(e)section 109, where the permitted purpose relates to a function that (by virtue of this section) is being or is to be carried                           out on behalf of the CMA by the group;                  

(f)sections 110 to 115, so far as relating to a notice given under section 109 on behalf of the CMA by the group;                  

(g)section 118(4);                  

(h)section 120(5)(b), so far as relating to a decision of the group.”                  

Commencement Information

I347Sch. 5 para. 105 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

106U.K.In section 63 (questions to be decided on references under section 62), in subsections (1) to (4), for “Commission” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I348Sch. 5 para. 106 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

107U.K.In section 64 (cancellation and variation of references under section 62), in subsections (1) to (4) and (7) to (9), for “Commission”                        (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I349Sch. 5 para. 107 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

108U.K.In section 65 (investigations and reports on references under section 62), in subsections (1) to (2A) and (4), for “Commission”                        (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I350Sch. 5 para. 108 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

109U.K.In section 66 (decision and enforcement action by Secretary of State), in subsections (1) to (4) and (7), for “Commission”                        (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I351Sch. 5 para. 109 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

110U.K.In section 67 (intervention to protect legitimate interests), in subsections (2) and (8), for “OFT” (in each place where it                        occurs) substitute “ CMA ”.

Commencement Information

I352Sch. 5 para. 110 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

111U.K.In section 68 (scheme for protecting legitimate interests), in subsection (4)—

(a)in paragraph (b), for “OFT” substitute “ CMA ”,

(b)in paragraph (c), for “to the Commission” substitute “ to the chair of the CMA for the constitution of a group under Schedule 4 to the Enterprise and Regulatory Reform Act 2013                           ”, and

(c)in paragraph (d), for “the Commission” substitute “ the CMA, acting through a group so constituted, ”.

Commencement Information

I353Sch. 5 para. 111 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

112U.K.In section 72 (initial enforcement orders), in subsections (2), (6) and (7), for “OFT” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I354Sch. 5 para. 112 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

113U.K.In section 73 (undertakings in lieu of references), in subsections (1) to (4), (5) and (7), for “OFT” (in each place where                        it occurs) substitute “ CMA ”.

Commencement Information

I355Sch. 5 para. 113 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

114U.K.In section 74 (effect of undertakings under section 73), in subsections (1), (2) and (5), for “OFT” (in each place where it                        occurs) substitute “ CMA ”.

Commencement Information

I356Sch. 5 para. 114 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

115U.K.In section 75 (order making power where undertakings under section 73 not fulfilled), in subsections (1), (2), (4) and (6),                        for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I357Sch. 5 para. 115 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

116(1)Section 76 (supplementary interim order-making power) is amended as followsU.K.

(2)In subsection (1)—

(a)in paragraph (a), for “OFT” substitute “ CMA ”, and

(b)in paragraph (b), for “Commission” substitute “ CMA ”.

(3)In subsections (2), (3), (4) and (7), for “OFT or (as the case may be) the Commission” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I358Sch. 5 para. 116 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

117U.K.In section 77 (restrictions on certain dealings: completed mergers), in subsections (2), (3), (5) and (6), for “Commission”                        (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I359Sch. 5 para. 117 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

118U.K.In section 78 (restrictions on certain dealings: anticipated mergers), in subsections (2) to (4), for “Commission” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I360Sch. 5 para. 118 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

119(1)Section 79 (sections 77 and 78: further interpretation provisions) is amended as follows.U.K.

(2)In subsection (1), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (4), for “OFT” substitute “ CMA ”.

Commencement Information

I361Sch. 5 para. 119 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

120(1)Section 80 (interim undertakings) is amended as follows.U.K.

(2)In subsections (2), (5) and (9), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (10), for “Commission's” substitute “CMA's”.

Commencement Information

I362Sch. 5 para. 120 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

121(1)Section 81 (interim orders) is amended as follows.U.K.

(2)In subsection (2), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (9), for “Commission” substitute “ CMA ”.

Commencement Information

I363Sch. 5 para. 121 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

122U.K.In section 82 (final undertakings), in subsections (1), (2) and (5), for “Commission” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I364Sch. 5 para. 122 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

123(1)Section 83 (order-making powers where final undertakings not fulfilled) is amended as follows.U.K.

(2)In subsection (1), in the words before paragraph (a), for “Commission” substitute “ CMA ”.

(3)In that subsection, in paragraph (b)—

(a)for “Commission or the OFT” substitute “ CMA ”, and

(b)for “Commission decided” substitute “ CMA decided ”.

(4)In subsections (2) and (4), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(5)Omit subsection (6).

Commencement Information

I365Sch. 5 para. 123 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

124(1)Section 84 (final orders) is amended as follows.U.K.

(2)In subsections (1) and (2), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)Omit subsection (4).

Commencement Information

I366Sch. 5 para. 124 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

125U.K.In section 85 (enforcement regime for public interest and special interest cases), in subsection (2), for “OFT” substitute                        “ CMA ”.

Commencement Information

I367Sch. 5 para. 125 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

126(1)Section 91 (register of undertakings and orders) is amended as follows.U.K.

(2)In subsections (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (3)—

(a)in the words before paragraph (a), for “OFT” substitute “ CMA ”, and

(b)in paragraph (d), for “Commission” substitute “ CMA ”.

(4)In subsection (4), for “OFT” substitute “ CMA ”.

(5)In subsection (5)—

(a)for “Commission and the Secretary of State” substitute “ Secretary of State ”,

(b)for “OFT” substitute “ CMA ”, and

(c)for “by them” (in each place where it occurs) substitute “ by the Secretary of State ”.

(6)In subsections (6) and (7), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I368Sch. 5 para. 126 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

127U.K.In the italic cross-heading preceding section 92, for “OFT” substitute “ CMA ”.

Commencement Information

I369Sch. 5 para. 127 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

128(1)Section 92 (duty to monitor undertakings and orders) is amended as follows.U.K.

(2)In subsections (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (3)—

(a)in the words before paragraph (a)—

(i)for “OFT” substitute “ CMA ”, and

(ii)omit “the Commission or (as the case may be)”,

(b)in paragraph (a)—

(i)omit “the Commission or (as the case may be)”, and

(ii)omit “it (or as the case may be)”, and

(c)in paragraphs (b) to (d), omit “the Commission or (as the case may be)” (in each place where it occurs).

(4)In subsections (4) to (6), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In subsection (7)—

(a)in the words before paragraph (a), for “OFT” substitute “ CMA ”,

(b)omit paragraph (a), and

(c)in paragraph (b), for “the report” substitute “ any report prepared by it under subsection (6) ”.

(6)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I370Sch. 5 para. 128 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

129(1)Section 93 (further role in relation to undertakings and orders) is amended as follows.U.K.

(2)In subsection (1), omit paragraph (a) and the word “or” immediately following it.

(3)In subsection (2)—

(a)for the words from the beginning to “authority”)” substitute “ The Secretary of State ”,

(b)for “OFT” substitute “ CMA ”,

(c)for “relevant authority” (in each place where it occurs) substitute “ Secretary of State ”, and

(d)omit “section 80 or 82 or (as the case may be)”.

(4)In subsection (3)—

(a)for “relevant authority” (in each place where it occurs) substitute “ Secretary of State ”,

(b)for “OFT” substitute “ CMA ”, and

(c)for “OFT's” substitute “CMA's”.

(5)In subsection (4)—

(a)for “OFT” substitute “ CMA ”,

(b)for “relevant authority” substitute “ Secretary of State ”, and

(c)omit “section 80 or 82 or (as the case may be)”.

(6)In subsection (6)—

(a)for “relevant authority” substitute “ Secretary of State ”, and

(b)for “OFT” substitute “ CMA ”.

(7)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I371Sch. 5 para. 129 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

130(1)Section 94 (rights to enforce undertakings and orders) is amended as follows.U.K.

(2)In subsection (6), for “OFT” substitute “ CMA ”.

(3)Omit subsection (7).

Commencement Information

I372Sch. 5 para. 130 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

131(1)Section 95 (rights to enforce statutory restrictions) is amended as follows.U.K.

(2)In subsection (4), for “OFT or the Commission” substitute “ CMA ”.

(3)In subsection (5), for “OFT” substitute “ CMA ”.

Commencement Information

I373Sch. 5 para. 131 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

132(1)Section 96 (merger notices) is amended as follows.U.K.

(2)In subsection (1), for “OFT” substitute “ CMA ”.

(3)In subsection (5), for “OFT” substitute “ CMA ”.

Commencement Information

I374Sch. 5 para. 132 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

133(1)Section 99 (certain functions in relation to merger notices) is amended as follows.U.K.

(2)In subsection (1), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (5), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(4)In the heading, for “OFT and Secretary of State” substitute “ CMA ”.

Commencement Information

I375Sch. 5 para. 133 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

134U.K.In section 100 (exceptions to protection given by merger notices), in subsection (1), for “OFT” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I376Sch. 5 para. 134 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

135(1)Section 104 (certain duties of relevant authorities to consult) is amended as follows.U.K.

(2)In subsection (6), in the definition of “relevant authority” for “OFT, the Commission” substitute “ CMA ”.

(3)In that subsection, in the definition of “relevant decision”—

(a)for “OFT” (in each place where it occurs) substitute “ CMA ”,

(b)in paragraph (a), after sub-paragraph (ii) insert “; or 

(iii)on the questions mentioned in section 35(1) or (3), 36(1) or (2), 47 or 63;”, and                  

(c)omit paragraph (b).

Commencement Information

I377Sch. 5 para. 135 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

136U.K.In section 104A (public consultation in relation to media mergers), in subsections (1) to (3), for “Commission” (in each place                        where it occurs) substitute “ CMA ”.

Commencement Information

I378Sch. 5 para. 136 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

137(1)Section 105 (general information duties) is amended as follows.U.K.

(2)In subsection (1), for “OFT” substitute “ CMA ”.

(3)In subsection (3)—

(a)in the words before paragraph (a)—

(i)for “OFT” substitute “ CMA ”, and

(ii)omit “Commission or”,

(b)in paragraph (a), omit “the Commission or (as the case may be)” (in each place where it occurs), and

(c)in paragraph (b)—

(i)omit “the Commission or (as the case may be)”, and

(ii)for “OFT” substitute “ CMA ”.

(4)In subsection (3A)—

(a)in the words before paragraph (a), for “Commission or the OFT” substitute “ CMA ”, and

(b)for “Commission or (as the case may be) the OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In subsection (4)—

(a)for “OFT” (in each place where it occurs) substitute “ CMA ”,

(b)for “the Commission or OFCOM” substitute “ OFCOM ”, and

(c)omit “the Commission or (as the case may be)” (in each place where it occurs).

(6)In subsection (4A)—

(a)for “Commission or the OFT” substitute “ CMA ”, and

(b)for “Commission or (as the case may be) the OFT” (in each place where it occurs) substitute “ CMA ”.

(7)In subsection (5)—

(a)in the words before paragraph (a), for “OFT, OFCOM and the Commission” substitute “ CMA and OFCOM ”, and

(b)in paragraph (b), for “OFT, OFCOM or (as the case may be) the Commission” substitute “ CMA or (as the case may be) OFCOM ”.

(8)In subsection (6), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(9)In subsection (7)—

(a)for “Commission” substitute “ CMA ”, and

(b)for “(3), (3A), (4) or (4A)” substitute “ (3A) or (4A) ”.

(10)In subsection (7A), omit the words from “and the OFT” to the end of the subsection.

(11)In the heading, for “OFT and Commission” substitute “ CMA ”.

Commencement Information

I379Sch. 5 para. 137 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

138(1)Section 106 (advice and information about references under sections 22 and 33) is amended as follows.U.K.

(2)In subsection (1)—

(a)omit “As soon as reasonably practicable after the passing of this Act,”,

(b)for “the OFT” substitute “ The CMA ”, and

(c)for the words from “the making” to the end of the subsection substitute “— 

(a)the making and consideration by it of references under section 22 or 33, and                  

(b)the way in which relevant customer benefits may affect the taking of enforcement action in relation to such references.”                  

(3)In subsection (2), for “OFT” substitute “ CMA ”.

(4)Omit subsections (3) and (4).

(5)In subsection (5), in paragraph (b), for “OFT or (as the case may be) the Commission” substitute “ CMA ”.

(6)In subsection (6)—

(a)omit “or (3)”, and

(b)for “OFT or (as the case may be) the Commission” substitute “ CMA ”.

(7)In subsection (7)—

(a)for “OFT or the Commission” substitute “ CMA ”, and

(b)for “OFT or (as the case may be) the Commission” substitute “ CMA ”.

(8)In subsection (8), for “OFT shall consult the Commission and such other persons” substitute “ CMA shall consult such persons ”.

(9)Omit subsection (9).

Commencement Information

I380Sch. 5 para. 138 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

139U.K.In section 106A (advice and information in relation to media mergers), in subsection (5), for “OFT, OFCOM, the Commission”                        substitute “ CMA, OFCOM ”.

Commencement Information

I381Sch. 5 para. 139 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

140U.K.In section 106B (general advisory duties of OFCOM), in subsections (1) and (3), for “Commission” substitute “ CMA ”.

Commencement Information

I382Sch. 5 para. 140 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

141(1)Section 107 (further publicity requirements) is amended as follows.U.K.

(2)In subsection (1)—

(a)for “OFT” substitute “ CMA ”,

(b)in paragraph (e), omit “or 76”, and

(c)omit paragraphs (g) and (h).

(3)In subsection (2), for “Commission shall” substitute “ CMA shall also ”.

(4)In subsection (3)—

(a)in paragraph (b), for “OFT” substitute “ CMA ”, and

(b)in paragraph (e), for “Commission” substitute “ CMA ”.

(5)In subsection (9)—

(a)in paragraph (a), for “OFT” substitute “ CMA ”, and

(b)in paragraph (b), for “Commission” substitute “ CMA ”.

(6)In subsection (10)—

(a)in paragraph (a), for “OFT” substitute “ CMA ”, and

(b)in paragraph (b), for “Commission” substitute “ CMA ”.

(7)In subsection (11), for “Commission's” substitute “CMA's”.

Commencement Information

I383Sch. 5 para. 141 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

142U.K.In section 108 (defamation), for “OFT, OFCOM, the Commission” substitute “ CMA, OFCOM ”.

Commencement Information

I384Sch. 5 para. 142 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

143U.K.In section 109 (attendance of witnesses and production of documents etc.), in subsection (3)(a), for “the Commission” substitute                        “ the CMA ”.

Commencement Information

I385Sch. 5 para. 143 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

144U.K.In section 110 (enforcement of powers under section 109: general), in subsections (1) to (3), (6), (8) and (9), for “Commission”                        (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I386Sch. 5 para. 144 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

145U.K.In section 111 (penalties), in subsections (1), (5) and (8), for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I387Sch. 5 para. 145 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

146U.K.In section 112 (penalties: main procedural requirements), in subsections (1) to (3), for “Commission” (in each place where                        it occurs) substitute “ CMA ”.

Commencement Information

I388Sch. 5 para. 146 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

147U.K.In section 113 (payment and interest by instalments), in subsections (3) and (4), for “Commission” (in each place where it                        occurs) substitute “ CMA ”.

Commencement Information

I389Sch. 5 para. 147 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

148U.K.In section 114 (appeals in relation to penalties), in subsections (4), (5) and (7), for “Commission” (in each place where                        it occurs) substitute “ CMA ”.

Commencement Information

I390Sch. 5 para. 148 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

149U.K.In section 115 (recovery of penalties), for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I391Sch. 5 para. 149 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

150U.K.In section 116 (statement of policy), in subsections (1), (3) and (4), for “Commission” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I392Sch. 5 para. 150 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

151U.K.In section 117 (false or misleading information), in subsections (1) and (2), for “OFT, OFCOM, the Commission” (in each place                        where it occurs) substitute “ CMA, OFCOM ”.

Commencement Information

I393Sch. 5 para. 151 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

152(1)Section 118 (excisions from reports) is amended as follows.U.K.

(2)In subsection (1)—

(a)in paragraph (a), for “OFT” substitute “ CMA ”, and

(b)in paragraph (b), for “Commission” substitute “ CMA ”.

(3)In subsection (5), for “Commission” substitute “ CMA ”.

Commencement Information

I394Sch. 5 para. 152 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

153(1)Section 119 (minority reports) is amended as follows.U.K.

(2)In subsection (1)—

(a)omit “in pursuance of paragraph 15 of Schedule 7 to the Competition Act 1998 (c. 41)”, and

(b)for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I395Sch. 5 para. 153 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

154(1)Section 119B (monitoring role in relation to media mergers) is amended as follows.U.K.

(2)In subsections (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I396Sch. 5 para. 154 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

155U.K.In section 120 (review of decisions under Part 3), in subsection (1)—

(a)for “OFT” substitute “ CMA ”, and

(b)for “the Secretary of State or the Commission” substitute “ or the Secretary of State ”.

Commencement Information

I397Sch. 5 para. 155 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

156(1)Section 121 (fees) is amended as follows.U.K.

(2)In subsection (1)—

(a)for “OFT of” substitute “ CMA of ”, and

(b)for “OFT, OFCOM and the Commission” substitute “ CMA and OFCOM ”.

(3)In subsections (3), (4) and (7), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(4)In subsection (8)—

(a)for “OFT in” substitute “ CMA in ”, and

(b)for “OFT, OFCOM and the Commission” substitute “ CMA and OFCOM ”.

(5)In subsection (9), for “OFT” substitute “ CMA ”.

Commencement Information

I398Sch. 5 para. 156 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

157(1)Section 122 (primacy of EU law) is amended as follows.U.K.

(2)In subsection (1)—

(a)omit “or (3)”, and

(b)for “OFT or (as the case may be) the Commission” substitute “ CMA ”.

(3)In subsection (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I399Sch. 5 para. 157 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

158U.K.Section 123 (power to alter share of supply test), in subsection (4), for “OFT and the Commission” substitute “ CMA ”.

Commencement Information

I400Sch. 5 para. 158 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

159(1)Section 130 (index of defined expressions) is amended as follows.U.K.

(2)At the appropriate place in the table insert—

(3)Omit the entries in the table for “The Commission” and “The OFT”.

(4)In the first column of the entry for “Reports of the Commission”, for “Commission” substitute “ CMA ”.

Commencement Information

I401Sch. 5 para. 159 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

160(1)Schedule 7 (enforcement regime for public interest and special interest cases) is amended as follows.U.K.

(2)In paragraph 2, in sub-paragraphs (2), (10) and (11), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In paragraph 3, in sub-paragraph (3), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(4)In paragraph 4, in sub-paragraphs (2) and (3), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In paragraph 5, in sub-paragraphs (1) and (6), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(6)In paragraph 7, in sub-paragraphs (8) and (9), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(7)In paragraph 8—

(a)in sub-paragraphs (7) and (8), for “Commission” (in each place where it occurs) substitute “ CMA ”, and

(b)in sub-paragraph (11), for “OFT” substitute “ CMA ”.

(8)In paragraph 10, in sub-paragraphs (1) and (6), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(9)In paragraph 11, in sub-paragraph (5), for “OFT” substitute “ CMA ”.

Commencement Information

I402Sch. 5 para. 160 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

161(1)Schedule 8 (provision that may be contained in certain enforcement orders) is amended as follows.U.K.

(2)In paragraph 8, in sub-paragraph (3), for “Commission” substitute “ CMA ”.

(3)In paragraph 19, for “OFT” (in each place where it occurs) substitute “ CMA ”.

(4)In paragraph 24 —

(a)omit paragraph (a), and

(b)in paragraph (b), for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I403Sch. 5 para. 161 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

162U.K.In Schedule 10 (procedural requirements for certain enforcement undertakings and orders), in paragraph 2(1), for “the OFT,                        the Commission” substitute “ the CMA ”.

Commencement Information

I404Sch. 5 para. 162 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Part 4U.K.

163(1)Section 131 (power to make market investigation references) is amended as follows.U.K.

(2)In subsection (1), for the words before “has reasonable grounds” substitute “ The CMA may, subject to subsection (4), make a reference to its chair for the constitution of a group under Schedule 4 to                           the Enterprise and Regulatory Reform Act 2013 if the CMA ”.

(3)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I405Sch. 5 para. 163 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

164(1)Section 132 (ministerial power to make market investigation references) is amended as follows.U.K.

(2)In subsections (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (3), for “Commission” substitute “ chair of the CMA for the constitution of a group under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 ”.

Commencement Information

I406Sch. 5 para. 164 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

165U.K.In section 133 (contents of references), in subsection (2), for “Commission” substitute “ group constituted by the chair of the CMA in respect of the reference ”.

Commencement Information

I407Sch. 5 para. 165 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

166U.K.Before section 134 (but after the italic cross-heading immediately preceding it) insert—

##### “133AFunctions to be exercised by CMA groups

(1)Where a reference is made to the chair of the CMA under section 131, 132 or 140A for the constitution of a group under Schedule                           4 to the Enterprise and Regulatory Reform Act 2013, the functions of the CMA under or by virtue of the following provisions                           of this Part in relation to the matter concerned are to be carried out on behalf of the CMA by the group so constituted—                  

(a)sections 134 to 138B, except for section 135(1);                  

(b)sections 140B to 145, 148, 148A and 151;                  

(c)sections 157 and 158;                  

(d)section 159;                  

(e)section 160, except for subsection (6) of that section;                  

(f)section 161, except for subsection (5) of that section;                  

(g)section 162(4), so far as relating to an enforcement undertaking or enforcement order made on behalf of the CMA by the group;                  

(h)section 164(2)(b), so far as relating to an enforcement order made on behalf of the CMA by the group;                  

(i)section 167, so far as relating to an enforcement undertaking or enforcement order made on behalf of the CMA by the group;                  

(j)section 168;                  

(k)section 169, so far as relating to a decision mentioned in paragraph (a)(iii) of the definition of relevant decision in subsection                           (6) of that section;                  

(l)section 172, so far as relating to anything done on behalf of the CMA by the group;                  

(m)section 174, where the permitted purpose in question relates to a function that (by virtue of this section) is being or is                           to be carried out on behalf of the CMA by the group;                  

(n)sections 174A to 174D, so far as relating to a notice given under section 174 on behalf of the CMA by the group;                  

(o)section 179(5)(b), so far as relating to a decision of the group;                  

(p)Schedule 10, so far as relating to an enforcement undertaking or enforcement order which the group is considering accepting                           or making, or which the group has accepted or made, on behalf of the CMA.                  

(2)Nothing in subsection (1) prevents the CMA Board from carrying out a function of the CMA under or by virtue of the following                           provisions of this Part where the group constituted as mentioned in subsection (1) has ceased to exist—                  

(a)section 160 and Schedule 10, so far as relating to the making of an order under section 160;                  

(b)sections 159 to 161 and Schedule 10, so far as relating to the variation, supersession or release of enforcement undertakings                           or the variation or revocation of enforcement orders;                  

(c)section 162(4);                  

(d)section 164(2)(b);                  

(e)section 167.”                  

Commencement Information

I408Sch. 5 para. 166 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

167(1)Section 134 (questions to be decided on market investigation references) is amended as follows.U.K.

(2)In subsections (1), (4), (6) and (7), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (8)(b), for “Commission, the Secretary of State or (as the case may be) the OFT” substitute “ CMA or (as the case may be) the Secretary of State ”.

Commencement Information

I409Sch. 5 para. 167 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

168(1)Section 135 (variation of references) is amended as follows.U.K.

(2)In subsection (1), for “OFT” substitute “ CMA ”.

(3)In subsection (2)—

(a)omit “OFT or (as the case may be) the”,

(b)for “Commission” substitute “ CMA ”, and

(c)after “reference” insert “ made by him ”.

(4)In subsection (3), for “Commission” substitute “ CMA ”.

Commencement Information

I410Sch. 5 para. 168 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

169(1)Section 136 (investigations and reports on market investigation references) is amended as follows.U.K.

(2)In subsections (1) to (3), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)For subsection (4) substitute—

“(4)Where a reference has been made by the appropriate Minister under section 132 the CMA shall, at the same time as the report                           under this section is published, give it to the appropriate Minister.”                  

(4)In subsection (5)—

(a)for “OFT” substitute “ CMA ”, and

(b)for “Commission” substitute “ CMA ”.

(5)Omit subsection (6).

Commencement Information

I411Sch. 5 para. 169 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

170U.K.In section 137 (time-limits for market investigations and reports), in subsections (1), (5) and (6), for “Commission” (in                        each place where it occurs) substitute “ CMA ”.

Commencement Information

I412Sch. 5 para. 170 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

171U.K.In section 138 (duty to remedy adverse effects), in subsections (1) to (6), for “Commission” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I413Sch. 5 para. 171 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

172U.K.In section 139 (public interest intervention by the Secretary of State), in subsection (2), for “OFT” (in each place where                        it occurs) substitute “ CMA ”.

Commencement Information

I414Sch. 5 para. 172 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

173U.K.In section 140 (intervention notices under section 139(1)), in subsection (5), for “Commission” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I415Sch. 5 para. 173 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

174U.K.In section 141 (questions to be decided), in subsections (2) and (3) to (6), for “Commission” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I416Sch. 5 para. 174 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

175(1)Section 142 (investigations and reports) is amended as follows.U.K.

(2)In subsections (2) and (3), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I417Sch. 5 para. 175 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

176U.K.In section 143 (publication etc. of reports), in subsections (1), (3) and (4), for “Commission” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I418Sch. 5 para. 176 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

177U.K.In section 144 (time-limits for investigations and reports in public interest cases), in subsections (1), (4) and (5), for                        “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I419Sch. 5 para. 177 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

178U.K.In section 145 (restrictions where public interest considerations not finalised), in subsections (1) to (5), for “Commission”                        (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I420Sch. 5 para. 178 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

179U.K.In section 146 (decision of Secretary of State), in subsections (2) to (4), for “Commission” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I421Sch. 5 para. 179 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

180U.K.In section 147 (remedial action by Secretary of State), in subsections (3) and (4), for “Commission” (in each place where                        it occurs) substitute “ CMA ”.

Commencement Information

I422Sch. 5 para. 180 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

181(1)Section 148 (reversion of the matter) is amended as follows.U.K.

(2)In subsections (1), (2), (6), (7) and (9), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (10), for “Commission's” substitute “CMA's”.

Commencement Information

I423Sch. 5 para. 181 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

182U.K.In section 149 (intervention notices under section 139(2)), in subsections (1) and (5), for “OFT” (in each place where it                        occurs) substitute “ CMA ”.

Commencement Information

I424Sch. 5 para. 182 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

183(1)Section 150 (power of veto of Secretary of State) is amended as follows.U.K.

(2)In subsections (1) and (3), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (4), for “OFT's” substitute “CMA's”.

Commencement Information

I425Sch. 5 para. 183 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

184(1)Section 151 (further interaction of intervention notices with general procedure) is amended as follows.U.K.

(2)In subsection (3), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (4), for “Commission” (in the first place where it occurs) substitute “ CMA ”.

(4)In subsection (5), for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I426Sch. 5 para. 184 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

185(1)Section 152 (certain duties in relation to providing information) is amended as follows.U.K.

(2)In subsection (1), for “OFT” substitute “ CMA ”.

(3)In subsection (3)—

(a)for “OFT and the Commission” substitute “ CMA ”, and

(b)for “OFT or (as the case may be) the Commission” substitute “ CMA ”.

(4)In the heading, for “OFT and Commission” substitute “ CMA ”.

Commencement Information

I427Sch. 5 para. 185 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

186U.K.In section 153 (specified considerations for purposes of Part 4), in subsection (4)—

(a)for “OFT” substitute “ CMA ”,

(b)for “by the Secretary of State,” substitute “ by the Secretary of State or ”, and

(c)omit “or by the Commission”.

Commencement Information

I428Sch. 5 para. 186 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

187U.K.In section 154 (undertakings in lieu of market investigation references), in subsections (1) to (7), for “OFT” (in each place                        where it occurs) substitute “ CMA ”.

Commencement Information

I429Sch. 5 para. 187 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

188U.K.In section 155 (undertakings in lieu: procedural requirements), in subsections (1) to (4) and (6) to (9), for “OFT” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I430Sch. 5 para. 188 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

189U.K.In section 156 (effect of undertakings under section 154), in subsections (1) and (2), for “OFT” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I431Sch. 5 para. 189 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

190U.K.In section 159 (final undertakings: Part 4), in subsections (1), (5) and (6) for “Commission” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I432Sch. 5 para. 190 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

191(1)Section 160 (order-making power where final undertakings not fulfilled: Part 4) is amended as follows.U.K.

(2)In subsection (1)(b), for “the relevant authority or the OFT” substitute “ a relevant person ”.

(3)After subsection (1) insert—

“(1A)In subsection (1), a “relevant person” means—                  

(a)in a case where the relevant authority is the CMA, the CMA;                  

(b)in a case where the relevant authority is the Secretary of State, the Secretary of State or the CMA.”                  

(4)In subsection (6), for the words from the beginning to “OFT” substitute “ The Secretary of State shall not vary or revoke an order made by him under this section unless the CMA ”.

(5)In subsection (7), in paragraph (a), for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I433Sch. 5 para. 191 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

192(1)Section 161 (final orders: Part 4) is amended as follows.U.K.

(2)In subsection (1), for “Commission” substitute “ CMA ”.

(3)In subsection (5), for the words from the beginning to “OFT” substitute “ The Secretary of State shall not vary or revoke an order made by him under this section unless the CMA ”.

Commencement Information

I434Sch. 5 para. 192 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

193U.K.For the italic cross-heading before section 162 substitute “ Undertakings and orders: monitoring, consultation and advice ”.

Commencement Information

I435Sch. 5 para. 193 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

194(1)Section 162 (duty to monitor undertakings and orders: Part 4) is amended as follows.U.K.

(2)In subsections (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (3)—

(a)in the words before paragraph (a)—

(i)for “OFT” substitute “ CMA ”, and

(ii)omit “the Commission or (as the case may be)”,

(b)in paragraph (a)—

(i)omit “the Commission or (as the case may be)”, and

(ii)omit “it (or as the case may be)”,

(c)in paragraphs (b) to (d), omit “the Commission or (as the case may be)” (in each place where it occurs), and

(d)in paragraph (e), for “167(6) to (8)” substitute “ 167(6) and (7) ”.

(4)In subsection (4)—

(a)in the words before paragraph (a), for “OFT” substitute “ CMA ”, and

(b)after paragraph (b) (but before the “or” following it) insert—

“(ba)any possible variation or release by it of an enforcement undertaking accepted by it;                  

(bb)any possible new enforcement undertaking to be accepted by it so as to supersede another enforcement undertaking given to                           it;                  

(bc)any possible variation or revocation by it of an enforcement order made by it;                  

(bd)any possible enforcement undertaking to be accepted by it instead of an enforcement order or any possible enforcement order                           to be made by it instead of an enforcement undertaking;”.                  

(5)In subsections (5) and (6), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(6)In subsection (7)—

(a)in the words before paragraph (a), for “OFT” substitute “ CMA ”,

(b)omit paragraph (a), and

(c)in paragraph (b), for “the report” substitute “ any report prepared by it under subsection (6) ”.

(7)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I436Sch. 5 para. 194 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

195(1)Section 163 (further role in relation to undertakings and orders: Part 4) is amended as follows.U.K.

(2)In subsection (1)—

(a)omit “the Commission or”, and

(b)omit “(in this section “the relevant authority”)”.

(3)In subsection (2)—

(a)for “relevant authority” (in each place where it occurs) substitute “ Secretary of State ”, and

(b)for “OFT” substitute “ CMA ”.

(4)In subsection (3)—

(a)for “relevant authority” (in each place where it occurs) substitute “ Secretary of State ”,

(b)for “OFT” substitute “ CMA ”, and

(c)for “OFT's” substitute “CMA's”.

(5)In subsection (4)—

(a)for “OFT” substitute “ CMA ”, and

(b)for “relevant authority” substitute “ Secretary of State ”.

(6)In subsection (5)—

(a)for “relevant authority” (in each place where it occurs) substitute “ Secretary of State ”, and

(b)omit “itself”.

(7)In subsection (6)—

(a)for “relevant authority” substitute “ Secretary of State ”, and

(b)for “OFT” substitute “ CMA ”.

(8)For the heading substitute “ Role of CMA in relation to undertakings and orders in public interest cases: Part 4 ”.

Commencement Information

I437Sch. 5 para. 195 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

196(1)Section 166 (register of undertakings and orders: Part 4) is amended as follows.U.K.

(2)In subsections (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (3)—

(a)in the words before paragraph (a), for “OFT” substitute “ CMA ”,

(b)in paragraph (a), omit “(whether by the Commission, the Secretary of State or a relevant sectoral regulator)”, and

(c)in paragraph (b), omit “(whether by the Commission, the Secretary of State or a relevant sectoral regulator)”.

(4)In subsection (4), for “OFT” substitute “ CMA ”.

(5)In subsection (5)—

(a)omit “Commission, the”, and

(b)for “OFT” substitute “ CMA ”.

(6)In subsections (6) and (7), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I438Sch. 5 para. 196 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

197(1)Section 167 (rights to enforce undertakings and orders under this Part) is amended as follows.U.K.

(2)In subsection (6), for “OFT” substitute “ CMA ”.

(3)In subsection (7)—

(a)after “accepted” insert “ by the Secretary of State ”,

(b)after “an order” insert “ made by the Secretary of State ”, and

(c)for “relevant authority” substitute “ Secretary of State ”.

(4)Omit subsection (8).

(5)In subsection (9), for “(6) to (8)” substitute “ (6) and (7) ”.

Commencement Information

I439Sch. 5 para. 197 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

198U.K.In section 168 (regulated markets), in subsections (1), (2), (6) and (7), for “Commission” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I440Sch. 5 para. 198 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

199U.K.In section 169 (certain duties of relevant authorities to consult: Part 4), in subsection (6)—

(a)in the definition of “relevant authority”, for “OFT, the appropriate Minister or the Commission” substitute “ CMA, the appropriate Minister ”,

(b)in the definition of “relevant decision”, in paragraph (a), in the opening words, for “OFT” (in each place where it occurs)                        substitute “ CMA ”,

(c)also in that paragraph of that definition, after sub-paragraph (ii) insert “; or— 

(iii)on the questions mentioned in section 134, 141 or 141A; and”, and                  

(d)also in that definition, omit paragraph (c) and the word “and” preceding it.

Commencement Information

I441Sch. 5 para. 199 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

200(1)Section 170 (general information duties) is amended as follows.U.K.

(2)Omit subsections (1) and (2).

(3)In subsection (3)—

(a)in the words before paragraph (a), for “OFT and the Commission” substitute “ CMA ”,

(b)in paragraph (a), for “their possession” substitute “ its possession ”, and

(c)in paragraph (b), for “OFT (or as the case may be) the Commission” substitute “ CMA ”.

(4)In subsection (4), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In subsection (5), omit the words from the beginning to “and the Secretary of State” and insert “ The Secretary of State ”.

Commencement Information

I442Sch. 5 para. 200 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

201(1)Section 171 (advice and information: Part 4) is amended as follows.U.K.

(2)In subsection (1)—

(a)omit “As soon as reasonably practicable after the passing of this Act,”,

(b)for “the OFT” substitute “ The CMA ”, and

(c)for “the making of references by it under section 131” substitute “— 

(a)the making and consideration by it of market investigation references, and                  

(b)the way in which relevant customer benefits may affect the taking of enforcement action in relation to such references.”                  

(3)In subsection (2), for “OFT” substitute “ CMA ”.

(4)Omit subsections (3) and (4).

(5)In subsection (5)(b), for “OFT or (as the case may be) the Commission” substitute “ CMA ”.

(6)In subsection (6)—

(a)omit “or (3)”, and

(b)for “OFT or (as the case may be) the Commission” substitute “ CMA ”.

(7)In subsection (7)—

(a)omit “or (3)”, and

(b)for “OFT or (as the case may be) the Commission” substitute “ CMA ”.

(8)In subsection (8)—

(a)for “OFT or the Commission” substitute “ CMA ”, and

(b)for “OFT or (as the case may be) the Commission” substitute “ CMA ”.

(9)In subsection (9), for “OFT shall consult the Commission and such other persons” substitute “ CMA shall consult such persons ”.

(10)Omit subsection (10).

Commencement Information

I443Sch. 5 para. 201 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

202(1)Section 172 (further publicity requirements: Part 4) is amended as follows.U.K.

(2)In subsection (1), for “OFT” substitute “ CMA ”.

(3)In subsection (2), for “Commission shall” substitute “ CMA shall also ”.

(4)In subsection (10), for “Commission's” substitute “CMA's”.

Commencement Information

I444Sch. 5 para. 202 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

203U.K.In section 173 (defamation)—

(a)for “OFT” substitute “ CMA ”,

(b)for “by the Secretary of State,” substitute “ by the Secretary of State or ”, and

(c)omit “or by the Commission”.

Commencement Information

I445Sch. 5 para. 203 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

204U.K.In section 174 (investigatory powers), in subsections (3) to (5), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I446Sch. 5 para. 204 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

205U.K.In section 177 (excisions from reports: Part 4), in subsections (1), (4) and (5), for “Commission” (in each place where it                        occurs) substitute “ CMA ”.

Commencement Information

I447Sch. 5 para. 205 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

206(1)Section 178 (minority reports: Part 4) is amended as follows.U.K.

(2)In subsection (1)—

(a)omit “in pursuance of paragraph 15 of Schedule 7 to the Competition Act 1998 (c. 41)”, and

(b)for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I448Sch. 5 para. 206 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

207U.K.In section 179 (review of decisions under Part 4), in subsection (1)—

(a)for “OFT” substitute “ CMA ”, and

(b)for “, the Secretary of State or the Commission” substitute “ or the Secretary of State ”.

Commencement Information

I449Sch. 5 para. 207 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

208U.K.In section 183 (interpretation of Part 4), in subsection (3), for “Commission” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I450Sch. 5 para. 208 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

209(1)Section 184 (index of defined expressions: Part 4) is amended as follows.U.K.

(2)At the appropriate place in the table insert—

(3)Omit the entries in the table for “The Commission” and “The OFT”.

(4)In the first column of the entry in the table for “Reports of the Commission”, for “Commission” substitute “ CMA ”.

Commencement Information

I451Sch. 5 para. 209 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Part 6U.K.

210U.K.In section 190 (cartel offence: prosecution), in subsections (2)(b) and (4), for “OFT” substitute “ CMA ”.

Commencement Information

I452Sch. 5 para. 210 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

211U.K.In section 192 (investigation of cartel offences), in subsections (1) and (2), for “OFT” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I453Sch. 5 para. 211 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

212U.K.In section 193 (powers when conducting an investigation), in subsections (1) to (4), for “OFT” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I454Sch. 5 para. 212 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

213U.K.In section 194 (power to enter premises under a warrant), in subsections (1) and (2), for “OFT” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I455Sch. 5 para. 213 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

214U.K.In section 195 (exercise of powers by authorised person), in subsection (1), for “OFT” (in both places where it occurs) substitute                        “ CMA ”.

Commencement Information

I456Sch. 5 para. 214 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

215U.K.In section 196 (privileged information etc), in subsection (2)(b), for “OFT” substitute “ CMA ”.

Commencement Information

I457Sch. 5 para. 215 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

216U.K.In section 201 (offences), in subsection (4)(a), for “OFT” substitute “ CMA ”.

Commencement Information

I458Sch. 5 para. 216 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Part 11U.K.

217(1)Section 273 (interpretation) is amended as follows.U.K.

(2)For the definition of “the Commission” substitute—

““the CMA” means the Competition and Markets Authority;”.                  

(3)Omit the definition of “the OFT”.

Commencement Information

I459Sch. 5 para. 217 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

### **PART 3**U.K.Abolition of the Competition Commission

#### Amendments of the 1998 ActU.K.

218U.K.The 1998 Act is amended as follows.

Commencement Information

I460Sch. 5 para. 218 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

219U.K.In the heading of Chapter 4 of Part 1, omit “The Competition Commission and”.

Commencement Information

I461Sch. 5 para. 219 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

220U.K.Omit section 45 (establishment of Competition Commission) and the cross- heading preceding it.

Commencement Information

I462Sch. 5 para. 220 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

221U.K.In section 59 (interpretation of Part 1), in subsection (1), in the definition of “the Commission”, omit “(except in relation                        to the Competition Commission)”.

Commencement Information

I463Sch. 5 para. 221 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

222U.K.Omit Schedule 7 (Competition Commission).

Commencement Information

I464Sch. 5 para. 222 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

223U.K.Omit Schedule 7A (Competition Commission: procedural rules for mergers and markets refinances).

Commencement Information

I465Sch. 5 para. 223 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Amendments of the 2002 ActU.K.

224U.K.The 2002 Act is amended as follows.

Commencement Information

I466Sch. 5 para. 224 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

225U.K.Omit sections 185 to 187 (the Competition Commission).

Commencement Information

I467Sch. 5 para. 225 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

226U.K.In Schedule 3 (the Competition Service), omit Part 2 (transfers of property etc between the Competition Commission and the                        Competition Service).

Commencement Information

I468Sch. 5 para. 226 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

227U.K.Omit Schedule 11 (the Competition Commission).

Commencement Information

I469Sch. 5 para. 227 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

228U.K.Omit Schedule 12 (Competition Commission: certain procedural rules).

Commencement Information

I470Sch. 5 para. 228 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

### **PART 4**U.K.Abolition of the Office of Fair Trading

229U.K.Omit sections 1 to 4 of, and Schedule 1 to, the 2002 Act (which make provision about the establishment of the Office of Fair                        Trading), and the italic cross-heading preceding section 1.

Commencement Information

I471Sch. 5 para. 229 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

 Section 26(4)

## SCHEDULE 6U.K.Regulatory appeals etc: minor and consequential amendments

### **PART 1**U.K.Amendments to Acts

#### Competition Act 1980 (c. 21)U.K.

1U.K.The Competition Act 1980 is amended as follows.

Commencement Information

I472Sch. 6 para. 1 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

2(1)Section 11 (reference of public bodies and certain other persons to the Commission) is amended as follows.U.K.

(2)In subsections (1), (5), (6), (8) and (10), for “Commission” (in each place where it occurs) substitute “ CMA ” .

(3)After subsection (10) insert—

“(10A)The functions of the CMA with respect to a reference under this section (including functions under sections 109 to 115 of                           the Enterprise Act 2002, as applied by section 11B) are to be carried out on behalf of the CMA by a group constituted for                           the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013.”                  

(4)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I473Sch. 6 para. 2 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

3U.K.In section 11A (references under section 11: time-limits), in subsections (2) and (3), for “Commission” (in each place where                        it occurs) substitute “ CMA ”.

Commencement Information

I474Sch. 6 para. 3 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

4(1)Section 11C (references under section 11: further supplementary provisions) is amended as follows.U.K.

(2)In subsection (1), for the words from “the words” to the end, substitute “— 

(a)the words “, OFCOM or the Secretary of State” were omitted, and                  

(b)for the words “their functions” there were substituted “ its functions ”.”                  

(3)In subsection (3)—

(a)for “Commission” substitute “ CMA ”, and

(b)for the words from “in connection with” to the end, substitute “ by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference ”.

Commencement Information

I475Sch. 6 para. 4 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

5U.K.In section 12 (orders following report under section 11), in subsections (1) to (3) and (5), for “Commission” (in each place                        where it occurs) substitute “ CMA ”.

Commencement Information

I476Sch. 6 para. 5 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

6U.K.In section 16 (general provisions as to reports), in subsection (2), for “Commission” substitute “ CMA ”.

Commencement Information

I477Sch. 6 para. 6 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

7U.K.In section 17 (laying before Parliament and publication of reports), in subsection (6), for “Commission” substitute “ CMA ”.

Commencement Information

I478Sch. 6 para. 7 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

8U.K.In section 33 (short title, interpretation, etc), in subsection (2), for “ “the Commission”” substitute “ “the CMA” ”.

Commencement Information

I479Sch. 6 para. 8 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Solicitors (Scotland) Act 1980 (c. 46)S

9SThe Solicitors (Scotland) Act 1980 is amended as follows.

Commencement Information

I480Sch. 6 para. 9 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

10SIn section 25A (rights of audience in the Court of Session etc), in subsections (9) and (11), for “Director” (in each place                        where it occurs) substitute “ CMA ”.

Commencement Information

I481Sch. 6 para. 10 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

11(1)Section 64A (advisory and supervisory functions) is amended as follows.S

(2)In subsections (1) and (2), for “Director” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (3)—

(a)for “Director has completed his consideration he” substitute “ CMA has completed its consideration, the CMA ”, and

(b)for “he thinks” substitute “ it thinks ”.

(4)In subsection (4), for “The Director may publish any advice given by him” substitute “ The CMA may publish advice given ”.

(5)In subsection (5)—

(a)for “Director” substitute “ CMA ”, and

(b)for “Director's” substitute “CMA's”.

(6)In subsection (6), for “Director” substitute “ CMA ”.

(7)In the heading, for “Director General of Fair Trading” substitute “ Competition and Markets Authority ”.

Commencement Information

I482Sch. 6 para. 11 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

12(1)Section 64C (investigatory powers) is amended as follows.S

(2)In subsection (1)—

(a)for “Director” substitute “ CMA ”, and

(b)for “him” (in each place where it occurs) substitute “ the CMA ”.

(3)After subsection (2) insert—

“(2A)A notice under this section may be issued on the CMA's behalf by any member of the CMA Board.”                  

(4)In the heading, for “Director” substitute “ Competition and Markets Authority ”.

Commencement Information

I483Sch. 6 para. 12 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

13SIn section 64CA (enforcement of notices under section 64C), in subsections (1) and (2), for “Office of Fair Trading” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I484Sch. 6 para. 13 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

14(1)In section 65 (interpretation), in subsection (1)—S

(a)before the definition of “the Council” insert—

““the CMA” means the Competition and Markets Authority;                  

“the CMA Board” has the same meaning as in Schedule 4 to the Enterprise and Regulatory Reform Act 2013;”, and”                  

(b)omit the definition of “the Director”.

Commencement Information

I485Sch. 6 para. 14 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Gas Act 1986 (c. 44)E+W+S

15E+W+SThe Gas Act 1986 is amended as follows.

Commencement Information

I486Sch. 6 para. 15 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

16(1)Section 23B (appeals) is amended as follows.E+W+S

(2)In subsection (1), for “Competition Commission (“the Commission”)” substitute “ CMA ”.

(3)In subsections (3) and (4), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In the heading, for “Competition Commission” substitute “ CMA ”.

Commencement Information

I487Sch. 6 para. 16 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

17(1)Section 23C (procedure on appeal) is amended as follows.E+W+S

(2)Omit subsection (1).

(3)In subsection (2), omit “Instead,”.

(4)After subsection (2) insert—

“(2A)Except where specified otherwise in Schedule 4A, the functions of the CMA with respect to an appeal under section 23B are                           to be carried out on behalf of the CMA by a group constituted for the purpose by the chair of the CMA under Schedule 4 to                           the Enterprise and Regulatory Reform Act 2013.”                  

(5)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I488Sch. 6 para. 17 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

18(1)Section 23D (determination of appeal) is amended as follows.E+W+S

(2)In subsections (2) to (5), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I489Sch. 6 para. 18 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

19(1)Section 23E (powers on allowing appeal) is amended as follows.E+W+S

(2)In subsection (1), for “Commission” substitute “ CMA ”.

(3)In subsection (2)—

(a)for “Commission” (in each place where it occurs) substitute “ CMA ”, and

(b)for “Commission's” substitute “CMA's”.

(4)In subsection (3), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(5)In subsection (7), for “Commission's” substitute “CMA's”.

(6)In the heading, for “Commission's” substitute “CMA's”.

Commencement Information

I490Sch. 6 para. 19 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

20(1)Section 23F (time limits for determination of appeal) is amended as follows.E+W+S

(2)In subsections (1), (3) to (5) and (7), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I491Sch. 6 para. 20 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

21(1)Section 23G (supplementary provision about determination of appeal) is amended as follows.E+W+S

(2)In subsection (1), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (2)—

(a)for “Commission” substitute “ CMA ”, and

(b)for “Commission's” (in each place where it occurs) substitute “CMA's”.

(4)In subsection (3), for “Commission” substitute “ CMA ”.

(5)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I492Sch. 6 para. 21 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

22E+W+SIn section 27 (modification by order under other enactments), in subsection (1), for “Office of Fair Trading, the Competition                        Commission” substitute “ CMA ”.

Commencement Information

I493Sch. 6 para. 22 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

23(1)Section 41D (application by Authority for order including new activities) is amended as follows.E+W+S

(2)In subsection (3), for the words from “shall” to the end, substitute “ shall, before making the application, make a reference under section 41E to the CMA ”.

(3)In subsections (4) and (5), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)After subsection (6), insert—

“(7)The functions of the CMA with respect to a reference under section 41E (including functions under sections 109 to 115 of the                           Enterprise Act 2002, as applied by section 41EB) are to be carried out on behalf of the CMA by a group constituted for the                           purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013.”                  

Commencement Information

I494Sch. 6 para. 23 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

24(1)Section 41E (references) is amended as follows.E+W+S

(2)In subsection (1)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(3)In subsections (2), (3), (5) and (6), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In the heading, for “Competition Commission” substitute “ CMA ”.

Commencement Information

I495Sch. 6 para. 24 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

25E+W+SIn section 41EA (references under section 41E: time limits), in subsections (2) and (3), for “Competition Commission” (in                        each place where it occurs) substitute “ CMA ”.

Commencement Information

I496Sch. 6 para. 25 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

26E+W+SIn section 41EB (references under section 41E: application of the Enterprise Act 2002), in subsection (4)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “the words” to the end, substitute “— 

(a)the words “, OFCOM or the Secretary of State” were omitted; and                  

(b)for the words “their functions” there were substituted “ its functions ”.”                  

Commencement Information

I497Sch. 6 para. 26 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

27(1)Section 41F (reports on references) is amended as follows.E+W+S

(2)In subsection (1), for “Competition Commission” substitute “ CMA ”.

(3)In subsections (2) and (3), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In subsection (3A)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “in connection with” to the end, substitute “ by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference ”.

(5)In subsections (3B) to (4C), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(6)In subsection (5), for “Commission” substitute “ CMA ”.

Commencement Information

I498Sch. 6 para. 27 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

28E+W+SIn section 48 (interpretation of Part 1), in subsection (1), after the definition of “calorific value” insert—

““the CMA” means the Competition and Markets Authority;”.                  

Commencement Information

I499Sch. 6 para. 28 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

29(1)Schedule 4A (procedure for appeals under section 23B) is amended as follows.E+W+S

(2)In paragraph 1—

(a)in sub-paragraphs (1) and (7), for “Commission” (in each place where it occurs) substitute “ CMA ”,

(b)in sub-paragraph (8)—

(i)for “Commission's” substitute “CMA's”, and

(ii)for “Commission” substitute “ CMA ”,

(c)in sub-paragraph (9)—

(i)for “deciding” substitute “ the authorised member decides ”, and

(ii)for “the Commission must give the Authority” substitute “ the Authority must be given ”,

(d)in sub-paragraph (10), for “Commission's” substitute “CMA's”,

(e)in sub-paragraph (12), for “the Commission must” substitute “ an authorised member of the CMA must ”, and

(f)in sub-paragraph (13)—

(i)for “of the Commission” substitute “ of the CMA ”, and

(ii)for “as the Commission” substitute “ as an authorised member of the CMA ”.

(3)In paragraph 2—

(a)in sub-paragraph (1), for “Commission” substitute “ CMA ”,

(b)in sub-paragraph (2)(b), for “the Commission has given the Authority” substitute “ the Authority has been given ”,

(c)in sub-paragraph (3), for “Commission's” substitute “CMA's”,

(d)in sub-paragraph (4), for “Commission” substitute “ CMA ”,

(e)in sub-paragraph (5)—

(i)for “Commission's” substitute “CMA's”, and

(ii)for “Commission” substitute “ CMA ”, and

(f)in sub-paragraph (6)—

(i)in paragraph (a), for “Commission” substitute “ CMA ”, and

(ii)in paragraph (b), for “the Commission” substitute “ an authorised member of the CMA ”.

(4)In paragraph 3, in sub-paragraphs (1) and (3), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(5)In paragraph 4—

(a)omit sub-paragraph (1),

(b)in sub-paragraph (2)—

(i)after “group” insert “ constituted by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 for the purpose of                           carrying out functions of the CMA with respect to an appeal under section 23B ”, and

(ii)for “Commission” substitute “ CMA panel ”,

(c)omit sub-paragraphs (3) to (7), and

(d)in sub-paragraph (8), for “a group” substitute “ the group ”.

(6)In paragraph 5, in sub-paragraph (1)—

(a)for “The group with the function of determining an appeal” substitute “ The CMA ”, and

(b)for “determination of the appeal” substitute “ determination of an appeal ”.

(7)In paragraph 6—

(a)in sub-paragraph (1), for “Commission” (in each place where it occurs) substitute “ CMA ”,

(b)in sub-paragraph (4)—

(i)for “The Commission may take copies” substitute “ An authorised member of the CMA may, for the purpose of the exercise of the functions of the CMA, make arrangements for                           copies to be taken ”, and

(ii)omit “to it”, and

(c)in sub-paragraph (5), in paragraph (a), for the words from “Commission's” to the end of paragraph (a), substitute “ CMA's behalf by an authorised member of the CMA ”.

(8)In paragraph 7—

(a)in sub-paragraph (2), for “Commission” substitute “ CMA ”,

(b)in sub-paragraph (5)(a), for “the Commission is not required” substitute “ there is no requirement ”,

(c)in sub-paragraph (7), for “the Commission must pay that person” substitute “ an authorised member of the CMA must arrange for that person to be paid ”, and

(d)in sub-paragraph (8), for the words from “Commission's” to the end, substitute “ CMA's behalf by an authorised member of the CMA ”.

(9)In paragraph 8—

(a)in sub-paragraph (1), for “Commission” substitute “ CMA ”, and

(b)in sub-paragraph (4), for the words from “Commission's” to the end, substitute “ CMA's behalf by an authorised member of the CMA ”.

(10)In paragraph 9, for “Commission” substitute “ CMA ”.

(11)In paragraph 10, in sub-paragraph (1), for “a member of the Commission” substitute “ an authorised member of the CMA ”.

(12)In paragraph 11, in sub-paragraphs (1), (3) and (4), for “Commission” (in each place where it occurs) substitute “ CMA Board ”.

(13)In paragraph 12, in sub-paragraphs (1) and (2), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(14)In paragraph 13, in sub-paragraph (1)—

(a)for the definition of “authorised member of the Commission” substitute—

““authorised member of the CMA”—                  

(a)in relation to a power exercisable in connection with an appeal in respect of which a group has been constituted by the chair                           of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013, means a member of that group who has been authorised                           by the chair of the CMA to exercise that power;                  

(b)in relation to a power exercisable in connection with an application for permission to bring an appeal, or otherwise in connection                           with an appeal in respect of which a group has not been so constituted by the chair of the CMA, means—                  

(i)any member of the CMA Board who is also a member of the CMA panel, or                  

(ii)any member of the CMA panel authorised by the Secretary of State (whether generally or specifically) to exercise the power                           in question.”,                  

(b)omit the definition of “the Chairman”,

(c)for the definition of “the Commission” substitute—

““CMA Board” and “CMA panel” have the same meaning as in Schedule 4 to the Enterprise and Regulatory Reform Act 2013;”, and                  

(d)omit the definition of a “group”.

Commencement Information

I500Sch. 6 para. 29 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Electricity Act 1989 (c. 29)E+W+S

30E+W+SThe Electricity Act 1989 is amended as follows.

Commencement Information

I501Sch. 6 para. 30 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

31(1)Section 11C (appeals) is amended as follows.E+W+S

(2)In subsection (1), for “Competition Commission (“the Commission”)” substitute “ CMA ”.

(3)In subsections (3) and (4), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In the heading, for “Competition Commission” substitute “ CMA ”.

Commencement Information

I502Sch. 6 para. 31 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

32(1)Section 11D (procedure on appeal) is amended as follows.E+W+S

(2)Omit subsection (1).

(3)In subsection (2), omit “Instead,”.

(4)After subsection (2) insert—

“(2A)Except where specified otherwise in Schedule 5A, the functions of the CMA with respect to an appeal under section 11C are                           to be carried out on behalf of the CMA by a group constituted for the purpose by the chair of the CMA under Schedule 4 to                           the Enterprise and Regulatory Reform Act 2013.”                  

(5)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I503Sch. 6 para. 32 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

33(1)Section 11E (determination of appeal) is amended as follows.E+W+S

(2)In subsections (2) to (5), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I504Sch. 6 para. 33 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

34(1)Section 11F (powers on allowing appeal) is amended as follows.E+W+S

(2)In subsection (1), for “Commission” substitute “ CMA ”.

(3)In subsection (2)—

(a)for “Commission” (in each place where it occurs) substitute “ CMA ”, and

(b)for “Commission's” substitute “CMA's”.

(4)In subsection (3), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(5)In subsection (7), for “Commission's” substitute “CMA's”.

(6)In the heading, for “Commission's” substitute “CMA's”.

Commencement Information

I505Sch. 6 para. 34 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

35(1)Section 11G (time limits for determination of appeal) is amended as follows.E+W+S

(2)In subsection (1), for “Commission” substitute “ CMA ”.

(3)In subsections (3) to (5) and (7), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I506Sch. 6 para. 35 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

36(1)Section 11H (supplementary provision about determination of appeal) is amended as follows.E+W+S

(2)In subsection (1), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (2)—

(a)for “Commission” substitute “ CMA ”, and

(b)for “Commission's” (in each place where it occurs) substitute “CMA's”.

(4)In subsection (3), for “Commission” substitute “ CMA ”.

(5)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I507Sch. 6 para. 36 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

37E+W+SIn section 15 (modification by order under other enactments), in subsection (1) for “Office of Fair Trading, the Competition                        Commission” substitute “ CMA ”.

Commencement Information

I508Sch. 6 para. 37 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

38(1)Section 56B (application for order including new activities) is amended as follows.E+W+S

(2)In subsection (3), for the words from “shall” to the end, substitute “ shall, before making the application, make a reference under section 56C to the CMA ”.

(3)In subsections (4) and (5), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)After subsection (6), insert—

“(7)The functions of the CMA with respect to a reference under section 56C (including functions under sections 109 to 115 of the                           Enterprise Act 2002, as applied by section 56CB) are to be carried out on behalf of the CMA by a group constituted for the                           purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013.”                  

Commencement Information

I509Sch. 6 para. 38 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

39(1)Section 56C (references) is amended as follows.E+W+S

(2)In subsection (1)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(3)In subsections (2), (3), (5) and (6), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In the heading, for “Competition Commission” substitute “ CMA ”.

Commencement Information

I510Sch. 6 para. 39 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

40E+W+SIn section 56CA (references under section 56C: time limits), in subsections (2) and (3), for “Competition Commission” (in                        each place where it occurs) substitute “ CMA ”.

Commencement Information

I511Sch. 6 para. 40 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

41E+W+SIn section 56CB (references under section 56C: application of Enterprise Act 2002), in subsection (4)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “the words” to the end, substitute “— 

(a)the words “, OFCOM or the Secretary of State” were omitted; and                  

(b)for the words “their functions” there were substituted “ its functions ”.”                  

Commencement Information

I512Sch. 6 para. 41 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

42(1)Section 56D (reports on references) is amended as follows.E+W+S

(2)In subsection (1), for “Competition Commission” substitute “ CMA ”.

(3)In subsections (2) and (3), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In subsection (3A)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “in connection with” to the end, substitute “ by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference ”.

(5)In subsections (3B) to (4C), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(6)In subsection (5), for “Commission” substitute “ CMA ”.

Commencement Information

I513Sch. 6 para. 42 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

43E+W+SIn section 64 (interpretation etc of Part 1), in subsection (1), after the definition of “authorised supplier” insert—

““the CMA” means the Competition and Markets Authority;”.                  

Commencement Information

I514Sch. 6 para. 43 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

44(1)Schedule 5A (procedure for appeals under section 11C) is amended as follows.E+W+S

(2)In paragraph 1—

(a)in sub-paragraphs (1) and (7), for “Commission” (in each place where it occurs) substitute “ CMA ”,

(b)in sub-paragraph (8)—

(i)for “Commission's” substitute “CMA's”, and

(ii)for “Commission” substitute “ CMA ”,

(c)in sub-paragraph (9)—

(i)for “deciding” substitute “ the authorised member decides ”, and

(ii)for “the Commission must give the Authority” substitute “ the Authority must be given ”,

(d)in sub-paragraph (10), for “Commission's” substitute “CMA's”,

(e)in sub-paragraph (12), for “the Commission must” substitute “ an authorised member of the CMA must ”, and

(f)in sub-paragraph (13)—

(i)for “of the Commission” substitute “ of the CMA ”, and

(ii)for “as the Commission” substitute “ as an authorised member of the CMA ”.

(3)In paragraph 2—

(a)in sub-paragraph (1) for “Commission” substitute “ CMA ”,

(b)in sub-paragraph (2)(b), for “the Commission has given the Authority” substitute “ the Authority has been given ”,

(c)in sub-paragraph (3), for “Commission's” substitute “CMA's”,

(d)in sub-paragraph (4), for “Commission” substitute “ CMA ”,

(e)in sub-paragraph (5)—

(i)for “Commission's” substitute “CMA's”, and

(ii)for “Commission” substitute “ CMA ”, and

(f)in sub-paragraph (6)—

(i)in paragraph (a), for “Commission” substitute “ CMA ”, and

(ii)in paragraph (b), for “the Commission” substitute “ an authorised member of the CMA ”.

(4)In paragraph 3, in sub-paragraphs (1) and (3), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(5)In paragraph 4—

(a)omit sub-paragraph (1),

(b)in sub-paragraph (2)—

(i)after “group” insert “ constituted by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 for the purpose of                           carrying out functions of the CMA with respect to an appeal under section 11C ”, and

(ii)for “Commission” substitute “ CMA panel ”,

(c)omit sub-paragraphs (3) to (7), and

(d)in sub-paragraph (8), for “a group” substitute “ the group ”.

(6)In paragraph 5, in sub-paragraph (1)—

(a)for “The group with the function of determining an appeal” substitute “ The CMA ”, and

(b)for “determination of the appeal” substitute “ determination of an appeal ”.

(7)In paragraph 6—

(a)in sub-paragraph (1), for “Commission” (in each place where it occurs) substitute “ CMA ”,

(b)in sub-paragraph (4)—

(i)for “The Commission may take copies” substitute “ An authorised member of the CMA may, for the purpose of the exercise of the functions of the CMA, make arrangements for                           copies to be taken ”, and

(ii)omit “to it”, and

(c)in sub-paragraph (5), in paragraph (a), for the words from “Commission's” to the end of paragraph (a), substitute “ CMA's behalf by an authorised member of the CMA ”.

(8)In paragraph 7—

(a)in sub-paragraph (2), for “Commission” substitute “ CMA ”,

(b)in sub-paragraph (5)(a), for “the Commission is not required” substitute “ there is no requirement ”,

(c)in sub-paragraph (7), for “the Commission must pay that person” substitute “ an authorised member of the CMA must arrange for that person to be paid ”, and

(d)in sub-paragraph (8), for the words from “Commission's” to the end, substitute “ CMA's behalf by an authorised member of the CMA ”.

(9)In paragraph 8—

(a)in sub-paragraph (1), for “Commission” substitute “ CMA ”, and

(b)in sub-paragraph (4), for the words from “Commission's” to the end, substitute “ CMA's behalf by an authorised member of the CMA ”.

(10)In paragraph 9, for “Commission” substitute “ CMA ”.

(11)In paragraph 10, in sub-paragraph (1), for “a member of the Commission” substitute “ an authorised member of the CMA ”.

(12)In paragraph 11, in sub-paragraphs (1), (3) and (4), for “Commission” (in each place where it occurs) substitute “ CMA Board ”.

(13)In paragraph 12, in sub-paragraphs (1) and (2), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(14)In paragraph 13, in sub-paragraph (1)—

(a)for the definition of “authorised member of the Commission” substitute—

““authorised member of the CMA”—                  

(a)in relation to a power exercisable in connection with an appeal in respect of which a group has been constituted by the chair                           of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013, means a member of that group who has been authorised                           by the chair of the CMA to exercise that power;                  

(b)in relation to a power exercisable in connection with an application for permission to bring an appeal, or otherwise in connection                           with an appeal in respect of which a group has not been so constituted by the chair of the CMA, means—                  

(i)any member of the CMA Board who is also a member of the CMA panel, or                  

(ii)any member of the CMA panel authorised by the Secretary of State (whether generally or specifically) to exercise the power                           in question.”,                  

(b)omit the definition of “the Chairman”,

(c)for the definition of “the Commission” substitute—

““CMA Board” and “CMA panel” have the same meaning as in Schedule 4 to the Enterprise and Regulatory Reform Act 2013;”, and                  

(d)omit the definition of a “group”.

Commencement Information

I515Sch. 6 para. 44 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Law Reform (Miscellaneous Provisions) (Scotland) Act 1990 (c. 40)S

45SThe Law Reform (Miscellaneous Provisions) (Scotland) Act 1990 is amended as follows.

Commencement Information

I516Sch. 6 para. 45 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

46SIn section 26 (consideration of applications made under section 25), in subsection (3), for “Director” substitute “ CMA ”.

Commencement Information

I517Sch. 6 para. 46 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

47SIn section 31 (rules of conduct), in subsection (2), for “Director” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I518Sch. 6 para. 47 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

48(1)Section 40 (advisory and supervisory functions of Director) is amended as follows.S

(2)In subsections (1) and (2), for “Director” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (3)—

(a)for “Director has completed his consideration he” substitute “ CMA has completed its consideration it ”, and

(b)for “as he” substitute “ as it ”.

(4)In subsection (4), for “The Director may publish any advice given by him” substitute “ The CMA may publish any advice given ”.

(5)In subsection (5)—

(a)for “Director” substitute “ CMA ”, and

(b)for “Director's” substitute “CMA's”.

(6)In the heading, for “Director” substitute “ CMA ”.

Commencement Information

I519Sch. 6 para. 48 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

49(1)Section 41 (investigatory powers of Director) is amended as follows.S

(2)In subsection (1)—

(a)for “Director” substitute “ CMA ”, and

(b)in paragraphs (a) and (b), for “him” in each place substitute “ the CMA ”.

(3)In the heading, for “Director” substitute “ CMA ”.

Commencement Information

I520Sch. 6 para. 49 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

50SIn section 41A (enforcement of notices under section 41), in subsections (1) and (2), for “Office of Fair Trading” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I521Sch. 6 para. 50 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

51SIn section 44 (interpretation of Part 2)—

(a)after the definition of “advocate” insert—

““the CMA” means the Competition and Markets Authority;”, and                  

(b)omit the definition of “the OFT”.

Commencement Information

I522Sch. 6 para. 51 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Water Industry Act 1991 (c. 56)E+W

52E+WThe Water Industry Act 1991 is amended as follows.

Commencement Information

I523Sch. 6 para. 52 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

53(1)Section 12 (determinations under conditions of appointment) is amended as follows.E+W

(2)In subsection (2)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(3)In subsection (3)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “that Commission” (in each place where it occurs) substitute “ the CMA ”.

(4)In subsection (3A), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(5)In subsections (3B) and (3C), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(6)After subsection (3C) insert—

“(3D)The functions of the CMA with respect to a reference under this section are to be carried out on behalf of the CMA by a group                           constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including                           functions relating to the making of modifications following a report on a reference, and functions under sections 109 to 115                           of the Enterprise Act 2002, as applied by subsection (3B) read with section 16B).”                  

Commencement Information

I524Sch. 6 para. 53 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

54(1)Section 14 (modification references) is amended as follows.E+W

(2)In subsection (1)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(3)In subsection (2)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(4)In subsection (3), for “Competition Commission” substitute “ CMA ”.

(5)In subsection (5)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” (in each place where it occurs) substitute “ the CMA ”.

(6)In subsection (6), for “Competition Commission” substitute “ CMA ”.

(7)After subsection (6) insert—

“(6A)The functions of the CMA with respect to a reference under this section are to be carried out on behalf of the CMA by a group                           constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including                           functions relating to the making of modifications following a report on a reference, and functions under sections 109 to 115                           of the Enterprise Act 2002, as applied by sections 14B and 16B).”                  

(8)In the heading, for “Monopolies Commission” substitute “ CMA ”.

Commencement Information

I525Sch. 6 para. 54 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

55E+WIn section 14A (references under section 14: time limits), in subsections (2) and (3), for “Competition Commission” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I526Sch. 6 para. 55 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

56(1)Section 15 (reports on modification references) is amended as follows.E+W

(2)In subsection (1), for “Competition Commission” substitute “ CMA ”.

(3)In subsection (1A)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “in connection with the reference” to the end, substitute “ by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference ”.

(4)In subsections (1B), (3) to (3C) and (4), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I527Sch. 6 para. 56 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

57E+WIn section 16 (modification following report), in subsections (1) and (4A), for “Competition Commission” (in each place where                        it occurs) substitute “ CMA ”.

Commencement Information

I528Sch. 6 para. 57 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

58(1)Section 16A (power of veto following report) is amended as follows.E+W

(2)In subsection (1), for the words from the beginning to “the Commission”)” substitute “ The CMA ”.

(3)In subsections (2) to (9), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)Omit subsection (10).

(5)In the heading, for “Commission's” substitute “CMA's”.

Commencement Information

I529Sch. 6 para. 58 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

59(1)Section 16B (power of veto following report: supplementary) is amended as follows.E+W

(2)In subsections (2) to (4), (6) and (8), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “Commission's” substitute “CMA's”.

Commencement Information

I530Sch. 6 para. 59 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

60E+WIn section 17 (modification by order under other enactments), in subsection (1), for “OFT, the Competition Commission” substitute                        “ CMA ”.

Commencement Information

I531Sch. 6 para. 60 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

61(1)Section 17K (water supply licences: modification references) is amended as follows.E+W

(2)In subsection (1)—

(a)for the words from “Competition Commission” to “the Commission”)” substitute “ CMA ”, and

(b)for “Commission to” substitute “ CMA to ”.

(3)In subsections (2) to (4), (6), (7) and (9), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)After subsection (9) insert—

“(10)The functions of the CMA with respect to a reference under this section are to be carried out on behalf of the CMA by a group                           constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including                           functions relating to the making of modifications following a report on a reference, and functions under sections 109 to 115                           of the Enterprise Act 2002, as applied by sections 17M and 17Q).”                  

(5)In the heading, for “Competition Commission” substitute “ CMA ”.

Commencement Information

I532Sch. 6 para. 61 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

62E+WIn section 17L (references under section 17K: time limits), in subsections (2) and (3), for “Commission” (in each place where                        it occurs) substitute “ CMA ”.

Commencement Information

I533Sch. 6 para. 62 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

63(1)Section 17N (water supply licences: reports on modification references) is amended as follows.E+W

(2)In subsection (1), for “Commission” substitute “ CMA ”.

(3)In subsection (2)—

(a)for “Commission” substitute CMA”, and

(b)for the words from “in connection with” to the end substitute “ by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference ”.

(4)In subsections (3) to (7) and (9), for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I534Sch. 6 para. 63 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

64E+WIn section 17O (water supply licences: modification following report), in subsections (1) and (6), for “Commission” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I535Sch. 6 para. 64 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

65(1)Section 17P (water supply licences: power of veto following report) is amended as follows.E+W

(2)In subsections (1) to (8) and (10) and (11), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “Commission's” substitute “CMA's”.

Commencement Information

I536Sch. 6 para. 65 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

66(1)Section 17Q (section 17P: supplementary) is amended as follows.E+W

(2)In subsections (2) to (4), (6) and (8), for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I537Sch. 6 para. 66 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

67E+WIn section 17R (water supply licences: modification by order under other enactments), in subsection (1), for “OFT, the Commission”                        substitute “ CMA ”.

Commencement Information

I538Sch. 6 para. 67 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

68E+WIn section 219 (general interpretation), in subsection (1)—

(a)after the definition of “the Authority” insert—

“ “the CMA” means the Competition and Markets Authority”, and                     

(b)omit the definition of “the OFT”.

Commencement Information

I539Sch. 6 para. 68 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Railways Act 1993 (c. 43)E+W+S

69E+W+SThe Railways Act 1993 is amended as follows.

Commencement Information

I540Sch. 6 para. 69 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

70(1)Section 13 (modification references) is amended as follows.E+W+S

(2)In subsection (1)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(3)In subsection (2)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(4)In subsection (3), for “Competition Commission” substitute “ CMA ”.

(5)In subsection (5)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(6)In subsection (6)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” (in each place where it occurs) substitute “ the CMA ”.

(7)In subsection (7), for “Competition Commission” substitute “ CMA ”.

(8)After subsection (9) insert—

“(10)The functions of the CMA with respect to a reference under this section are to be carried out on behalf of the CMA by a group                           constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including                           functions relating to the making of modifications following a report on a reference, and functions under sections 109 to 115                           of the Enterprise Act 2002, as applied by sections 13B and 15C).”                  

(9)In the heading, for “Monopolies Commission” substitute “ CMA ”.

Commencement Information

I541Sch. 6 para. 70 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

71E+W+SIn section 13A (references under section 13: time limits), in subsections (2) and (3), for “Competition Commission” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I542Sch. 6 para. 71 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

72(1)In section 13B (application of Enterprise Act 2002), in subsection (4)—E+W+S

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “the words” to the end, substitute “— 

(a)the words “, OFCOM or the Secretary of State” were omitted; and                  

(b)for the words “their functions” there were substituted “ its functions ”.”                  

Commencement Information

I543Sch. 6 para. 72 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

73(1)Section 14 (reports on modification references) is amended as follows.E+W+S

(2)In subsection (1), for “Competition Commission” substitute “ CMA ”.

(3)In subsection (1A)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “in connection with” to the end substitute “ by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference ”.

(4)In subsections (1B), (3) to (3C) and (4), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I544Sch. 6 para. 73 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

74E+W+SIn section 15 (modification following report), in subsections (1), (4A), (4C) and (4D), for “Competition Commission” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I545Sch. 6 para. 74 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

75(1)Section 15A (power to veto modifications following report) is amended as follows.E+W+S

(2)In subsections (1) to (5), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “Competition Commission's” substitute “CMA's”.

Commencement Information

I546Sch. 6 para. 75 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

76(1)Section 15B (making of modifications) is amended as follows.E+W+S

(2)In subsections (1) to (5), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “Competition Commission” substitute “ CMA ”.

Commencement Information

I547Sch. 6 para. 76 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

77(1)Section 15C (sections 15A and 15B: supplementary) is amended as follows.E+W+S

(2)In subsections (2) to (2B) and (2D), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (2F), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In subsection (2G)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “the words” to the end, substitute “— 

(a)the words “, OFCOM or the Secretary of State” were omitted; and                  

(b)for the words “their functions” there were substituted “ its functions ”.”                  

(5)In subsections (3) and (4), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I548Sch. 6 para. 77 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

78E+W+SIn section 16 (modification by order under other enactments), in subsection (1), for “OFT, the Competition Commission” substitute                        “ CMA ”.

Commencement Information

I549Sch. 6 para. 78 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

79(1)Section 74 (annual and other reports) is amended as follows.E+W+S

(2)In subsection (1)(b), for “Competition Commission's” substitute “CMA's”.

(3)Omit subsection (7).

Commencement Information

I550Sch. 6 para. 79 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

80E+W+SIn section 83 (interpretation of Part 1), in subsection (1)—

(a)before the definition of “cross-border service” insert—

“ “the CMA” means the Competition and Markets Authority;”, and                     

(b)omit the definition of “the OFT”.

Commencement Information

I551Sch. 6 para. 80 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

81(1)Schedule 4A (review of access charges by regulators) is amended as follows.E+W+S

(2)In the italic cross-heading preceding paragraph 8, for “Competition Commission reference” substitute “ reference to CMA ”.

(3)In paragraph 8, in sub-paragraph (2)(b), for “Competition Commission” substitute “ CMA ”.

(4)In the italic cross-heading preceding paragraph 9, for “Competition Commission” substitute “ CMA ”.

(5)In paragraph 9—

(a)in sub-paragraphs (1), (3) to (5), and (6A) to (9), for “Competition Commission” (in each place where it occurs) substitute                        “ CMA ”, and

(b)after sub-paragraph (9), insert—

“(10)The functions of the CMA with respect to a reference under this paragraph are to be carried out on behalf of the CMA by a                           group constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013                           (including functions relating to the making of changes following a report on a reference, and functions under sections 109                           to 115 of the Enterprise Act 2002, as applied by paragraphs 10A and 15).”                  

(6)In paragraph 10A, in sub-paragraph (4)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “the words” to the end, substitute “— 

(a)the words “, OFCOM or the Secretary of State” were omitted; and                  

(b)for the words “their functions” there were substituted “ its functions ”.”                  

(7)In paragraph 11—

(a)in sub-paragraph (1), for “Competition Commission” substitute “ CMA ”,

(b)in sub-paragraph (4A)—

(i)for “Competition Commission” substitute “ CMA ”, and

(ii)for the words from “in connection with” to the end substitute “ by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference ”, and

(c)in sub-paragraphs (4B) to (5C) and (6), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(8)In paragraph 12, in sub-paragraphs (1), (4B), (5), (8) and (9), for “Competition Commission” substitute “ CMA ”.

(9)In the italic cross-heading preceding paragraph 13, for “Competition Commission's” substitute “CMA's”.

(10)In paragraph 13, in sub-paragraphs (1) to (5), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(11)In the italic cross-heading preceding paragraph 14, for “Competition Commission” substitute “ CMA ”.

(12)In paragraph 14, in sub-paragraphs (1) to (3) and (5) and (6), for “Competition Commission” (in each place where it occurs)                        substitute “ CMA ”.

(13)In paragraph 15—

(a)in sub-paragraphs (2) to (2B) and (2D), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”,

(b)in sub-paragraph (2F), for “Commission” (in each place where it occurs) substitute “ CMA ”,

(c)in sub-paragraph (2G)—

(i)for “Competition Commission” substitute “ CMA ”, and

(ii)for the words from “the words” to the end, substitute “— 

(a)the words “, OFCOM or the Secretary of State” were omitted; and                  

(b)for the words “their functions” there were substituted “ its functions ”.”, and                  

(d)in sub-paragraphs (3) and (4), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I552Sch. 6 para. 81 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Utilities Act 2000 (c. 27)E+W+S

82E+W+SThe Utilities Act 2000 is amended as follows.

Commencement Information

I553Sch. 6 para. 82 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

83(1)Section 5 (annual and other reports of Authority) is amended as follows.E+W+S

(2)In subsection (1)(b), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(3)Omit subsection (9).

Commencement Information

I554Sch. 6 para. 83 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

84E+W+SSection 104 (specialist members of the Competition Commission) is omitted.

Commencement Information

I555Sch. 6 para. 84 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Transport Act 2000 (c. 38)U.K.

85U.K.The Transport Act 2000 is amended as follows.

Commencement Information

I556Sch. 6 para. 85 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

86(1)Section 12 (references) is amended as follows.U.K.

(2)In subsection (1)—

(a)for “Competition Commission” substitute “ Competition and Markets Authority (referred to in this Chapter as “the CMA”) ”, and

(b)for “the Commission” substitute “ the CMA ”.

(3)In subsections (2), (3) and (5) to (8), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)After subsection (8) insert—

“(8A)The functions of the CMA with respect to a reference under this section are to be carried out on behalf of the CMA by a group                           constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including                           functions relating to the making of modifications following a report on a reference, and functions under sections 109 to 115                           of the Enterprise Act 2002, as applied by sections 12B and 18).”                  

(5)In the heading, for “Competition Commission” substitute “ Competition and Markets Authority ”.

Commencement Information

I557Sch. 6 para. 86 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

87U.K.In section 12A (references under section 12: time limits), in subsections (2) and (3), for “Competition Commission” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I558Sch. 6 para. 87 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

88U.K.In section 12B (references under section 12: application of Enterprise Act 2002), in subsection (4)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “the words” to the end, substitute “— 

(a)the words “, OFCOM or the Secretary of State” were omitted; and                  

(b)for the words “their functions” there were substituted “ its functions ”.”                  

Commencement Information

I559Sch. 6 para. 88 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

89(1)Section 13 (reports on references) is amended as follows.U.K.

(2)In subsection (1), for “Competition Commission” substitute “ CMA ”.

(3)In subsection (1A)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “in connection with” to the end, substitute “ by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference. ”.

(4)In subsections (1B) to (2C), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(5)In subsection (3), for “Commission” substitute “ CMA ”.

Commencement Information

I560Sch. 6 para. 89 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

90(1)Section 14 (modification following report) is amended as follows.U.K.

(2)In subsection (1), for “Competition Commission” substitute “ CMA ”.

(3)In subsection (5), for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I561Sch. 6 para. 90 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

91(1)Section 15 (power to give direction) is amended as follows.U.K.

(2)In subsection (1), for “Competition Commission” substitute “ CMA ”.

(3)In subsection (2), for “Commission” substitute “ CMA ”.

(4)In subsection (3)—

(a)for “Commission” substitute “ CMA ”, and

(b)for “Commission's” substitute “CMA's”.

(5)In subsections (4), (9) and (10), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(6)In the heading, for “Commission's” substitute “CMA's”.

Commencement Information

I562Sch. 6 para. 91 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

92(1)Section 16 (position where direction given) is amended as follows.U.K.

(2)In subsection (1), for “Competition Commission” substitute “ CMA ”.

(3)In subsection (2)—

(a)for “Commission” substitute “ CMA ”, and

(b)for “Commission's” substitute “CMA's”.

(4)In subsection (3)—

(a)for “Commission” substitute “ CMA ”, and

(b)for “Commission's” substitute “CMA's”.

(5)In subsections (4) to (6), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(6)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I563Sch. 6 para. 92 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

93(1)Section 17 (duty as to modifications under section 16) is amended as follows.U.K.

(2)In subsection (1), for “Competition Commission” substitute “ CMA ”.

(3)In subsections (2) and (4) to (6), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In the heading, for “Commission's” substitute “CMA's”.

Commencement Information

I564Sch. 6 para. 93 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

94(1)Section 18 (sections 15 and 16: general) is amended as follows.U.K.

(2)In subsections (2) to (4) and (6), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (8), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In subsection (9)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “the words” to the end, substitute “— 

(a)the words “, OFCOM or the Secretary of State” were omitted; and                  

(b)for the words “their functions” there were substituted “ its functions ”.”                  

Commencement Information

I565Sch. 6 para. 94 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

95U.K.In section 19 (modification by order under other enactments), in subsection (1), for “Office of Fair Trading, the Competition                        Commission” substitute “ CMA ”.

Commencement Information

I566Sch. 6 para. 95 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

96(1)Schedule 10 (competition test: functions and agreements relating to buses) is amended as follows.E+W

(2)In the italic cross-heading preceding paragraph 5, for “OFT” substitute “ CMA ”.

(3)In paragraph 5—

(a)for “Office of Fair Trading” substitute “ Competition and Markets Authority ”, and

(b)for “OFT”” substitute “ CMA ””.

(4)In paragraphs 6, 7, 9, 10 and 12 to 14, for “OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In paragraph 14A, in sub-paragraphs (2) to (6), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(6)In paragraphs 15 and 16, for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I567Sch. 6 para. 96 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Communications Act 2003 (c. 21)U.K.

97U.K.The Communications Act 2003 is amended as follows.

Commencement Information

I568Sch. 6 para. 97 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

98(1)Section 193 (reference of price control matters) is amended as follows.U.K.

(2)In subsection (1), for “Competition Commission” substitute “ CMA ”.

(3)In subsection (2)—

(a)for “Competition Commission” substitute “ CMA ”,

(b)for “the Commission is to determine that matter” substitute “ the determination of the matter is to be carried out on behalf of the CMA by a group constituted for the purpose by the                           chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013, and is to be performed ”,

(c)in paragraph (b), for “them” substitute “ the CMA ”, and

(d)in paragraph (c), for “Commission” substitute “ CMA ”.

(4)In subsection (3)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “that Commission” substitute “ the CMA ”.

(5)In subsection (4), for “Competition Commission” substitute “ CMA ”.

(6)In subsection (6)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “that Commission” substitute “ the CMA ”.

(7)In subsections (7) and (8), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(8)In the heading, for “Competition Commission” substitute “ CMA ”.

Commencement Information

I569Sch. 6 para. 98 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

99U.K.Section 194 (composition of Competition Commission for price control references) is omitted.

Commencement Information

I570Sch. 6 para. 99 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

100U.K.In section 197 (interpretation of Chapter 3), before the definition of “network access” insert—

“ “the CMA” means the Competition and Markets Authority;”.                     

Commencement Information

I571Sch. 6 para. 100 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Energy Act 2004 (c. 20)E+W+S

101E+W+SThe Energy Act 2004 is amended as follows.

Commencement Information

I572Sch. 6 para. 101 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

102(1)Section 173 (appeals) is amended as follows.E+W+S

(2)In subsection (1)—

(a)omit “shall lie to the Competition Commission”, and

(b)after “applies” insert “ shall lie to the Competition and Markets Authority (in this Chapter referred to as “the CMA”) ”.

(3)In subsections (4) and (5), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In the heading, for “Competition Commission” substitute “ CMA ”.

Commencement Information

I573Sch. 6 para. 102 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

103(1)Section 174 (procedure on appeals) is amended as follows.E+W+S

(2)Omit subsection (1).

(3)In subsection (2), omit “Instead,”.

(4)After subsection (2) insert—

“(2A)Except where specified otherwise in Schedule 22, the functions of the CMA with respect to appeals under section 173 are to                           be carried out on behalf of the CMA by a group constituted for the purpose by the chair of the CMA under Schedule 4 to the                           Enterprise and Regulatory Reform Act 2013.”                  

Commencement Information

I574Sch. 6 para. 103 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

104(1)Section 175 (determination of appeals) is amended as follows.E+W+S

(2)In subsections (2) to (6), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (9)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” (in each place where it occurs) substitute “ the CMA ”.

(4)In subsection (10), for “Competition Commission” substitute “ CMA ”.

Commencement Information

I575Sch. 6 para. 104 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

105E+W+SSection 176 is omitted.

Commencement Information

I576Sch. 6 para. 105 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

106E+W+SSection 177 is omitted.

Commencement Information

I577Sch. 6 para. 106 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

107(1)Schedule 22 (procedure for appeals under section 173) is amended as follows.E+W+S

(2)In paragraph 1—

(a)in sub-paragraph (1), for “Commission” substitute “ CMA ”,

(b)in sub-paragraph (8), for “Commission's” substitute “CMA's”,

(c)in sub-paragraph (9)—

(i)for “Commission's” substitute “CMA's”, and

(ii)for “Commission” substitute “ CMA ”, and

(d)in sub-paragraph (12), for “the Commission must” substitute “ an authorised member of the CMA must ”.

(3)In paragraph 2, in sub-paragraphs (1), (2), (5) and (6), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In paragraph 3, in sub-paragraphs (1) and (5), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(5)In paragraph 4, in sub-paragraph (1), for “Commission” substitute “ CMA ”.

(6)In paragraph 5—

(a)omit sub-paragraph (1),

(b)in sub-paragraph (2)—

(i)after “group”, insert “ constituted by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 for the purpose of                           carrying out functions of the CMA with respect to an appeal under section 173 ”, and

(ii)for “Commission” substitute “ CMA panel ”,

(c)omit sub-paragraphs (3) to (7), and

(d)in sub-paragraph (8), for “a group” substitute “ the group ”.

(7)In paragraph 6—

(a)in sub-paragraph (1), for the words from the beginning to “that appeal” substitute “ The CMA must determine an appeal ”,

(b)in sub-paragraph (2)—

(i)for “group with the function of determining an appeal” substitute “ CMA ”, and

(ii)after “requirements” insert “ in respect of an appeal ”, and

(c)in sub-paragraph (3), for “Commission” substitute “ CMA ”.

(8)In paragraph 7—

(a)for “The group with the function of determining an appeal” substitute “ The CMA ”, and

(b)for “determination of the appeal” substitute “ determination of an appeal ”.

(9)In paragraph 8—

(a)in sub-paragraph (1), for “Commission” (in each place where it occurs) substitute “ CMA ”,

(b)in sub-paragraph (4)—

(i)for “The Commission may take copies” substitute “ An authorised member of the CMA may, for the purpose of the exercise of the functions of the CMA, make arrangements for                           copies to be taken ”, and

(ii)omit “to it”, and

(c)in sub-paragraph (5), for the words from “Commission's” to the end, substitute “ CMA's behalf by an authorised member of the CMA ”.

(10)In paragraph 9—

(a)in sub-paragraph (2), for “Commission” substitute “ CMA ”,

(b)in sub-paragraph (5)(a), for “the Commission is not required” substitute “ there is no requirement ”,

(c)in sub-paragraph (7), for “the Commission must pay him” substitute “ an authorised member of the CMA must arrange for that person to be paid ”, and

(d)in sub-paragraph (8), for the words from “Commission's” to the end, substitute “ CMA's behalf by an authorised member of the CMA ”.

(11)In paragraph 10—

(a)in sub-paragraph (1), for “Commission” substitute “ CMA ”, and

(b)in sub-paragraph (4), for the words from “Commission's” to the end, substitute “ CMA's behalf by an authorised member of the CMA ”

(12)In paragraph 11, in sub-paragraph (1), for “a member of the Commission” substitute “ an authorised member of the CMA ”.

(13)In paragraph 12, in sub-paragraphs (1), (3) and (4), for “Commission” (in each place where it occurs) substitute “ CMA Board ”.

(14)In paragraph 13, in sub-paragraph (1), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(15)In paragraph 15, in sub-paragraph (1)—

(a)for the definition of “authorised member of the Commission” substitute—

““authorised member of the CMA”—                  

(a)in relation to a power exercisable in connection with an appeal in respect of which a group has been constituted by the chair                           of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013, means a member of that group who has been authorised                           by the chair of the CMA to exercise that power;                  

(b)in relation to a power exercisable in connection with an application for permission to bring an appeal, or otherwise in connection                           with an appeal in respect of which a group has not been so constituted by the chair of the CMA, means—                  

(i)any member of the CMA Board who is also a member of the CMA panel, or                  

(ii)any member of the CMA panel authorised by the Secretary of State (whether generally or specifically) to exercise the power                           in question.”,                  

(b)omit the definition of “the Chairman”,

(c)for the definition of “the Commission” substitute—

““the CMA” means the Competition and Markets Authority;”                  

“CMA Board” and “CMA panel” have the same meaning as in Schedule 4 to the Enterprise and Regulatory Reform Act 2013;”, and                  

(d)omit the definition of “a group”.

Commencement Information

I578Sch. 6 para. 107 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Legal Services Act 2007 (c. 29)E+W

108E+WThe Legal Services Act 2007 is amended as follows.

Commencement Information

I579Sch. 6 para. 108 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

109(1)Section 57 (reports) is amended as follows.E+W

(2)In subsection (1), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (2), for “OFT's” substitute “CMA's”.

(4)In subsections (3) to (6), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I580Sch. 6 para. 109 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

110(1)Section 58 (Board's response to report) is amended as follows.E+W

(2)In subsection (1), for “OFT” substitute “ CMA ”.

(3)In subsections (2) and (3), for “OFT's” (in each place where it occurs) substitute “CMA's”.

(4)In subsection (4), for “OFT” substitute “ CMA ”.

(5)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I581Sch. 6 para. 110 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

111(1)Section 59 (referral of report by Lord Chancellor) is amended as follows.E+W

(2)In subsections (1) to (3), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (4), for the words from “must” to “its advice” substitute “ must make a reference to the chair of the CMA for the constitution of a group under Schedule 4 to the Enterprise and Regulatory                           Reform Act 2013, for the purpose of advising the Lord Chancellor ”.

(4)After subsection (4), insert—

“(5)Where a reference is made to the chair of the CMA under this section for the constitution of a group, the functions of the                           CMA under section 60, in relation to the matter concerned, are to be carried out on behalf of the CMA by the group so constituted                           (including functions under sections 109 to 115 of the Enterprise Act 2002, as applied by section 60(9)).”                  

(5)In the heading, omit “to the Competition Commission”.

Commencement Information

I582Sch. 6 para. 111 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

112(1)Section 60 (duties of the Competition Commission) is amended as follows.E+W

(2)In subsection (1), for the words from “seeks” to “the Commission” substitute “ makes a reference under section 59, the CMA ”.

(3)In subsection (2), for “The Commission must then make its own report” substitute “ The CMA must then make a report ”.

(4)In subsection (3), for “Commission” substitute “ CMA ”.

(5)In subsection (4)—

(a)for “Commission” substitute “ CMA ”, and

(b)for the words from “it receives” to the end substitute “ the reference in question is made to the chair of the CMA under section 59 ”.

(6)In subsection (5), for “Commission's” substitute “CMA's”.

(7)In subsection (6)—

(a)for “Commission's” substitute “CMA's, and

(b)for “Commission” (in each place where it occurs) substitute “ CMA ”.

(8)In subsection (7), for “Commission” substitute “ CMA ”.

(9)In subsection (8)—

(a)for “Commission's” substitute “CMA's, and

(b)for “Commission” substitute “ CMA ”.

(10)In subsection (9)—

(a)in the words before paragraph (a), for “to the Commission” substitute “ to the CMA ”, and

(b)in paragraph (b), for “Commission” substitute “ CMA ”.

(11)In subsection (10)—

(a)for “Commission” substitute “ CMA ”, and

(b)for “OFT's report” substitute “ report made by the CMA under section 57 ”.

(12)In the heading, for “Competition Commission” substitute “ CMA ”.

Commencement Information

I583Sch. 6 para. 112 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

113(1)Section 61 (Lord Chancellor's power to give directions) is amended as follows.E+W

(2)In subsection (1), for “OFT” substitute “ CMA ”.

(3)In subsection (2), for “Competition Commission” substitute “ CMA ”.

Commencement Information

I584Sch. 6 para. 113 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

114E+WIn section 66 (Board's power to recommend orders), in subsection (3)(b), for “OFT” substitute “ CMA ”.

Commencement Information

I585Sch. 6 para. 114 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

115E+WIn section 67 (effect of Board's designation as approved regulator), in subsection (3), for “OFT” substitute “ CMA ”.

Commencement Information

I586Sch. 6 para. 115 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

116E+WIn section 207 (interpretation), in subsection (1)—

(a)after the definition of “barrister” insert—

“the CMA” means the Competition and Markets Authority;”, and                  

(b)omit the definition of “the OFT”.

Commencement Information

I587Sch. 6 para. 116 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

117(1)Schedule 4 (approved regulators) is amended as follows.E+W

(2)In paragraph 5, in sub-paragraph (2)(a), for “OFT” substitute “ CMA ”.

(3)In the italic cross-heading preceding paragraph 6, for “Office of Fair Trading” substitute “ Competition and Markets Authority ”.

(4)In paragraph 6, in sub-paragraphs (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In paragraph 15, in sub-paragraph (5)(a), for “OFT” substitute “ CMA ”.

Commencement Information

I588Sch. 6 para. 117 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

118(1)Schedule 6 (alteration of reserved legal activities) is amended as follows.E+W

(2)In paragraph 3, in sub-paragraph (1)(b), for “OFT” substitute “ CMA ”.

(3)In paragraph 5, in sub-paragraphs (1) to (4), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(4)In paragraph 8, in sub-paragraph (3), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In paragraph 9, in sub-paragraph (2)(b), for “OFT” substitute “ CMA ”.

(6)In paragraph 11, in sub-paragraph (4)(a), for “OFT” substitute “ CMA ”.

(7)In paragraph 17, in sub-paragraph (4)(a), for “OFT” substitute “ CMA ”.

Commencement Information

I589Sch. 6 para. 118 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

119(1)Schedule 7 (directions: procedure) is amended as follows.E+W

(2)In paragraph 3, in sub-paragraph (2)(b), for “OFT” substitute “ CMA ”.

(3)In the italic cross-heading preceding paragraph 5, for “Office of Fair Trading” substitute “ Competition and Markets Authority ”.

(4)In paragraph 5, in sub-paragraphs (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I590Sch. 6 para. 119 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

120(1)Schedule 8 (intervention directions: procedure) is amended as follows.E+W

(2)In paragraph 3, in sub-paragraph (2)(b), for “OFT” substitute “ CMA ”.

(3)In the italic cross-heading preceding paragraph 5, for “Office of Fair Trading” substitute “ Competition and Markets Authority ”.

(4)In paragraph 5, in sub-paragraphs (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In paragraph 14, in sub-paragraph (3)(b), for “OFT” substitute “ CMA ”.

(6)In the italic cross-heading preceding paragraph 16, for “Office of Fair Trading” substitute “ Competition and Markets Authority ”.

(7)In paragraph 16, in sub-paragraphs (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I591Sch. 6 para. 120 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

121(1)Schedule 9 (cancellation of designation as approved regulator) is amended as follows.E+W

(2)In paragraph 3, in sub-paragraph (2)(a), for “OFT” substitute “ CMA ”.

(3)In the italic cross-heading preceding paragraph 4, for “Office of Fair Trading” substitute “ Competition and Markets Authority ”.

(4)In paragraph 4, in sub-paragraphs (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I592Sch. 6 para. 121 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

122(1)Schedule 10 (designation of approved regulators as licensing authorities) is amended as follows.E+W

(2)In paragraph 3, in sub-paragraph (2)(a), for “OFT” substitute “ CMA ”.

(3)In the italic cross-heading preceding paragraph 4, for “Office of Fair Trading” substitute “ Competition and Markets Authority ”.

(4)In paragraph 4, in sub-paragraphs (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(5)In paragraph 13, in sub-paragraph (5)(a), for “OFT” substitute “ CMA ”.

(6)In paragraph 19, in sub-paragraph (2)(a), for “OFT” substitute “ CMA ”.

(7)In the italic cross-heading preceding paragraph 20, for “Office of Fair Trading” substitute “ Competition and Markets Authority ”.

(8)In paragraph 20, in sub-paragraphs (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I593Sch. 6 para. 122 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

123E+WIn Schedule 24 (index of defined expressions)—

(a)at the appropriate place insert—

(b)omit the reference to the OFT.

Commencement Information

I594Sch. 6 para. 123 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Postal Services Act 2011 (c. 5)U.K.

124U.K.The Postal Services Act 2011 is amended as follows.

Commencement Information

I595Sch. 6 para. 124 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

125(1)Section 59 (price control decisions) is amended as follows.U.K.

(2)In subsection (3), for “Competition Commission (“the Commission”)” substitute “ Competition and Markets Authority (“the CMA”) ”.

(3)In subsections (5) to (12), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)After subsection (12) insert—

“(12A)The CMA's functions with respect to an appeal under this section are to be carried out on its behalf by a group constituted                           for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013”.                  

Commencement Information

I596Sch. 6 para. 125 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

126U.K.In section 60 (section 59: supplementary), in subsections (1) and (4) to (6), for “Commission” (in each place where it occurs)                        substitute “ CMA ”.

Commencement Information

I597Sch. 6 para. 126 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Health and Social Care Act 2012 (c. 7)E+W

127E+WThe Health and Social Care Act 2012 is amended as follows.

Commencement Information

I598Sch. 6 para. 127 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

128(1)Section 101 (licence condition modification references) is amended as follows.E+W

(2)In subsection (2)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(3)In subsection (4)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(4)After subsection (4) insert—

“(4A)The functions of the CMA with respect to a reference under this section are to be carried out on behalf of the CMA by a group                           constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including                           functions relating to the making of changes following a report on a reference, and functions under sections 109 to 115 of                           the Enterprise Act 2002, as applied by paragraph 10 of Schedule 10).”                  

(5)In subsections (5) and (6), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(6)In the heading, for “Competition Commission” substitute “ CMA ”.

Commencement Information

I599Sch. 6 para. 128 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

129E+WIn section 102 (modification of conditions by order under other enactments), in subsection (1), for “Office of Fair Trading,                        Competition Commission” substitute “ CMA ”.

Commencement Information

I600Sch. 6 para. 129 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

130E+WIn section 103 (standard condition as to transparency of certain criteria), in subsection (3)—

(a)in paragraph (b), for “Competition Commission” substitute “ CMA ”, and

(b)in paragraph (c), for “Office of Fair Trading, Competition Commission” substitute “ CMA ”.

Commencement Information

I601Sch. 6 para. 130 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

131(1)Section 120 (responses to consultation on proposals for national tariff) is amended as follows.E+W

(2)In subsections (1) and (4), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsection (5), omit the words from the beginning to “instead,”.

(4)After subsection (5), insert—

“(5A)Except where specified otherwise in Schedule 12, the functions of the CMA with respect to a reference under this section (including                           functions relating to the making of changes following a determination on a reference) are to be carried out on behalf of the                           CMA by a group constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform                           Act 2013.”                  

Commencement Information

I602Sch. 6 para. 131 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

132(1)Section 121 (determination on reference under section 120) is amended as follows.E+W

(2)In subsections (1) to (3), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In subsections (4) to (6) and (8) to (10), for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I603Sch. 6 para. 132 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

133E+WIn section 122 (changes following determination on reference under section 120), in subsections (1) and (2), for “Competition                        Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I604Sch. 6 para. 133 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

134(1)Section 123 (power to veto changes proposed under section 122) is amended as follows.E+W

(2)In subsection (1), for “Competition Commission” substitute “ CMA ”.

(3)In subsection (3), for “Commission” substitute “ CMA ”.

(4)In subsection (4), for “Competition Commission” substitute “ CMA ”.

(5)In subsections (5) to (7), for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I605Sch. 6 para. 134 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

135(1)Section 142 (responses to consultation on proposal to impose a levy) is amended as follows.E+W

(2)In subsections (1) and (4), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(3)After subsection (4) insert—

“(4A)The functions of the CMA with respect to a reference under this section are to be carried out on behalf of the CMA by a group                           constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including                           functions relating to the making of changes following a report on a reference, and functions under sections 109 to 115 of                           the Enterprise Act 2002, as applied by paragraph 10 of Schedule 10).”                  

(4)In subsections (5) and (7), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I606Sch. 6 para. 135 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

136(1)Section 149 (electronic communications) is amended as follows.E+W

(2)In subsection (2)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(3)In subsections (3) and (4), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I607Sch. 6 para. 136 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

137E+WIn section 150 (interpretation etc. of Part 3), in subsection (1), after the definition of “anti-competitive behaviour” insert—

““the CMA” means the Competition and Markets Authority;”.                  

Commencement Information

I608Sch. 6 para. 137 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

138(1)Schedule 10 (references by Monitor under section 101 or 142) is amended as follows.E+W

(2)In the heading, for “Competition Commission” substitute “ CMA ”.

(3)In paragraph 1—

(a)in sub-paragraph (1), for “Competition Commission” substitute “ CMA ”, and

(b)in sub-paragraph (2), for “the Commission” substitute “ the CMA ”.

(4)In paragraph 2, for “Competition Commission” substitute “ CMA ”.

(5)In paragraph 4—

(a)in sub-paragraph (1)—

(i)for “Competition Commission” substitute “ CMA ”, and

(ii)for “the Commission” (in each place where it occurs) substitute “ the CMA ”, and

(b)in sub-paragraph (2), for “Commission” substitute “ CMA ”.

(6)In paragraph 5—

(a)in sub-paragraph (1), for “Competition Commission” substitute “ CMA ”,

(b)in sub-paragraph (3), for “Commission” substitute “ CMA ”, and

(c)in sub-paragraph (4), for “Competition Commission” substitute “ CMA ”.

(7)In paragraph 6—

(a)in sub-paragraph (1), for “Competition Commission” substitute “ CMA ”,

(b)in sub-paragraph (2)—

(i)for “Commission” substitute “ CMA ”, and

(ii)for the words from “in connection with” to the end substitute “ by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference ”, and

(c)in sub-paragraph (4), for “Commission” substitute “ CMA ”.

(8)In paragraph 7, in sub-paragraphs (1) and (8), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(9)In the italic cross-heading preceding paragraph 8, for “Competition Commission's” substitute “CMA's”.

(10)In paragraph 8—

(a)in sub-paragraph (1), for “Competition Commission” substitute “ CMA ”, and

(b)in sub-paragraphs (3) to (5), (7), (8) and (10) to (12), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(11)In paragraph 9—

(a)in sub-paragraph (1), for “Competition Commission” substitute “ CMA ”, and

(b)in sub-paragraphs (2) and (3), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(12)In paragraph 10, in sub-paragraph (2), for “Competition Commission” substitute “ CMA ”.

Commencement Information

I609Sch. 6 para. 138 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

139(1)Schedule 12 (procedure on references under section 120) is amended as follows.E+W

(2)In paragraph 2, in sub-paragraph (1), for “Competition Commission” substitute “ CMA ”.

(3)In the italic cross-heading preceding paragraph 3, for “Commission” substitute “ CMA ”.

(4)In paragraph 3—

(a)omit sub-paragraph (1),

(b)in sub-paragraph (2)—

(i)for “selected under this paragraph” substitute “ constituted by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 for the purpose of                           carrying out functions of the CMA with respect to a reference under section 120 ”, and

(ii)for “Commission” substitute “ CMA panel ”,

(c)omit sub-paragraphs (3) to (6), and

(d)in sub-paragraph (7), for “a group” substitute “ the group ”.

(5)In paragraph 4—

(a)in sub-paragraph (1), for the words from the beginning to “the determination” substitute “ The CMA must make its determination on a reference ”,

(b)in sub-paragraph (2), for “that group” substitute “ the CMA ”, and

(c)in sub-paragraph (3), for “Competition Commission” substitute “ CMA ”.

(6)In paragraph 5, in sub-paragraph (1)—

(a)for “group with the function of determining a reference” substitute “ CMA ”, and

(b)for “of the appeal” substitute “ on a reference ”.

(7)In paragraph 6, in sub-paragraphs (1) and (3), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(8)In paragraph 7—

(a)in sub-paragraph (1), for “a group with the function of making a determination on a reference under section 120” substitute                        “ the CMA ”,

(b)in sub-paragraph (2), for “A group with that function” substitute “ The CMA ”,

(c)in sub-paragraph (3), for “Competition Commission” substitute “ CMA ”,

(d)in sub-paragraph (4)—

(i)for “Competition Commission” substitute “ CMA ”, and

(ii)in paragraph (b), after “evidence” insert “ to it ” and omit “to a group with that function”,

(e)in sub-paragraph (5), for “group conducting the hearing” substitute “ CMA ”,

(f)in sub-paragraph (8)—

(i)in paragraph (a), for “Competition Commission” substitute “ CMA ”, and

(ii)in paragraph (b), for “group conducting the hearing” substitute “ CMA ”, and

(g)in sub-paragraph (9), for “Competition Commission” substitute “ CMA ”.

(9)In paragraph 8, in sub-paragraph (1)—

(a)for “Commission” substitute “ CMA ”, and

(b)for “a group with the function of making a determination on a reference under section 120” substitute “ the CMA ”.

(10)In paragraph 9, in sub-paragraph (2), for “Commission” substitute “ group constituted for the purpose of carrying out functions of the CMA with respect to the reference to which the notice                           or requirement relates ”.

(11)In paragraph 10, in sub-paragraph (2) for the words from “Competition Commission's” to the end substitute “ CMA's behalf by a member of the group constituted for the purpose of carrying out functions of the CMA with respect to the                           reference to which the notice relates ”.

(12)In paragraph 11—

(a)in sub-paragraph (1), for “Competition Commission” substitute “ CMA Board ”, and

(b)in sub-paragraphs (4) and (5), for “Commission” substitute “ CMA Board ”.

(13)In paragraph 12—

(a)for sub-paragraph (1) substitute—

“(1)Where the CMA makes a determination on a reference under section 120 it must make an order requiring the payment to it of                           the costs it incurred in connection with the reference.”, and                  

(b)in sub-paragraph (5)—

(i)for “The group that makes a determination on a reference under section 120” substitute “ The CMA ”, and

(ii)for “the determination” substitute “ a determination on a reference under section 120 ”.

Commencement Information

I610Sch. 6 para. 139 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Civil Aviation Act 2012 (c. 19)U.K.

140U.K.The Civil Aviation Act 2012 is amended as follows.

Commencement Information

I611Sch. 6 para. 140 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

141(1)Section 24 (appeals: conditions of new licences) is amended as follows.U.K.

(2)In subsections (1), (3) and (5), for “Competition Commission” (in each place where it occurs) substitute “ Competition and Markets Authority ”.

(3)In the heading, for “Competition Commission” substitute “ Competition and Markets Authority ”.

Commencement Information

I612Sch. 6 para. 141 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

142(1)Section 25 (appeals: modification of licence conditions) is amended as follows.U.K.

(2)In subsections (1), (3), (5) and (7), for “Competition Commission” (in each place where it occurs) substitute “ Competition and Markets Authority ”.

(3)In the heading, for “Competition Commission” substitute “ Competition and Markets Authority ”.

Commencement Information

I613Sch. 6 para. 142 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

143U.K.In section 26 (when appeals may be allowed), for “Competition Commission” substitute “ Competition and Markets Authority ”.

Commencement Information

I614Sch. 6 para. 143 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

144(1)Section 27 (determination of appeal) is amended as follows.U.K.

(2)In subsection (1) for “Competition Commission” substitute “ Competition and Markets Authority ”.

(3)In subsection (2)—

(a)for “Competition Commission” substitute “ Competition and Markets Authority ”, and

(b)for “the Commission” substitute “ the Competition and Markets Authority ”.

(4)In subsection (4)—

(a)for “Competition Commission” substitute “ Competition and Markets Authority ”, and

(b)for “the Commission” substitute “ the Competition and Markets Authority ”.

(5)In subsection (5), for “Competition Commission” substitute “ Competition and Markets Authority ”.

Commencement Information

I615Sch. 6 para. 144 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

145(1)Section 28 (determination of appeal: time limits) is amended as follows.U.K.

(2)In subsections (1), (3) and (4), for “Competition Commission” (in each place where it occurs) substitute “ Competition and Markets Authority ”.

(3)In subsection (5)—

(a)for “Competition Commission” substitute “ Competition and Markets Authority ”, and

(b)for “the Commission” substitute “ the Competition and Markets Authority ”.

(4)In subsections (6) to (8), for “Competition Commission” (in each place where it occurs) substitute “ Competition and Markets Authority ”.

Commencement Information

I616Sch. 6 para. 145 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

146(1)Section 29 (determination of appeal: publication etc) is amended as follows.U.K.

(2)In subsection (1)—

(a)for “Competition Commission” substitute “ Competition and Markets Authority ”, and

(b)for “the Commission” substitute “ the Competition and Markets Authority ”.

(3)In subsections (3) and (4), for “Competition Commission” (in each place where it occurs) substitute “ Competition and Markets Authority ”.

(4)In subsection (5)—

(a)for “Competition Commission” substitute “ Competition and Markets Authority ” and

(b)for “Commission's opinion” (in each place where those words occur) substitute “ opinion of the Competition and Markets Authority ”.

Commencement Information

I617Sch. 6 para. 146 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

147(1)Section 30 (procedure on appeals) is amended as follows.U.K.

(2)In subsection (2), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(3)For subsection (4) substitute—

“(4)Except where specified otherwise in Schedule 2, the functions of the Competition and Markets Authority with respect to an                           appeal under section 24 or 25 are to be carried out on behalf of the Competition and Markets Authority by a group constituted                           for the purpose, by the chair of the Competition and Markets Authority, under Schedule 4 to the Enterprise and Regulatory                           Reform Act 2013.”                  

Commencement Information

I618Sch. 6 para. 147 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

148(1)Schedule 2 (appeals under sections 24 and 25) is amended as follows.U.K.

(2)In paragraph 2—

(a)in sub-paragraph (1)—

(i)for “Competition Commission's decision” substitute “ decision of the Competition and Markets Authority ”, and

(ii)for “the Commission” substitute “ the Competition and Markets Authority ”,

(b)in sub-paragraphs (5) and (6), for “Competition Commission” (in each place where it occurs) substitute “ Competition and Markets Authority ”,

(c)in sub-paragraph (7), for “The Competition Commission” substitute “ An authorised member of the Competition and Markets Authority ”, and

(d)in sub-paragraph (8), in paragraph (d), for “Commission” substitute “ authorised member ”.

(3)In paragraph 3, in sub-paragraph (1), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(4)In paragraph 4—

(a)in sub-paragraph (1), for “Competition Commission” substitute “ Competition and Markets Authority ”,

(b)in sub-paragraph (2), for “on which the Competition Commission publishes its” substitute “of publication of the Competition                        and Markets Authority's”, and

(c)in sub-paragraph (3), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(5)In paragraph 5—

(a)in sub-paragraph (1)—

(i)for “Competition Commission's decision” substitute “ decision of the Competition and Markets Authority ”, and

(ii)for “the Commission” substitute “ the Competition and Markets Authority ”,

(b)in sub-paragraph (2), for “Competition Commission” substitute “ Competition and Markets Authority ”,

(c)in sub-paragraph (4), for “The Competition Commission must” substitute “ An authorised member of the Competition and Markets Authority must ”, and

(d)in sub-paragraph (5), in paragraph (d), for “Commission” substitute “ authorised member ”.

(6)In paragraph 6, in sub-paragraph (3), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(7)In paragraph 7, in sub-paragraph (3), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(8)In paragraph 8, in sub-paragraph (3), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(9)In paragraph 9, in sub-paragraph (1), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(10)In paragraph 10, in sub-paragraph (3), for “Competition Commission's decision” substitute “ decision of the Competition and Markets Authority ”.

(11)In paragraph 11—

(a)in sub-paragraph (1)—

(i)for “Competition Commission's functions” substitute “ functions of the Competition and Markets Authority ”, and

(ii)for “the Commission” substitute “ the Competition and Markets Authority ”,

(b)in sub-paragraph (2), for “Competition Commission” substitute “ Competition and Markets Authority ”, and

(c)in sub-paragraph (4)—

(i)for “The Competition Commission” substitute “ An authorised member of the Competition and Markets Authority ”, and

(ii)for first “it” substitute “ he or she ”.

(12)In paragraph 12, in sub-paragraph (1), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(13)In paragraph 13, in sub-paragraph (3), for “Competition Commission's decision” substitute “ decision of the Competition and Markets Authority ”.

(14)In paragraph 14—

(a)in sub-paragraph (1)—

(i)for “Competition Commission's functions” substitute “ functions of the Competition and Markets Authority ”, and

(ii)for “the Commission” substitute “ the Competition and Markets Authority ”,

(b)in sub-paragraph (2), for “Competition Commission” substitute “ Competition and Markets Authority ”, and

(c)in sub-paragraph (4)—

(i)for “The Competition Commission” substitute “ An authorised member of the Competition and Markets Authority ”, and

(ii)for first “it” substitute “ he or she ”.

(15)In paragraph 15—

(a)in sub-paragraph (1), for “The Competition Commission must” substitute “ An authorised member of the Competition and Markets Authority must ”,

(b)in sub-paragraph (2), for “the Competition Commission must comply with sub-paragraph (1)” substitute “ the requirements of sub-paragraph (1) must be complied with ”,

(c)in sub-paragraph (3), for “The Competition Commission must” substitute “ An authorised member of the Competition and Markets Authority must ”, and

(d)in sub-paragraph (4), in paragraph (d), for “Commission” substitute “ authorised member ”.

(16)In paragraph 16—

(a)in sub-paragraph (1), for “Competition Commission” substitute “ Competition and Markets Authority ”, and

(b)in sub-paragraph (4), in paragraph (a), for “the Competition Commission” substitute “ an authorised member of the Competition and Markets Authority ”.

(17)In paragraph 17—

(a)omit sub-paragraph (1),

(b)in sub-paragraph (2)—

(i)for “The group” substitute “ A group constituted by the chair of the Competition and Markets Authority, under Schedule 4 to the Enterprise and Regulatory                           Reform Act 2013, for the purpose of carrying out functions of the Competition and Markets Authority with respect to an appeal                           under section 24 or 25 ”, and

(ii)for “Competition Commission” substitute “ CMA panel ”, and

(c)omit sub-paragraphs (3) and (4).

(18)Omit paragraph 18.

(19)In paragraph 19, in sub-paragraph (1), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(20)In paragraph 20—

(a)in sub-paragraph (1)—

(i)for “A group with the function of determining an appeal” substitute “ The Competition and Markets Authority ”,

(ii)for “the appeal” substitute “ an appeal ”, and

(iii)for “Competition Commission” substitute “ Competition and Markets Authority ”,

(b)in sub-paragraph (3)—

(i)for “A group with the function of determining an appeal” substitute “ The Competition and Markets Authority ”, and

(ii)for “the appeal” substitute “ an appeal ”, and

(c)in sub-paragraph (4)—

(i)for “A group with the function of determining an appeal” substitute “ The Competition and Markets Authority ”, and

(ii)for “the appeal” substitute “ an appeal ”.

(21)In paragraph 21, in sub-paragraph (1), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(22)In paragraph 22—

(a)in sub-paragraphs (1) and (2), for “Competition Commission” (in each place where it occurs) substitute “ Competition and Markets Authority ”,

(b)in sub-paragraph (3), for “Competition Commission's decision” substitute “ decision of the Competition and Markets Authority ”,

(c)in sub-paragraph (4)—

(i)for “Competition Commission's decision” substitute “ decision of the Competition and Markets Authority ”, and

(ii)for “the Commission” substitute “ the Competition and Markets Authority ”,

(d)in sub-paragraphs (5) and (6), for “Competition Commission” (in each place where it occurs) substitute “ Competition and Markets Authority ”,

(e)in sub-paragraph (7)—

(i)for “Competition Commission's decision” substitute “ decision of the Competition and Markets Authority ”, and

(ii)for “Commission” (in each place where it occurs) substitute “ Competition and Markets Authority ”, and

(f)in sub-paragraph (9)—

(i)for “Competition Commission's decision” substitute “ decision of the Competition and Markets Authority ”, and

(ii)for “Commission” (in each place where it occurs) substitute “ Competition and Markets Authority ”.

(23)In paragraph 23, in sub-paragraph (1), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(24)In paragraph 24—

(a)in sub-paragraph (1)—

(i)for “Competition Commission” substitute “ Competition and Markets Authority ”, and

(ii)for “the Commission” substitute “ the Competition and Markets Authority ”, and

(b)in sub-paragraph (4), for the words from “on the” to the end substitute “ on behalf of the Competition and Markets Authority by an authorised member of the Competition and Markets Authority ”.

(25)In paragraph 25—

(a)in sub-paragraph (1), for “Competition Commission” (in each place where it occurs) substitute “ Competition and Markets Authority ”,

(b)in sub-paragraph (3), for “The Competition Commission” substitute “ An authorised member of the Competition and Markets Authority ”,

(c)in sub-paragraph (7), in paragraph (a), for “the Competition Commission is not required” substitute “ there is no requirement ”,

(d)in sub-paragraph (9), for “the Competition Commission must pay the person” substitute “ an authorised member of the Competition and Markets Authority must arrange for the person to be paid ”, and

(e)in sub-paragraph (10), for the words from “on the” to the end substitute “ on behalf of the Competition and Markets Authority by an authorised member of the Competition and Markets Authority ”.

(26)In paragraph 26—

(a)in sub-paragraph (1), for “Competition Commission” (in each place where it occurs) substitute “ Competition and Markets Authority ”, and

(b)in sub-paragraph (5), for the words from “on the” to the end substitute “ on behalf of the Competition and Markets Authority by an authorised member of the Competition and Markets Authority ”.

(27)In paragraph 27, for “Competition Commission” substitute “ Competition and Markets Authority ”.

(28)In paragraph 28, in sub-paragraph (2), for “A member of the Competition Commission” substitute “ An authorised member of the Competition and Markets Authority ”.

(29)In paragraph 30—

(a)in sub-paragraphs (1) to (4), for “the Competition Commission” (in each place where it occurs) substitute “ the Competition and Markets Authority ”,

(b)after sub-paragraph (4), insert—

“(4A)For the purposes of sub-paragraphs (1) to (4), the consent of the Competition and Markets Authority is to be given by an authorised                           member of the Competition and Markets Authority.”, and                  

(c)in sub-paragraph (6), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(30)In paragraph 31, in sub-paragraphs (1), (5) and (6), for “Competition Commission” (in each place where it occurs) substitute                        “ CMA Board ”.

(31)In paragraph 32—

(a)in sub-paragraph (1)—

(i)for “Competition Commission” substitute “ Competition and Markets Authority ”, and

(ii)for “the Commission” substitute “ the Competition and Markets Authority ”,

(b)in sub-paragraph (2)—

(i)for “Competition Commission” substitute “ Competition and Markets Authority ”, and

(ii)for “the Commission” substitute “ the Competition and Markets Authority ”, and

(c)in sub-paragraphs (3) and (4), for “Competition Commission” (in each place where it occurs) substitute “ group ”.

(32)In paragraph 34—

(a)for “Competition Commission” substitute “ Competition and Markets Authority or a member of the Competition and Markets Authority ”, and

(b)“it must publish or send it” substitute “it must be published or sent”.

(33)In paragraph 35, in sub-paragraph (1)—

(a)for the definition of “authorised member of the Competition Commission” substitute—

““authorised member of the Competition and Markets Authority—                  

(a)in relation to a power exercisable in connection with an appeal or application or direction in respect of which a group has                           been constituted by the chair of the Competition and Markets Authority under Schedule 4 to the Enterprise and Regulatory Reform                           Act 2013, means a member of that group who has been authorised by the chair of the Competition and Markets Authority to exercise                           that power;                  

(b)in relation to a power exercisable in connection with an application for permission to bring an appeal, or otherwise in connection                           with an appeal or application or direction in respect of which a group has not been so constituted by the chair of the Competition                           and Markets Authority, means—                  

(i)any member of the CMA Board who is also a member of the CMA panel, or                  

(ii)any member of the CMA panel authorised by the Secretary of State (whether generally or specifically) to exercise the power                           in question;”,                  

(b)omit the definition of “Chairman”,

(c)omit the definition of “a group”, and

(d)before the definition of “intervener” insert—

““CMA Board” and “CMA panel” have the same meaning as in Schedule 4 to the Enterprise and Regulatory Reform Act 2013;”.                  

Commencement Information

I619Sch. 6 para. 148 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

### **PART 2**S+N.I.Amendments to other enactments

#### Electricity (Northern Ireland) Order 1992 (SI 1992/231 (N.I. 1))N.I.

149N.I.The Electricity (Northern Ireland) Order 1992 is amended as follows.

Commencement Information

I620Sch. 6 para. 149 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

150N.I.In article 2 (interpretation), in paragraph (2), before the definition of “the Department” insert—

“ “the CMA” means the Competition and Markets Authority;”.                     

Commencement Information

I621Sch. 6 para. 150 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

151(1)Article 15 (modification references) is amended as follows.N.I.

(2)In paragraph (1)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(3)In paragraph (2)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(4)In paragraph (3), for “Competition Commission” substitute “ CMA ”.

(5)In paragraph (5)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(6)In paragraph (6)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” (in each place where it occurs) substitute “ the CMA ”.

(7)In paragraph (7), for “Competition Commission” substitute “ CMA ”.

(8)After paragraph (7) insert—

“(7A)The functions of the CMA with respect to a reference under this Article are to be carried out on behalf of the CMA by a group                           constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including                           functions relating to the making of modifications following a report on a reference, and functions under sections 109 to 115                           of the Enterprise Act 2002, as applied by Articles 15B and 17A).”                  

(9)In paragraph (9), for the words from “members” to the end substitute “ persons to membership of the CMA for the purpose of being available for selection as members of a group constituted to carry                           out functions on behalf of the CMA with respect to a reference under this Article ”.

(10)In paragraph (9A), for “selecting” substitute “ constituting ”.

(11)In the heading, for “Monopolies Commission” substitute “ CMA ”.

Commencement Information

I622Sch. 6 para. 151 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

152N.I.In article 15A (references under article 15: time limits), in paragraphs (2) and (3), for “Competition Commission” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I623Sch. 6 para. 152 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

153(1)Article 16 (reports on modification references) is amended as follows.N.I.

(2)In paragraph (1), for “Competition Commission” substitute “ CMA ”.

(3)In paragraph (1A)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “in connection with” to the end substitute “ by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference ”.

(4)In paragraphs (1B), (3) to (3C) and (4), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I624Sch. 6 para. 153 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

154N.I.In article 17 (modification following report), in paragraphs (1) and (5), for “Competition Commission” (in each place where                        it occurs) substitute “ CMA ”.

Commencement Information

I625Sch. 6 para. 154 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

155(1)Article 17A (power to veto modifications following report) is amended as follows.N.I.

(2)In paragraph (1), for the words from the beginning to “Commission”)” substitute “ The CMA ”.

(3)In paragraphs (2) to (8), (10) to (12), (14) and (16), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In the heading, for “Competition Commission's” substitute “CMA's”.

Commencement Information

I626Sch. 6 para. 155 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

156N.I.In article 18 (modification by order under other statutory provisions), in paragraph (1), for “Office of Fair Trading, the                        Competition Commission” substitute “ CMA ”.

Commencement Information

I627Sch. 6 para. 156 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

157(1)Article 53 (annual and other reports) is amended as follows.N.I.

(2)In paragraph (1)(a)(ii), for “Competition Commission” substitute “CMA's”.

(3)Omit paragraph (6).

Commencement Information

I628Sch. 6 para. 157 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Gas (Northern Ireland) Order 1996 (SI 1996/275 (N.I.2))N.I.

158N.I.The Gas (Northern Ireland) Order 1996 is amended as follows.

Commencement Information

I629Sch. 6 para. 158 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

159N.I.In article 2 (interpretation), in paragraph (2), before the definition of “construction” insert—

““the CMA” means the Competition and Markets Authority;”.                  

Commencement Information

I630Sch. 6 para. 159 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

160(1)Article 15 (modification references) is amended as follows.N.I.

(2)In paragraph (1)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(3)In paragraph (2)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(4)In paragraph (3)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(5)In paragraph (4), for “Competition Commission” substitute “ CMA ”.

(6)In paragraph (6)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(7)In paragraph (7)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” (in each place where it occurs) substitute “ the CMA ”.

(8)In paragraph (8), for “Competition Commission” substitute “ CMA ”.

(9)After paragraph (8) insert—

“(8A)The functions of the CMA with respect to a reference under this Article are to be carried out on behalf of the CMA by a group                           constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including                           functions relating to the making of modifications following a report on a reference, and functions under sections 109 to 115                           of the Enterprise Act 2002, as applied by Articles 15B and 17A).”                  

(10)In the heading, for “Monopolies Commission” substitute “ Competition and Markets Authority ”.

Commencement Information

I631Sch. 6 para. 160 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

161N.I.In article 15A (references under article 15: time limits), in paragraphs (2) and (3), for “Competition Commission” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I632Sch. 6 para. 161 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

162(1)Article 16 (reports on modification references) is amended as follows.N.I.

(2)In paragraph (1), for “Competition Commission” substitute “ CMA ”.

(3)In paragraph (1A)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “in connection with” to the end substitute “ by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference ”.

(4)In paragraphs (1B), (3) to (3C) and (4), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I633Sch. 6 para. 162 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

163N.I.In article 17 (modification following report), in paragraphs (1) and (5A), for “Competition Commission” (in each place where                        it occurs) substitute “ CMA ”.

Commencement Information

I634Sch. 6 para. 163 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

164(1)Article 17A (power to veto modifications following report) is amended as follows.N.I.

(2)In paragraph (1), for the words from the beginning to “Commission”)” substitute “ The CMA ”.

(3)In paragraphs (2) to (10), (13) to (15), (17) and (19), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In the heading, for “Competition Commission's” substitute “CMA's”.

Commencement Information

I635Sch. 6 para. 164 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

165N.I.In article 18 (modification by order under other statutory provisions), in paragraph (1), for “Office of Fair Trading, the                        Competition Commission” substitute “ CMA ”.

Commencement Information

I636Sch. 6 para. 165 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

166(1)Article 32 (annual and other reports) is amended as follows.N.I.

(2)In paragraph (1)(a)(ii), for “Monopolies Commission's” substitute “CMA's”.

(3)Omit paragraph (6).

Commencement Information

I637Sch. 6 para. 166 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Energy (Northern Ireland) Order 2003 (SI 2003/419 (N.I. 6))N.I.

167N.I.The Energy (Northern Ireland) Order 2003 is amended as follows.

Commencement Information

I638Sch. 6 para. 167 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

168(1)Article 6 (annual and other reports of the Authority) is amended as follows.N.I.

(2)In paragraph (1)(b), for “Competition Commission” substitute “ Competition and Markets Authority ”.

(3)Omit paragraph (10).

Commencement Information

I639Sch. 6 para. 168 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

169N.I.In article 38 (modification of licences), in paragraphs (1) and (2), for “, the Office of Fair Trading or the Competition                        Commission” (in each place where those words occur) substitute “ or the Competition and Markets Authority ”.

Commencement Information

I640Sch. 6 para. 169 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

170(1)Schedule 2 (orders altering licensable activities) is amended as follows.N.I.

(2)In paragraph 1, after sub-paragraph (3), insert—

“(4)In this Schedule, “the CMA” means the Competition and Markets Authority.”                  

(3)In paragraph 2—

(a)in sub-paragraph (4), for “Competition Commission” substitute “ CMA ”, and

(b)in sub-paragraphs (5) and (6), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In the italic cross-heading preceding paragraph 3, for “Competition Commission” substitute “ CMA ”.

(5)In paragraph 3—

(a)in sub-paragraph (1)—

(i)for “Competition Commission” substitute “ CMA ”, and

(ii)for “the Commission” substitute “ the CMA ”,

(b)in sub-paragraphs (2), (3), (5) and (6), for “Commission” (in each place where it occurs) substitute “ CMA ”, and

(c)after sub-paragraph (6), insert—

“(7)The functions of the CMA with respect to a reference under this paragraph (including functions under sections 109 to 115 of                           the Enterprise Act 2002, as applied by paragraph 5) are to be carried out on behalf of the CMA by a group constituted for                           the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013.”                  

(6)In paragraph 4—

(a)in sub-paragraph (2), for “Competition Commission” substitute “ CMA ”, and

(b)in sub-paragraph (3), for “Commission” substitute “ CMA ”.

(7)In paragraph 5, in sub-paragraph (4)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “the words” to the end, substitute “ for the words “, OFCOM or the Secretary of State” there were substituted “or OFCOM” ”.

(8)In paragraph 6—

(a)in sub-paragraph (1), for “Competition Commission” substitute “ CMA ”,

(b)in sub-paragraphs (2) and (3), for “Commission” (in each place where it occurs) substitute “ CMA ”,

(c)in sub-paragraph (4)—

(i)for “Commission” substitute “ CMA ”, and

(ii)for the words from “in connection with” to the end substitute “ by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference ”, and

(d)in sub-paragraphs (5) to (9) and (11), for “Commission” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I641Sch. 6 para. 170 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Water Services etc (Scotland) Act 2005 (Consequential Provisions and Modifications) Order 2005 (SI 2005/3172)S

171SThe Water Services etc (Scotland) Act 2005 (Consequential Provisions and Modifications) Order 2005 is amended as follows.

Commencement Information

I642Sch. 6 para. 171 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

172SIn article 2 (interpretation), in paragraph (1), for the definition of “the Commission” substitute—

““the CMA” means the Competition and Markets Authority;”.                  

Commencement Information

I643Sch. 6 para. 172 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

173(1)Article 3 (references) is amended as follows.S

(2)In paragraphs (1), (5) to (9), and (11) and (12), for “Commission” substitute “ CMA ”.

(3)After paragraph (12) insert—

“(13)The functions of the CMA with respect to a reference under this article are to be carried out on behalf of the CMA by a group                           constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including                           functions relating to the making of modifications following a report on a reference, and functions under sections 109 to 115                           of the Enterprise Act 2002, as applied by articles 5 and 10).”                  

(4)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I644Sch. 6 para. 173 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

174SIn article 4 (references: time limits), in paragraphs (2) and (3), for “Commission” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I645Sch. 6 para. 174 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

175SIn article 5 (references: powers of investigation), in paragraph (4)(a), for paragraph (i) substitute—

“(i)the words “, OFCOM or the Secretary of State” were omitted;”.                  

Commencement Information

I646Sch. 6 para. 175 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

176(1)Article 6 (consultation on proposals) is amended as follows.S

(2)In paragraphs (1) to (3), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “Commission” substitute “ CMA ”.

Commencement Information

I647Sch. 6 para. 176 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

177(1)Article 7 (reports on references) is amended as follows.S

(2)In paragraphs (1) to (5), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In paragraph (6)—

(a)for “Commission” substitute “ CMA ”, and

(b)for the words from “constituted,” to the end substitute “ constituted by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference                           ”.

(4)In paragraphs (7) and (8), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(5)In paragraph (10), for “Commission's” substitute “CMA's”.

(6)In paragraph (12), for “Commission” substitute “ CMA ”.

Commencement Information

I648Sch. 6 para. 177 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

178(1)Article 8 (modifications following report) is amended as follows.S

(2)In paragraph (1), for “Commission” substitute “ CMA ”.

(3)In paragraph (2)—

(a)for “Commission” substitute “ CMA ”, and

(b)for “Commission's” substitute “CMA's”.

(4)In paragraph (3), for “Commission's” substitute “CMA's”.

(5)In paragraph (6), for “Commission” substitute “ CMA ”.

Commencement Information

I649Sch. 6 para. 178 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

179(1)Article 9 (power of veto following report) is amended as follows.S

(2)In paragraphs (1) to (3), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In paragraph (4)—

(a)for “Commission” (in each place where it occurs) substitute “ CMA ”, and

(b)for “Commission's” (in each place where it occurs) substitute “CMA's”.

(4)In paragraphs (5) to (8), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(5)In the heading, for “Commission's” substitute “CMA's”.

Commencement Information

I650Sch. 6 para. 179 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

180(1)Article 10 (article 9: supplementary) is amended as follows.S

(2)In paragraphs (2), (3) and (5), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(3)In paragraph (6)(a), for paragraph (i) substitute—

“(i)the words “, OFCOM or the Secretary of State” were omitted;”.                  

Commencement Information

I651Sch. 6 para. 180 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Water and Sewerage Services (Northern Ireland) Order 2006 (SI 2006/3336 N.I. 21))N.I.

181N.I.The Water and Sewerage Services (Northern Ireland) Order 2006 is amended as follows.

Commencement Information

I652Sch. 6 para. 181 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

182N.I.In article 2 (interpretation), in paragraph (2)—

(a)after the definition of “the Authority”, insert—

“ “the CMA” means the Competition and Markets Authority;”, and                     

(b)omit the definition of “the OFT”.

Commencement Information

I653Sch. 6 para. 182 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

183(1)Article 19 (determinations under conditions of appointment) is amended as follows.N.I.

(2)In paragraph (2)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(3)In paragraph (3)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “that Commission” (in each place where it occurs) substitute “ the CMA ”.

(4)In paragraph (4)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” (in each place where it occurs) substitute “ the CMA ”.

(5)In paragraph (5), for “Competition Commission” substitute “ CMA ”.

(6)In paragraph (6)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(7)After paragraph (6) insert—

“(7)The functions of the CMA with respect to a reference under this Article are to be carried out on behalf of the CMA by a group                           constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including                           functions relating to the making of modifications following a report on a reference, and functions under sections 109 to 115                           of the Enterprise Act, as applied by paragraph (5) read with Article 27).”                  

Commencement Information

I654Sch. 6 para. 183 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

184(1)Article 21 (modification references) is amended as follows.N.I.

(2)In paragraph (1)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(3)In paragraph (2)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” substitute “ the CMA ”.

(4)In paragraph (3), for “Competition Commission” substitute “ CMA ”.

(5)In paragraph (5)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for “the Commission” (in each place where it occurs) substitute “ the CMA ”.

(6)In paragraph (6), for “Competition Commission” substitute “ CMA ”.

(7)After paragraph (6) insert—

“(7)The functions of the CMA with respect to a reference under this Article are to be carried out on behalf of the CMA by a group                           constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including                           functions relating to the making of modifications following a report on a reference, and functions under sections 109 to 115                           of the Enterprise Act 2002, as applied by Articles 23 and 27).”                  

(8)In the heading, for “Competition Commission” substitute “ CMA ”.

Commencement Information

I655Sch. 6 para. 184 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

185N.I.In article 22 (references under article 21: time limits), in paragraphs (2) and (3), for “Competition Commission” (in each                        place where it occurs) substitute “ CMA ”.

Commencement Information

I656Sch. 6 para. 185 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

186(1)Article 24 (reports on modification references) is amended as follows.N.I.

(2)In paragraph (1), for “Competition Commission” substitute “ CMA ”.

(3)In paragraph (2)—

(a)for “Competition Commission” substitute “ CMA ”, and

(b)for the words from “in connection with” to the end, substitute “ by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference in question                           ”.

(4)In paragraphs (3) to (5), for “Competition Commission” (in each place where it occurs) substitute “ CMA ”.

(5)In paragraphs (6) and (7), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(6)In paragraph (9), for “Competition Commission” substitute “ CMA ”.

Commencement Information

I657Sch. 6 para. 186 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

187N.I.In article 25 (modifications following report), in paragraphs (1) and (5), for “Competition Commission” substitute “ CMA ”.

Commencement Information

I658Sch. 6 para. 187 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

188(1)Article 26 (power of veto following report) is amended as follows.N.I.

(2)In paragraph (1), for “Competition Commission” substitute “ CMA ”.

(3)In paragraphs (2) to (9), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In the heading, for “Commission's” substitute “CMA's”.

Commencement Information

I659Sch. 6 para. 188 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

189(1)Article 27 (power of veto following report: supplementary) is amended as follows.N.I.

(2)In paragraph (2), for “Competition Commission” substitute “ CMA ”.

(3)In paragraphs (3), (4), (6) and (8), for “Commission” (in each place where it occurs) substitute “ CMA ”.

(4)In the heading, for “Commission's” substitute “CMA's”.

Commencement Information

I660Sch. 6 para. 189 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

190N.I.In article 28 (modification by order under other statutory provisions), in paragraph (1)—

(a)for “OFT, the Competition Commission” substitute “ CMA ”, and

(b)for “OFT, the Commission” substitute “ CMA ”.

Commencement Information

I661Sch. 6 para. 190 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

191N.I.In article 57 (restrictions on disclosure of information), in sub-paragraph (7), for “Competition Commission” substitute “ CMA ”.

Commencement Information

I662Sch. 6 para. 191 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

#### Legal Services (Scotland) Act 2010 (asp 16)S

192SThe Legal Services (Scotland) Act 2010 is amended as follows.

Commencement Information

I663Sch. 6 para. 192 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

193SIn section 8 (pre-approval consideration), in subsection (1)(b), for “OFT” substitute “ CMA ”.

Commencement Information

I664Sch. 6 para. 193 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

194SIn section 15 (initial considerations), in subsections (1) and (2), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I665Sch. 6 para. 194 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

195SIn section 28 (communicating outside), in subsection (1)(e), for “OFT” substitute “ CMA ”.

Commencement Information

I666Sch. 6 para. 195 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

196SIn section 49 (majority ownership), in subsection (5)(b)(iii), for “OFT” substitute “ CMA ”.

Commencement Information

I667Sch. 6 para. 196 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

197(1)Section 76 (input) is amended as follows.S

(2)In subsections (1) to (3), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I668Sch. 6 para. 197 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

198SIn section 92 (certification of bodies), in subsections (4) and (5), for “OFT” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I669Sch. 6 para. 198 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

199SIn section 103 (certification of bodies), in subsections (4) and (5), for “OFT” (in each place where it occurs) substitute                        “ CMA ”.

Commencement Information

I670Sch. 6 para. 199 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

200(1)Section 113 (regard to input) is amended as follows.S

(2)In subsections (1) to (3), for “OFT” (in each place where it occurs) substitute “ CMA ”.

(3)In the heading, for “OFT” substitute “ CMA ”.

Commencement Information

I671Sch. 6 para. 200 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

201SIn section 122 (particular rules), in subsection (2), for “OFT” substitute “ CMA ”.

Commencement Information

I672Sch. 6 para. 201 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

202SIn section 125 (citizens advice bodies), in subsection (4)(b), for “OFT” substitute “ CMA ”.

Commencement Information

I673Sch. 6 para. 202 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

203SIn section 147 (further modification), in subsection (3)(d), for “OFT” substitute “ CMA ”.

Commencement Information

I674Sch. 6 para. 203 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

204(1)In section 149 (definitions), in subsection (1)—S

(a)after the definition of “the 2007 Act” insert—

““CMA” means Competition and Markets Authority,”, and”                  

(b)omit the definition of “OFT”.

Commencement Information

I675Sch. 6 para. 204 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

205SIn schedule 2 (directions), in paragraph 4, in sub-paragraph (3), for “OFT” (in each place where it occurs) substitute “ CMA ”.

Commencement Information

I676Sch. 6 para. 205 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

206SIn schedule 5 (amendment of authorisation), in paragraph 4, in sub-paragraph (2)(b)(i), for “OFT” substitute “ CMA ”.

Commencement Information

I677Sch. 6 para. 206 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

207SIn schedule 6 (rescission of authorisation), in paragraph 4, in sub-paragraph (2)(b)(i), for “OFT” substitute “ CMA ”.

Commencement Information

I678Sch. 6 para. 207 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

208SIn schedule 7 (surrender of authorisation), in paragraph 3, in sub-paragraph (1)(a)(ii), for “OFT” substitute “ CMA ”.

Commencement Information

I679Sch. 6 para. 208 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

209SIn schedule 9 (index of expressions used), in the first table, in the column headed “Whole Act expressions”—

(a)after the reference to “advocate”, insert a reference to “ CMA ”;

(b)omit the reference to “OFT”.

Commencement Information

I680Sch. 6 para. 209 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

 Section 30(10)

## SCHEDULE 7U.K.Mergers: interim measures

### Interim measures following references under section 22 or 33U.K.

1U.K.Part 3 of the 2002 Act (mergers) is amended as follows.

Commencement Information

I681Sch. 7 para. 1 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

2(1)Section 80 (interim undertakings) is amended as follows.U.K.

(2)In subsection (1), for “Subsections (2) and (3)” substitute “ Subsections (2) and (2A) ”.

(3)After subsection (2) insert—

“(2A)Where the CMA has reasonable grounds for suspecting that pre-emptive action has or may have been taken, it may, for the purpose                           of restoring the position to what it would have been had the action not been taken or otherwise for the purpose of mitigating                           its effects, accept from such of the parties concerned as it considers appropriate undertakings to take such action as it                           considers appropriate.”                  

(4)After subsection (2A) insert—

“(2B)A person may, with the consent of the CMA, take action or action of a particular description where the action would otherwise                           constitute a contravention of an undertaking under this section.”                  

(5)Omit subsections (3) and (4).

(6)In subsection (5), for “Any other undertaking” substitute “ An undertaking ”.

(7)Omit subsection (6).

Commencement Information

I682Sch. 7 para. 2 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

3(1)Section 81 (interim orders) is amended as follows.U.K.

(2)In subsection (1) for “Subsections (2) and (3)” substitute “ Subsections (2) and (2A) ”.

(3)After subsection (2) insert—

“(2A)Where the CMA has reasonable grounds for suspecting that pre-emptive action has or may have been taken, it may by order, for                           the purpose of restoring the position to what it would have been had the action not been taken or otherwise for the purpose                           of mitigating its effects—                  

(a)do anything mentioned in subsection (2)(b) to (d);                  

(b)impose such other obligations, prohibitions or restrictions as it considers appropriate for that purpose.”                  

(4)After subsection (2A) insert—

“(2B)A person may, with the consent of the CMA, take action or action of a particular description where the action would otherwise                           constitute a contravention of an order under this section.”                  

(5)Omit subsections (3) and (4).

(6)In subsection (5), for “Any other order” substitute “ An order ”.

(7)Omit subsection (6).

Commencement Information

I683Sch. 7 para. 3 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

### Interim measures: public interest and special interest casesU.K.

4(1)Schedule 7 (enforcement regime for public interest and special public interest cases) is amended as follows.U.K.

(2)Omit paragraph 1 (interim undertakings).

(3)In paragraph 2 (interim orders), after sub-paragraph (2) insert—

“(2A)Sub-paragraph (2B) applies where—                  

(a)an intervention notice or special intervention notice is in force, and                  

(b)the Secretary of State or the CMA has reasonable grounds for suspecting that pre-emptive action has or may have been taken.                  

(2B)The Secretary of State or (as the case may be) the CMA may by order, for the purpose of restoring the position to what it                           would have been had the pre-emptive action not been taken or otherwise for the purpose of mitigating its effects—                  

(a)do anything mentioned in sub-paragraph (2)(b) to (d);                  

(b)impose such other obligations, prohibitions or restrictions as it considers appropriate for that purpose.”                  

(4)In that paragraph, after sub-paragraph (2B) insert—

“(2C)A person may, with the consent of the Secretary of State or (as the case may be) the CMA, take action or action of a particular                           description where the action would otherwise constitute a contravention of an order under this paragraph by the Secretary                           of State or (as the case may be) the CMA.”                  

(5)In that paragraph, in sub-paragraph (4)—

(a)omit “or the OFT”,

(b)for “by the OFT” substitute “ by the CMA ”, and

(c)omit “or (as the case may be) the OFT”.

(6)In that paragraph, in sub-paragraph (8), omit “1 or”.

(7)In that paragraph, in sub-paragraph (10), for the words from “the order” to the end of the sub-paragraph substitute “— 

(a)the Secretary of State or (as the case may be) the CMA has reasonable grounds for suspecting that it is or may be the case                           that two or more enterprises have ceased to be distinct or that arrangements are in progress or in contemplation which, if                           carried into effect, will result in two or more enterprises ceasing to be distinct; or                  

(b)the order relates to a special merger situation which has been, or may have been, created.”                  

(8)In that paragraph, after sub-paragraph (11) insert—

“(12)In this paragraph “pre-emptive action” means action which might prejudice the reference or possible reference concerned under section 45 or (as the case may be)                           62 or impede the taking of any action under this Part which may be justified by the Secretary of State's decisions on the                           reference.”                  

Commencement Information

I684Sch. 7 para. 4 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

### Interim measures: duration of interim orders under section 72U.K.

5(1)Section 72 (initial enforcement orders: completed mergers) is amended as follows.U.K.

(2)Omit subsection (5).

(3)In subsection (6)—

(a)in the words before paragraph (a), omit “section 81 or”, and

(b)in paragraph (a), for the words from “at the end of” to the end of the paragraph substitute “— 

(i)if the CMA accepts an undertaking under section 80 or makes an order under section 81, on the acceptance of the undertaking                           or the making of the order, and                  

(ii)otherwise on the final determination of the reference concerned;”.                  

Commencement Information

I685Sch. 7 para. 5 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

 Section 32(2)

## SCHEDULE 8U.K.Mergers: time-limits

1U.K.Part 3 of the 2002 Act (mergers) is amended as follows.

Commencement Information

I686Sch. 8 para. 1 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

2U.K.In section 22 (duty to make references in relation to completed mergers), in subsection (3)—

(a)before paragraph (a) insert—

“(za)the period within which the CMA is required by section 34ZA to decide whether the duty to make the reference applies has expired                           without such a decision having been made;”, and                  

(b)in paragraph (a) omit “or 96(3)”.

Commencement Information

I687Sch. 8 para. 2 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

3U.K.In section 33 (duty to make references in relation to anticipated mergers), in subsection (3)—

(a)before paragraph (a) insert—

“(za)the period within which the CMA is required by section 34ZA to decide whether the duty to make the reference applies has expired                           without such a decision having been made;”, and                  

(b)in paragraph (a) omit “or 96(3)”.

Commencement Information

I688Sch. 8 para. 3 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

4U.K.After section 34 insert—

### “34ZATime-limits for decisions about references

(1)In carrying out its function of deciding whether to make a reference under section 22 or 33, the CMA shall, within the initial                           period—                  

(a)decide whether the duty to make a reference under the section applies (taking account of the power under section 22(2) or                           (as the case may be) 33(2) and the operation of section 22(3) or (as the case may be) 33(3)); and                  

(b)inform the persons carrying on the enterprises concerned by notice of the decision and of the reasons for it.                  

(2)Nothing in this section prevents the CMA from making a reference under section 22 or 33 in the event that—                  

(a)it decides that the duty to make a reference does not apply because it is considering whether to accept undertakings under                           section 73; but                  

(b)no such undertakings are offered or accepted.                  

(3)In this section—                  
          -  “the initial period” means (subject to any extension under section 34ZB) the period of 40 working days beginning with—                          (a)
where the CMA is carrying out its function in consequence of the giving of a merger notice under section 96, the first working                                       day after the day on which the CMA gives notice under section 96(2A) to the person who gave the merger notice, and                                 
(b)
in any other case, the first working day after the day on which the CMA informs the persons carrying on the enterprises concerned                                       by notice that it has sufficient information to enable it to begin an investigation for the purposes of deciding whether to                                       make a reference;                                 
 
          -  “working day” means any day which is not—                          (a)
a Saturday, a Sunday, Good Friday or Christmas Day, or                                 
(b)
a day which is a bank holiday in England and Wales.                                 
 

(4)For the purposes of paragraph (a) in the definition of “initial period” in subsection (3), the CMA is carrying out its function                           in consequence of the giving of a merger notice under section 96 if it is considering whether to make a reference under section                           22 or 33 in relation to—                  

(a)arrangements of which notice is given in the merger notice or arrangements which do not differ from them in any material respect,                           or                  

(b)the creation of any relevant merger situation which is, or may be, created in consequence of carrying such arrangements into                           effect.                  

(5)Nothing in this section applies where section 34A(2) or 46A(2) applies (duties where case referred by the European Commission).                  

### 34ZBExtension of time-limits

(1)The CMA may extend the initial period mentioned in section 34ZA(1) if it considers that a relevant person has failed (with                           or without a reasonable excuse) to comply with any requirement of a notice under section 109 in relation to the case in question.                  

(2)In subsection (1), “relevant person” means—                  

(a)any person carrying on any of the enterprises concerned;                  

(b)any person who (whether alone or as a member of a group) owns or has control of any such person; or                  

(c)any officer, employee or agent of any person mentioned in paragraph (a) or (b).                  

(3)For the purposes of subsection (2), a person or group of persons able, directly or indirectly, to control or materially to                           influence the policy of a body of persons corporate or unincorporate, but without having a controlling interest in that body                           of persons, may be treated as having control of it.                  

(4)Where an intervention notice is in force in relation to the matter concerned, the CMA may extend the initial period by no                           more than 20 working days.                  

(5)The CMA may by notice extend the initial period if the European Commission is considering a request made, in relation to the                           matter concerned, by the United Kingdom (whether alone or with others) under article 22(1) of the EC Merger Regulation (but                           is not yet proceeding with the matter in pursuance of such a request).                  

(6)An extension under subsection (1) or (4) comes into force when published under section 107.                  

(7)An extension under subsection (1) continues in force until—                  

(a)the person concerned provides the information or documents to the satisfaction of the CMA or (as the case may be) appears                           as a witness in accordance with the requirements of the CMA; or                  

(b)the CMA publishes its decision to cancel the extension.                  

(8)An extension under subsection (5) shall be for the period which—                  

(a)begins when notice is given under that subsection, and                  

(b)ends when the CMA gives notice of the completion by the European Commission of its consideration of the request of the United                           Kingdom.                  

(9)In this section, “working day” has the same meaning as in section 34ZA.                  

### 34ZCSections 34ZA and 34ZB: supplementary

(1)An extension of the period mentioned in section 34ZA(1) may be made under each of subsections (1), (4) or (5) of section 34ZB.                  

(2)No more than one extension is possible under section 34ZB(4).                  

(3)Where a period is extended or further extended under section 34ZB(1), (4) or (5), the period as extended or (as the case may                           be) further extended shall, subject to subsections (4) and (5), be calculated by taking the period being extended and adding                           to it the period of the extension (whether or not those periods overlap in time).                  

(4)Subsection (5) applies where—                  

(a)the period mentioned in section 34ZA(1) is further extended;                  

(b)the further extension and at least one previous extension is made under one or more of subsections (1) and (5) of section                           34ZB; and                  

(c)the same days or fractions of days are included in or comprise the further extension and are included in or comprise at least                           one such previous extension.                  

(5)In calculating the period of the further extension, any days or fractions of days of the kind mentioned in subsection (4)(c)                           are to be disregarded.                  

(6)The Secretary of State may by order do either or both of the following—                  

(a)amend section 34ZA so as to alter the period of 40 working days mentioned in subsection (3) of that section or any period                           for the time being mentioned in that subsection in substitution for that period;                  

(b)amend section 34ZB so as to alter the period of 20 working days mentioned in subsection (4) of that section or any period                           for the time being mentioned in that subsection in substitution for that period.                  

(7)But no alteration may be made by virtue of subsection (6) which results in—                  

(a)the period for the time being mentioned in section 34ZA(3) exceeding 40 working days; or                  

(b)the period for the time being mentioned in section 34ZB(4) exceeding 20 working days.                  

(8)Before making an order under subsection (6), the Secretary of State shall consult the CMA and such other persons as the Secretary                           of State considers appropriate.                  

(9)In this section, “working day” has the same meaning as in section 34ZA.”                  

Commencement Information

I689Sch. 8 para. 4 partly in force; sch. 8 para. 4 in force for specified purposes at Royal Assent, see s.103(1)(i)

I690Sch. 8 para. 4 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

5(1)Section 39 (time-limits for investigations and reports) is amended as follows.U.K.

(2)In subsection (5) for “subsection (4)” substitute “ this section ”.

(3)After subsection (8) insert—

“(8A)In the case of a report on a reference under section 33, the CMA may provide that a specified period of no more than 3 weeks                           is to be disregarded for the purposes of any time-limit for the preparation and publication of the report which applies by                           virtue of this section if—                  

(a)a relevant person has so requested before the end of the period of 3 weeks beginning with the date of the reference concerned;                           and                  

(b)the CMA reasonably believes that the arrangements in question might be abandoned.                  

(8B)If the CMA exercises the power under subsection (8A), the CMA shall publish a notice to that effect.”                  

Commencement Information

I691Sch. 8 para. 5 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

6U.K.After section 41 (duty to remedy effects of completed or anticipated mergers) insert—

### “41ATime-limit for discharging duty under section 41

(1)The CMA shall discharge its duty under section 41(2) within the period of 12 weeks beginning with the date on which it publishes                           the report concerned under section 38.                  

(2)The CMA may extend, by no more than 6 weeks, the period within which its duty under section 41(2) shall be discharged if it                           considers that there are special reasons for doing so.                  

(3)The CMA may extend the period within which its duty under section 41(2) shall be discharged if it considers that a relevant                           person has failed (whether with or without reasonable excuse) to comply with any requirement of a notice under section 109                           which is given in relation to the reference.                  

(4)In subsection (3), “relevant person” means—                  

(a)any person carrying on any of the enterprises concerned;                  

(b)any person who (whether alone or as a member of a group) owns or has control of any such person; or                  

(c)any officer, employee or agent of any person mentioned in paragraph (a) or (b).                  

(5)For the purposes of subsection (4), a person or group of persons able, directly or indirectly, to control or materially to                           influence the policy of a body of persons corporate or unincorporate, but without having a controlling interest in that body                           of persons, may be treated as having control of it.                  

(6)An extension under subsection (2) or (3) comes into force when published under section 107.                  

(7)An extension under subsection (3) continues in force until—                  

(a)the person concerned provides the information or documents to the satisfaction of the CMA or (as the case may be) appears                           as a witness in accordance with the requirements of the CMA; or                  

(b)the CMA publishes its decision to cancel the extension.                  

### 41BSection 41A: supplementary

(1)A period extended under section 41A(2) may also be extended under section 41A(3), and a period extended under section 41A(3)                           may also be extended under section 41A(2).                  

(2)No more than one extension is possible under section 41A(2).                  

(3)Where a period is extended or further extended under section 41A(2) or (3), the period as extended or (as the case may be)                           further extended is, subject to subsections (4) and (5), to be calculated by taking the period being extended and adding to                           it the period of the extension (whether or not those periods overlap in time).                  

(4)Subsection (5) applies where—                  

(a)the period within which the CMA must discharge its duty under section 41(2) is further extended;                  

(b)the further extension and at least one previous extension is made under section 41A(3); and                  

(c)the same days or fractions of days are included in or comprise the further extension and are included in or comprise at least                           one such previous extension.                  

(5)In calculating the period of the further extension, any days or fractions of days of the kind mentioned in subsection (4)(c)                           are to be disregarded.                  

(6)The Secretary of State may by order amend section 41A so as to alter either or both of the following periods—                  

(a)the period of 12 weeks mentioned in subsection (1) of that section or any period for the time being mentioned in that subsection                           in substitution for that period;                  

(b)the period of 6 weeks mentioned in subsection (2) of that section or any period for the time being mentioned in that subsection                           in substitution for that period.                  

(7)But no alteration may be made by virtue of subsection (6) which results in—                  

(a)the period for the time being mentioned in section 41A(1) exceeding 12 weeks; or                  

(b)the period for the time being mentioned in section 41A(2) exceeding 6 weeks.                  

(8)Before making an order under subsection (6) the Secretary of State shall consult the CMA and such other persons as the Secretary                           of State considers appropriate.”                  

Commencement Information

I692Sch. 8 para. 6 partly in force; sch. 8 para. 6 in force for specified purposes at Royal Assent, see s.103(1)(i)

I693Sch. 8 para. 6 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

7U.K.After section 73 (undertakings in lieu of references under section 22 or 33) insert—

### “73ATime-limits for consideration of undertakings

(1)A party concerned who wishes to offer an undertaking to the CMA for the purposes of section 73(2) must do so before the end                           of the period of 5 working days beginning with—                  

(a)the day after the CMA gives the person the notice required by section 34ZA(1)(b); or                  

(b)in a case where subsection (2) of section 34A applies, the day after the CMA gives the person the notice required by paragraph                           (b) of that subsection.                  

(2)If an undertaking is offered for those purposes, the CMA shall, before the end of the period of 10 working days beginning                           with the day mentioned in subsection (1)—                  

(a)decide whether there are reasonable grounds for believing that the undertaking or a modified version of it might be accepted                           by the CMA under section 73(2), and                  

(b)if it considers that it might be, give notice to the person who offered the undertaking that it is considering it.                  

(3)If such a notice is given, the CMA shall decide whether to accept the undertaking before the end of the period of 50 working                           days beginning with the day mentioned in subsection (1).                  

(4)The CMA may extend the period mentioned in subsection (3), by no more than 40 working days, if it considers that there are                           special reasons for doing so.                  

(5)The CMA shall prepare and publish guidance in relation to the exercise of its power under subsection (4).                  

(6)The CMA may revise any such guidance and, where it does so, shall publish the revised statement.                  

(7)The CMA may extend the period mentioned in subsection (3) if it considers that a relevant person has failed (with or without                           reasonable excuse) to comply with any requirement of a notice given under section 109 in relation to the case in question.                  

(8)In subsection (7), “relevant person” means—                  

(a)any person carrying on any of the enterprises concerned;                  

(b)any person who (whether alone or as a member of a group) owns or has control of any such person; or                  

(c)any officer, employee or agent of any person mentioned in paragraph (a) or (b).                  

(9)For the purposes of subsection (8), a person or group of persons able, directly or indirectly, to control or materially influence                           the policy of a body of persons corporate or unincorporate, but without having a controlling interest in that body of persons,                           may be treated as having control of it.                  

(10)An extension under subsection (4) or (7) comes into force when published under section 107.                  

(11)An extension under subsection (7) continues in force until—                  

(a)the person concerned provides the information or documents to the satisfaction of the CMA or (as the case may be) appears                           as a witness in accordance with the requirements of the CMA; or                  

(b)the CMA publishes its decision to cancel the extension.                  

(12)In this section and section 73B, “working day” means any day which is not—                  

(a)a Saturday, a Sunday, Good Friday or Christmas Day, or                  

(b)a day which is a bank holiday in England and Wales.                  

### 73BSection 73A: supplementary

(1)A period extended under section 73A(4) may also be extended under section 73A(7), and a period extended under section 73A(7)                           may also be extended under section 73A(4).                  

(2)No more than one extension is possible under section 73A(4).                  

(3)Where a period is extended or further extended under section 73A(4) or (7), the period as extended or (as the case may be)                           further extended is, subject to subsections (4) and (5), to be calculated by taking the period being extended and adding to                           it the period of the extension (whether or not those periods overlap in time).                  

(4)Subsection (5) applies where—                  

(a)the period within which the CMA must discharge its duty under section 73A(3) is further extended,                  

(b)the further extension and at least one previous extension is made under section 73A(7), and                  

(c)the same days or fractions of days are included in or comprise the further extension and are included in or comprise at least                           one such previous extension.                  

(5)In calculating the period of the further extension, any days or fractions of days of the kind mentioned in subsection (4)(c)                           are to be disregarded.                  

(6)The Secretary of State may by order amend section 73A so as to alter one or more of the periods for the time being mentioned                           in the section.                  

(7)But no alteration may be made by virtue of subsection (6) which results in—                  

(a)the period mentioned in section 73A(1) exceeding 5 working days;                  

(b)the period mentioned in section 73A(2) exceeding 10 working days;                  

(c)the period mentioned in section 73A(3) exceeding 50 working days;                  

(d)the period mentioned in section 73A(4) exceeding 40 working days.                  

(8)Before making an order under subsection (6) the Secretary of State shall consult the CMA and such other persons as the Secretary                           of State considers appropriate.”                  

Commencement Information

I694Sch. 8 para. 7 partly in force; sch. 8 para. 7 in force for specified purposes at Royal Assent, see s.103(1)(i)

I695Sch. 8 para. 7 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

8(1)Section 96 (merger notices) is amended as follows.U.K.

(2)In subsection (1), for the words from “of proposed arrangements” to the end of the subsection substitute “ of arrangements or proposed arrangements which might have resulted or might result in the creation of a relevant merger                           situation. ”

(3)In subsection (2) after paragraph (a) (and before the “and” immediately following it) insert—

“(aa)shall contain the prescribed information;”.                  

(4)After subsection (2) insert—

“(2A)Where the CMA is satisfied that a merger notice meets the requirements of subsection (2), it shall give notice to that effect                           to the person who gave the merger notice.”                  

(5)Omit subsections (3) and (4).

Commencement Information

I696Sch. 8 para. 8 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

9U.K.Sections 97 and 98 (period for considering merger notices) are omitted.

Commencement Information

I697Sch. 8 para. 9 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

10(1)Section 99 (certain functions in relation to merger notices) is amended as follows.U.K.

(2)In subsection (1), for “the period for considering any merger notice begins” substitute “ the initial period (within the meaning of section 34ZA) begins in relation to the merger notice ”.

(3)In subsection (5), for “the period for considering any merger notice” substitute “ the initial period (within the meaning of section 34ZA) in relation to a merger notice ”.

Commencement Information

I698Sch. 8 para. 10 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

11(1)Section 100 (exceptions to protection given by merger notices) is amended as follows.U.K.

(2)In subsection (1)—

(a)in the words before paragraph (a), for “Section 96(3) does not” substitute “ Sections 22(3)(za) and 33(3)(za) do not ”,

(b)in those words, for “to the Commission” substitute “ under section 22 or (as the case may be) 33 ”,

(c)in paragraph (a), for “the period for considering the merger notice” substitute “ the initial period (within the meaning of section 34ZA) in relation to the merger notice ”,

(d)omit paragraph (b),

(e)in paragraph (c), omit the words from “by such time” to the end of the paragraph, and

(f)in paragraph (e), for “the period for considering the merger notice” substitute “ the initial period (within the meaning of section 34ZA) in relation to the merger notice ”.

(3)In subsection (2)—

(a)in paragraph (a), for “section 22, 33 or 45” substitute “ section 22 or 33 ”, and

(b)in paragraph (b), for “section 96(3) does not” substitute “ sections 22(3)(za) and 33(3)(za) do not ”.

(4)In subsection (3), for “Section 96(3) does not” substitute “ Sections 22(3)(za) and 33(3)(za) do not ”.

Commencement Information

I699Sch. 8 para. 11 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

12(1)Section 101 (merger notices: regulations) is amended as follows.U.K.

(2)In subsection (2), in paragraph (a), omit “section 97(1), (2), (3) or (4) or”.

(3)In that subsection, omit paragraphs (c) to (f).

Commencement Information

I700Sch. 8 para. 12 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

13(1)Section 124 (order and regulations under Part 3) is amended as follows.U.K.

(2)In subsection (4)—

(a)after “section” insert “ 34ZC(6), ”,

(b)after “40(8),” insert “ 41B(6), ”, and

(c)after “68,” insert “ , 73B(6), ”.

(3)In subsection (5)—

(a)after “67(7)),” insert “ 34ZC(6), ”,

(b)after “40(8),” insert “ 41B(6), ”, and

(c)after “65(3)),” insert “ 73B(6), ”.

Commencement Information

I701Sch. 8 para. 13 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

 Section 34(4)

## SCHEDULE 9U.K.Markets: cross-market references

1U.K.Part 4 of the 2002 Act (market investigations) is amended as follows.

Commencement Information

I702Sch. 9 para. 1 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

2(1)Section 133 (contents of references) is amended as follows.U.K.

(2)In subsection (1)—

(a)omit the “and” following paragraph (b),

(b)in paragraph (c), at the beginning insert “ in the case of an ordinary reference, ”, and

(c)after paragraph (c) insert “; and 

(d)in the case of a cross-market reference, the feature or features concerned and the descriptions of goods or services to which                           it or they relate.”                  

(3)In subsection (2)—

(a)in paragraph (a), after “a supply” insert “ or, in the case of a cross-market reference, supplies ”, and

(b)in paragraph (b), after “an acquisition” insert “ or, in the case of a cross-market reference, acquisitions ”.

Commencement Information

I703Sch. 9 para. 2 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

3(1)Section 134 (questions to be decided on market investigation references) is amended as follows.U.K.

(2)In subsection (1), for “a market investigation” substitute “ an ordinary ”.

(3)After subsection (1) insert—

“(1A)The CMA shall, on a cross-market reference, decide in relation to each feature and each combination of the features specified                           in the reference, whether the feature or combination of features, as it relates to goods or services of one or more than one                           of the descriptions so specified, prevents, restricts or distorts competition in connection with the supply or acquisition                           of any goods or services in the United Kingdom or a part of the United Kingdom.”                  

(4)In subsection (2), for “a market investigation” substitute “ an ordinary ”.

(5)After subsection (2) insert—

“(2A)For the purposes of this Part, in relation to a cross-market reference, there is an adverse effect on competition if a feature                           or a combination of the features specified in the reference, as that feature or combination of features relates to goods or                           services of one or more than one of the descriptions so specified, prevents, restricts or distorts competition in connection                           with the supply or acquisition of any goods or services in the United Kingdom or a part of the United Kingdom.”                  

(6)In subsection (5)(a), after “the market” insert “ or markets ”.

(7)In subsection (7), after “the market” insert “ or markets ”.

(8)In subsection (8)(a)(i), after “the market” insert “ or markets ”.

Commencement Information

I704Sch. 9 para. 3 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

4U.K.In section 138 (duty to remedy adverse effects), in subsection (5), after “the market” insert “ or markets ”.

Commencement Information

I705Sch. 9 para. 4 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

5(1)Section 141 (questions to be decided where intervention notice under section 139(1) is in force) is amended as follows.U.K.

(2)In subsection (2), after “shall” insert “ , on an ordinary reference, ”.

(3)After subsection (2) insert—

“(2A)The CMA shall, on a cross-market reference, decide in relation to each feature and each combination of the features specified                           in the reference, whether the feature or combination of features, as it relates to goods or services of one or more than one                           of the descriptions so specified, prevents, restricts or distorts competition in connection with the supply or acquisition                           of any goods or services in the United Kingdom or a part of the United Kingdom.”                  

(4)In subsection (6), after “the market” insert “ or markets ”.

Commencement Information

I706Sch. 9 para. 5 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

6U.K.In section 147 (remedial action by the Secretary of State), in subsection (5), after “the market” insert “ or markets ”.

Commencement Information

I707Sch. 9 para. 6 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

7U.K.In section 154 (undertakings in lieu of references), in subsection (4), after “the market” insert “ or markets ”.

Commencement Information

I708Sch. 9 para. 7 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

8(1)Section 156 (effect of undertakings under section 154) is amended as follows.U.K.

(2)Before subsection (1) insert—

“(A1)No market investigation reference shall be made by the CMA or the appropriate Minister in relation to any feature, or combination                           of features, of a market in the United Kingdom for goods or services if—                  

(a)the CMA has accepted an undertaking or group of undertakings under section 154 within the previous 12 months;                  

(b)the feature or combination of features to which the undertaking or group of undertakings relates is the same as the feature                           or combination of features to which the reference would relate; and                  

(c)the goods or services to which the undertaking or group of undertakings relates are of the same description as the goods or                           services to which the reference would relate.”                  

(3)In subsection (1)—

(a)in the words before paragraph (a), for “market investigation” substitute “ ordinary ”,

(b)in paragraph (a), after “has” insert “ , instead of making an ordinary reference, ”, and

(c)in paragraph (b), for “the feature, or combination of features, relates” substitute “ the reference would relate ”.

(4)In subsection (2), for “Subsection (1) does” substitute “ Subsections (A1) and (1) do ”.

Commencement Information

I709Sch. 9 para. 8 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

9(1)Section 184 (index of defined expressions for Part 4) is amended as follows.U.K.

(2)In the second column of the entry for “Adverse effect on competition”, after “134(2)” insert “ and (2A) ”.

(3)After the entry in the table for “Consumer” insert—

(4)Before the entry in the table for “Public interest consideration” insert—

Commencement Information

I710Sch. 9 para. 9 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

 Section 35(10)

## SCHEDULE 10U.K.Markets: public interest interventions

1U.K.Part 4 of the 2002 Act (market investigations) is amended as follows.

Commencement Information

I711Sch. 10 para. 1 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

2(1)Section 131 (power to make market investigation references) is amended as follows.U.K.

(2)In subsection (4)(b), after “132” insert “ or 140A(6) ”.

(3)In subsection (6), in the definition of “market investigation reference”, after “132” insert “ or 140A(6) ”.

Commencement Information

I712Sch. 10 para. 2 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

3U.K.In section 132 (ministerial power to make references), in subsection (4)—

(a)after “if” insert “— 

(a)”, and

(b)at the end insert “; or 

(b)a reference has been made under section 140A(6) in relation to the same matter but has not been finally determined.”                  

Commencement Information

I713Sch. 10 para. 3 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

4U.K.In section 135 (variation of references), in subsection (1), for “by it or (as the case may be) by him” substitute “ by it under section 131 or (as the case may be) by the appropriate Minister under section 132 ”.

Commencement Information

I714Sch. 10 para. 4 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

5(1)Section 140 (supplementary provision about intervention notices under section 139(1)) is amended as follows.U.K.

(2)In subsection (1)—

(a)for paragraphs (a) and (b) substitute—

“(a)the matter to which the market study notice or (as the case may be) the consultation under section 169 concerned relates;                  

(b)the date of publication of that notice or (as the case may be) on which the process of consultation began;”, and”                  

(b)in paragraph (c), for “case” substitute “ matter ”.

(3)In subsection (2), for “case” (in the second place where it occurs) substitute “ matter ”.

(4)After subsection (4) insert—

“(4A)An intervention notice under section 139(1) shall also cease to be in force if—                  

(a)it mentions a public interest consideration which was not finalised on the giving of the notice or public interest considerations                           which, at that time, were not finalised;                  

(b)no other public interest consideration is mentioned in the notice;                  

(c)at least 24 weeks has elapsed since the giving of the notice;                  

(d)the public interest consideration mentioned in the notice has not been finalised within that period of 24 weeks or (as the                           case may be) none of the public interest considerations mentioned in the notice has been finalised within that period of 24                           weeks; and                  

(e)the Secretary of State has not, by the end of that period of 24 weeks, made a reference under section 140A in relation to                           the matter.                  

(4B)Subsection (4D) applies in a case where—                  

(a)an intervention notice ceases to be in force in accordance with subsection (4A);                  

(b)the CMA has, before the time at which the notice ceases to be in force, prepared a market study report in relation to the                           matter within the period permitted by section 131B(4) and given it to the Secretary of State in accordance with section 140A(3)(b);                           and                  

(c)the report contains the decision of the CMA that it should make a reference in relation to the matter concerned under section                           131.                  

(4C)Subsection (4D) also applies in a case where—                  

(a)an intervention notice ceases to be in force in accordance with subsection (4A); and                  

(b)the CMA has, before the time at which the notice ceases to be in force—                  

(i)decided that it should make an ordinary reference or a cross-market reference under section 131 in relation to the matter                           concerned; and                  

(ii)given a document containing its decision, the reasons for it and such information as the CMA considers appropriate for facilitating                           a proper understanding of the reasons for its decision to the Secretary of State in accordance with section 140A(3)(c).                  

(4D)In a case to which this subsection applies—                  

(a)the CMA shall, as soon as reasonably practicable, make a reference in relation to the matter under section 131; and                  

(b)the reference is to be treated for the purposes of this Part as having been made in accordance with the requirements imposed                           by this Part.”                  

(5)In subsection (5)—

(a)before paragraph (a) insert—

“(za)the CMA accepts an undertaking under section 154 instead of making a reference under section 131 in relation to the matter;                  

(zb)the CMA publishes notice that it has otherwise decided not to make a reference under section 131 in relation to the matter;                  

(zc)the period permitted for the preparation by the CMA of the market study report in relation to the matter and for the report                           to be published under section 131B(4) or (as the case may be) given to the Secretary of State under section 140A(3) has expired                           and no such report has been so prepared or no such action has been taken;                  

(zd)the Secretary of State makes a reference under section 140A(5) in relation to the matter;”,                  

(b)in paragraph (a), after “143(1) or (3)” insert “ or (as the case may be) 143A(2) or (3) ”,

(c)in paragraph (c), after “143(1)” insert “ or (as the case may be) 143A(2) ”,

(d)in paragraph (d), at the end insert “ or (as the case may be) fails to make and publish a decision under subsection (2) of section 146A within the period required                           by subsection (6) of that section ”,

(e)in paragraph (e), at the end insert “ or (as the case may be) decides under section 146A(2) to make no finding at all in relation to the matter ”, and

(f)in paragraph (f), after “147(2)” insert “ or (as the case may be) 147A(2) ”.

(6)In subsection (6)—

(a)before paragraph (a) insert—

“(za)in a case falling within subsection (5)(za), the acceptance of the undertaking concerned;                  

(zb)in a case falling within subsection (5)(zb), the publication of the notice concerned;”,                  

(b)in paragraph (a), after “(5)” insert “ (zc), ”, and

(c)after paragraph (a) insert—

“(aa)in a case falling within subsection (5)(zd), the making of the reference concerned;”.                  

(7)After subsection (6) insert—

“(6A)In subsection (6)(za) the reference to the acceptance of the undertaking concerned shall, in a case where the CMA has accepted                           a group of undertakings under section 154, be treated as a reference to the acceptance of the last undertaking in the group;                           but undertakings which vary, supersede or revoke earlier undertakings shall be disregarded for the purposes of subsections                           (5)(za) and (6)(za).”                  

(8)In subsection (7), after “147(2)” insert “ or (as the case may be) 147A(2) ”.

Commencement Information

I715Sch. 10 para. 5 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

6U.K.After section 140A (inserted by section 35) insert—

### “140BVariation of restricted PI references and full PI references

(1)The Secretary of State may at any time vary a restricted PI reference or a full PI reference.                  

(2)The Secretary of State shall consult the CMA before varying any such reference.                  

(3)But subsection (2) does not apply if the CMA requested the variation concerned.                  

(4)No variation under this section is capable of altering the public interest consideration or considerations specified in the                           reference.”                  

Commencement Information

I716Sch. 10 para. 6 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

7(1)Section 141 (questions to be decided where section 139(1) intervention notice is in force) is amended as follows.U.K.

(2)For subsection (1) substitute—

“(1)This section applies where the Secretary of State makes a restricted PI reference.”                  

(3)For the heading, substitute “ Restricted PI references: questions to be decided by CMA ”.

Commencement Information

I717Sch. 10 para. 7 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

8(1)Section 142 (investigations and reports) is amended as follows.U.K.

(2)In subsection (1)—

(a)for the words from the beginning to “the Commission” substitute “ Where the Secretary of State makes a restricted PI reference or a full PI reference, the CMA ”, and

(b)after “section 143(1) or (3)” insert “ or (as the case may be) 143A(2) or (3) ”.

(3)In subsection (2)—

(a)in paragraph (a), at the end insert “ or (as the case may be) 141A ”,

(b)omit the “and” after paragraph (b), and

(c)after paragraph (c) insert “; and 

(d)in the case of a report in relation to a full PI reference in respect of which the Secretary of State appointed a public interest                           expert, a summary of the views of the expert.”                  

(4)After subsection (2) insert—

“(2A)A summary of the views of a public interest expert in a report under this section shall be approved by the expert before action                           is taken in relation to the report under section 143A(2) or (3).”                  

Commencement Information

I718Sch. 10 para. 8 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

9(1)Section 143 (publication etc of reports) is amended as follows.U.K.

(2)Before subsection (1) insert—

“(A1)This section applies in relation to a report prepared under section 142 in respect of a restricted PI reference.”                  

(3)In subsection (1), in the words before paragraph (a), for “a report under section 142” substitute “ the report ”.

(4)Omit subsection (2).

(5)In subsection (3), for “a report under section 142” substitute “ the report ”.

(6)Omit subsections (5) to (8).

(7)For the heading substitute “ Restricted PI references: publication etc of reports of CMA ”.

Commencement Information

I719Sch. 10 para. 9 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

10U.K.After section 143 insert—

### “143AFull PI references: publication etc of reports of CMA

(1)This section applies in relation to a report prepared under section 142 in respect of a full PI reference.                  

(2)The CMA shall publish the report if it contains—                  

(a)the decision of the CMA that there is no adverse effect on competition;                  

(b)the decision of the CMA that there is an adverse effect on competition but that the feature or combination of features which                           gave rise to it does not operate and may not be expected to operate against the public interest; or                  

(c)the decisions of the CMA that there is one or more than one adverse effect on competition and that one or more than one of                           the features or combinations of features which gave rise to an adverse effect on competition operates or may be expected to                           operate against the public interest but, on the question mentioned in section 141A(5)(a), and in relation to each effect adverse                           to the public interest concerned, that no action should be taken by the Secretary of State.                  

(3)The CMA shall give the report to the Secretary of State if it contains the decisions of the CMA—                  

(a)that there is one or more than one adverse effect on competition and that one or more than one of the features or combinations                           of features which gave rise to an adverse effect on competition operates or may be expected to operate against the public                           interest; and                  

(b)in relation to at least one effect adverse to the public interest concerned, that action should be taken by the Secretary                           of State.                  

(4)The Secretary of State shall publish, no later than publication of the Secretary of State's decision under section 146A(2)                           in relation to the case, a report of the CMA given to the Secretary of State under subsection (3) and not required to be published                           by virtue of section 148A(3).”                  

Commencement Information

I720Sch. 10 para. 10 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

11(1)Section 144 (time-limits for investigations and reports in public interest cases) is amended as follows.U.K.

(2)In subsection (1)—

(a)for “the date of the reference” substitute “ the relevant date ”, and

(b)for the words from “publish it” to the end substitute “ publish it under section 143(1) or 143A(2) or (as the case may be) give it to the Secretary of State in accordance with                           section 143(3) or 143A(3). ”

(3)After subsection (1) insert—

“(1A)For the purposes of subsection (1), the “relevant date” is—                  

(a)in the case of a report in relation to a restricted PI reference or to a full PI reference which specifies that the Secretary                           of State does not propose to appoint a public interest expert, the date of the reference;                  

(b)in the case of a report in relation to a full PI reference which specifies that the Secretary of State proposes to appoint                           a public interest expert, the earliest of the following—                  

(i)the date of the appointment of the expert;                  

(ii)the date on which the Secretary of State gives notice to the CMA that the Secretary of State no longer intends to appoint                           such an expert;                  

(iii)the end of the period of 2 months beginning with the date of the reference.”                  

(4)In subsection (4), after “143(1) or (3)” insert “ or (as the case may be) 143A(2) or (3) ”.

Commencement Information

I721Sch. 10 para. 11 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

12(1)Section 145 (restrictions where public interest considerations not finalised: Part 4) is amended as follows.U.K.

(2)In subsection (2), after “143(3)” insert “ or (as the case may be) 143A(3) ”.

(3)In subsection (3), after “141(3)” insert “ or (as the case may be) 141A(4) and (5). ”

(4)In subsection (4), after “141(3)” insert “ or (as the case may be) 141A(4) and (5). ”

Commencement Information

I722Sch. 10 para. 12 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

13(1)Section 146 (decision of Secretary of State) is amended as follows.U.K.

(2)In subsection (1), in the words before paragraph (a), for “report of the Commission” substitute “ report of the CMA in relation to a restricted PI reference ”.

(3)In the heading, at the beginning, insert “ Restricted PI references: ”.

Commencement Information

I723Sch. 10 para. 13 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

14U.K.After section 146 insert—

### “146AFull PI references: decision of Secretary of State

(1)Subsection (2) applies where the Secretary of State has received a report of the CMA in relation to a full PI reference which—                  

(a)has been prepared under section 142;                  

(b)contains the decisions of the CMA that there is one or more than one adverse effect on competition and that one or more than                           one of the features or combinations of features that gave rise to an adverse effect on competition operates or may be expected                           to operate against the public interest and that, in relation to at least one effect adverse to the public interest concerned,                           action should be taken by the Secretary of State; and                  

(c)has been given to the Secretary of State as required by section 143A(3).                  

(2)The Secretary of State shall decide whether to make an adverse public interest finding in relation to the matter and whether                           to make no finding at all in the matter.                  

(3)For the purposes of this Part, the Secretary of State makes an adverse public interest finding in relation to a matter if,                           in relation to that matter, the Secretary of State decides—                  

(a)that there is an adverse effect on competition;                  

(b)that there is one or more than one admissible public interest consideration which is relevant to the matter; and                  

(c)taking account only of any adverse effect on competition and any relevant admissible public interest consideration or considerations,                           that any feature or combination of features which gave rise to an adverse effect on competition operates or may be expected                           to operate against the public interest.                  

(4)The Secretary of State may make no finding at all in a matter only if the Secretary of State decides that there is no admissible                           public interest consideration which is relevant to a consideration of the matter concerned.                  

(5)In deciding whether to make an adverse public interest finding under subsection (2), the Secretary of State shall accept the                           decision of the CMA as to whether there is an adverse effect on competition in relation to the matter.                  

(6)The Secretary of State shall make and publish the decision under subsection (2) within the period of 90 days beginning with                           the receipt of the report of the CMA under section 142.                  

(7)In this section “admissible public interest consideration” means a public interest consideration which—                  

(a)was mentioned in the intervention notice concerned; and                  

(b)was not disregarded by the CMA for the purposes of its report under section 142.”                  

Commencement Information

I724Sch. 10 para. 14 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

15U.K.In section 147 (remedial action by Secretary of State), in the heading, at the beginning, insert “ Restricted PI references: ”.

Commencement Information

I725Sch. 10 para. 15 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

16U.K.After section 147 insert—

### “147AFull PI references: remedial action by Secretary of State

(1)Subsection (2) applies where the Secretary of State has decided under subsection (2) of section 146A within the period required                           by subsection (6) of that section to make an adverse public interest finding in relation to a matter and has published the                           decision within the period so required.                  

(2)The Secretary of State may take such action under section 159 or 161 as the Secretary of State considers to be reasonable                           and practicable to remedy, mitigate or prevent any of the effects adverse to the public interest which have resulted from,                           or may be expected to result from, the features or combinations of features in question.                  

(3)In making a decision under subsection (2), the Secretary of State shall, in particular, have regard to the report of the CMA                           under section 142.                  

(4)In making a decision under subsection (2), the Secretary of State may, in particular, have regard to—                  

(a)the need to achieve as comprehensive a solution as is reasonable and practicable to the effects adverse to the public interest                           concerned; and                  

(b)any detrimental effects on customers so far as resulting from those effects.”                  

Commencement Information

I726Sch. 10 para. 16 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

17(1)Section 148 (reversion of the matter) is amended as follows.U.K.

(2)Omit subsections (3) to (5).

(3)For the heading substitute “ Restricted PI references: reversion of the matter to CMA ”.

Commencement Information

I727Sch. 10 para. 17 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

18U.K.After section 148 insert—

### “148AFull PI references: reversion of the matter to CMA

(1)This section applies if—                  

(a)the Secretary of State decides under section 146A(2) to make no finding at all in the matter; or                  

(b)the Secretary of State fails to make and publish the decision under subsection (2) of section 146A within the period required                           by subsection (6) of that section.                  

(2)The CMA shall proceed under section 138 as if—                  

(a)a reference under section 131 had been made (in accordance with the requirements imposed by this Part) instead of a full PI                           reference; and                  

(b)its report had been prepared and published under section 136 within the period permitted by section 137.                  

(3)The CMA shall publish the report which has been prepared by it under section 142 (if still unpublished) as soon as it becomes                           able to proceed by virtue of subsection (2).                  

(4)In relation to proceedings by virtue of subsection (2), the reference in section 138(3) to decisions of the CMA included in                           its report by virtue of section 134(4) is to be construed as a reference to decisions which were included in the report of                           the CMA by virtue of section 141A(6).                  

(5)Where the CMA becomes under a duty to proceed as mentioned in subsection (2), references in this Part to a reference under                           section 131, so far as necessary, are to be construed accordingly.                  

(6)Where the CMA, in proceeding by virtue of subsection (2), intends to proceed in a way which is not consistent with its decisions                           as included in its report by virtue of section 141A(6), it shall not so proceed without the consent of the Secretary of State.                  

(7)The Secretary of State shall not withhold consent under subsection (6) unless the Secretary of State believes that the proposed                           alternative way of proceeding will operate against the public interest.                  

(8)For the purposes of subsection (7) a proposed alternative way of proceeding will operate against the public interest only                           if any admissible public interest consideration or considerations outweigh the considerations which have led the CMA to propose                           proceeding in that way.                  

(9)In deciding whether to withhold consent under subsection (6), the Secretary of State shall accept the CMA's view of what,                           if the only relevant consideration were how to remedy, mitigate or prevent the adverse effect on competition concerned or                           any detrimental effect on customers so far as resulting from the adverse effect on competition, would be the most appropriate                           way to proceed.                  

(10)In this section “admissible public interest consideration” has the same meaning as in section 146A.”                  

Commencement Information

I728Sch. 10 para. 18 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

19(1)Section 149 (intervention notices under section 139(2)) is amended as follows.U.K.

(2)In subsection (1)(c), for “case” substitute “ proposal to accept the undertaking ”.

(3)In subsection (2), for “case” (in the second place where it occurs) substitute “ proposal to accept the undertaking ”.

Commencement Information

I729Sch. 10 para. 19 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

20U.K.In section 150 (power of veto of Secretary of State: undertakings in lieu), before subsection (1) insert—

“(A1)Where an intervention notice under subsection 139(1) is in force, the CMA shall not, without the consent of the Secretary                           of State, accept any proposed undertaking under section 154 in relation to the matter concerned.”                  

Commencement Information

I730Sch. 10 para. 20 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

21(1)Section 151 (further interaction of intervention notices with general procedure) is amended as follows.U.K.

(2)For subsection (1) substitute—

“(1)Sections 134(1), (1A), (4), (6) and (7), 136(1) to (6), 137(1) to (6), 138 and 138A do not apply in relation to a restricted                           PI reference or a full PI reference.”                  

(3)In subsection (2), for the words from “, the Commission” to the end substitute “ at a time after the Secretary of State has made a restricted PI reference or a full PI reference, the CMA shall proceed                           as if the reference concerned had instead been made under section 131 (in accordance with the requirements imposed by this                           Part). ”

(4)In subsection (4), for the words from “, the Commission shall” to the end substitute “ , the CMA shall proceed as if the restricted PI reference or (as the case may be) the full PI reference concerned had instead                           been made by the CMA under section 131 (in accordance with the requirements imposed by this Part). ”

(5)For the heading, substitute “ Public interest intervention cases: interaction with general procedure ”.

Commencement Information

I731Sch. 10 para. 21 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

22U.K.In section 152 (certain duties in relation to providing information), omit subsection (2).

Commencement Information

I732Sch. 10 para. 22 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

23U.K.In section 155 (undertakings in lieu: procedural requirements), in subsection (3)(a), at the end insert “ or (but for the effect of section 140A(3)) it would have had power to make and which it would otherwise have intended to                           make ”.

Commencement Information

I733Sch. 10 para. 23 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

24(1)Section 157 (interim undertakings: Part 4) is amended as follows.U.K.

(2)In subsection (1)(b), after “143(3)” insert “ or (as the case may be) 143A(3) ”.

(3)In subsection (6)—

(a)in the definition of “pre-emptive action”, for “or (as the case may be) 147(2)” substitute “ , 147(2) or (as the case may be) 147A(2) ”, and

(b)for the definition of “relevant authority” substitute—

““the relevant authority” means—                  

(a)in the case of a restricted PI reference or a full PI reference, the Secretary of State;                  

(b)in any other case, the CMA.”                  

Commencement Information

I734Sch. 10 para. 24 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

25U.K.In section 158 (interim orders: Part 4), in subsection (1)(b), after “143(3)” insert “ or (as the case may be) 143A(3) ”.

Commencement Information

I735Sch. 10 para. 25 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

26U.K.In section 159 (final undertakings: Part 4), in subsection (2), after “147” insert “ or (as the case may be) 147A ”.

Commencement Information

I736Sch. 10 para. 26 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

27(1)Section 160 (order-making power where final undertakings not fulfilled: Part 4) is amended as follows.U.K.

(2)In subsection (2), for “or (as the case may be) 147(2)” substitute “ , 147(2) or (as the case may be) 147A(2) ”.

(3)In subsection (3), for “or (as the case may be) 147” substitute “ or 147 or (as the case may be) subsections (3) and (4) of section 147A ”.

Commencement Information

I737Sch. 10 para. 27 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

28U.K.In section 161 (final orders: Part 4), in subsection (2), after “147” insert “ or (as the case may be) 147A ”.

Commencement Information

I738Sch. 10 para. 28 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

29U.K.In section 169 (certain duties of relevant authorities to consult: Part 4), in subsection (6)—

(a)in the definition of “relevant authority”, at the end insert “ or the Secretary of State ”,

(b)in the definition of “relevant decision”, in paragraph (b), after “appropriate Minister” (in the first place where it occurs)                        insert “ (other than the Secretary of State acting alone) ”, and

(c)also in that definition, after paragraph (b) insert—
          -  “in the case of the Secretary of State, any decision by the Secretary of State—                          (i)
to make a reference under section 132;                                 
(ii)
to vary under section 135 such a reference;                                 
(iii)
in a case where the Secretary of State is required to make a reference under section 140A, whether to make a reference under                                       subsection (5) or (6) of that section; or                                 
(iv)
to vary under section 140B a reference made under section 140A(6).”                                 
 

Commencement Information

I739Sch. 10 para. 29 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

30(1)Section 172 (further publicity requirements: Part 4) is amended as follows.U.K.

(2)In subsection (1), in paragraph (a), after “section 131” insert “ , other than a reference treated as so made by virtue of section 140A(5)(b) ”.

(3)In subsection (2), omit paragraph (d).

(4)In subsection (3)—

(a)after paragraph (d) insert—

“(da)any reference made by him under section 140A(5) or (6);                  

(db)any variation made by him under section 140B of a reference under section 140A(6);”, and                  

(b)in paragraph (e), after “147(2)” insert “ or (as the case may be) 147A(2) ”.

(5)In subsection (7), omit “or (2)(d)”.

(6)In subsection (7A) (inserted by Schedule 12), at the end insert “ or (3)(da) ”.

(7)In subsection (8), in paragraph (a), after “146(2)” insert “ or 146A(2) ”.

(8)In subsection (10), after “147(2)” insert “ or 147A(2) ”.

Commencement Information

I740Sch. 10 para. 30 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

31U.K.In section 177 (excisions from reports: Part 4), in subsection (5), omit “, 143(2) and (5) to (7), 148(3) to (5)”.

Commencement Information

I741Sch. 10 para. 31 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

32(1)Section 183 (interpretation: Part 4) is amended as follows.U.K.

(2)In subsection (3), in paragraph (a), for the words before sub-paragraph (i) substitute “ where the reference is made under section 131 or 132— ”.

(3)In that subsection, in paragraph (b)—

(a)for the words before sub-paragraph (i) substitute “ where the reference is a restricted PI reference or a full PI reference— ”,

(b)in sub-paragraph (i), after “143(1) or (3)” insert “ or (as the case may be) 143A(2) or (3) ”,

(c)in sub-paragraph (ii), omit “(disregarding the fact that the notice was given)”,

(d)in sub-paragraph (iii), after “143(1)” insert “ or (as the case may be) 143A(2) ”,

(e)in sub-paragraph (iv), omit “(disregarding the fact that the notice was given)”,

(f)for sub-paragraph (v) substitute—

“(v)the Secretary of State has failed to make and publish a decision under subsection (2) of section 146 within the period permitted                           by subsection (3) of that section or (as the case may be) under subsection (2) of section 146A within the period permitted                           by subsection (6) of that section and the reference is finally determined under paragraph (a) above;”,                  

(g)in sub-paragraph (vi), omit “(disregarding the fact that the notice was given)”,

(h)after sub-paragraph (vi) insert—

“(via)the Secretary of State has made no finding at all under section 146A(2) and the reference is finally determined under paragraph                           (a) above;”,                  

(i)omit the “or” after sub-paragraph (vii),

(j)after sub-paragraph (vii) insert—

“(viia)the Secretary of State has made an adverse public interest finding under section 146A(2) but has decided under section 147A(2)                           neither to accept an undertaking under section 159 nor to make an order under section 161;”, and                  

(k)after sub-paragraph (viii) insert “; or 

(ix)the Secretary of State has made an adverse public interest finding under section 146A(2) and has accepted an undertaking under                           section 159 or made an order under section 161.”                  

(4)In subsection (4)(c), after “(b)(viii)” insert “ or (ix) ”.

(5)In subsection (5), for “or (vi)” substitute “ , (vi) or (via) ”.

(6)In subsection (6), after “(b)(viii)” insert “ and (ix) ”.

Commencement Information

I742Sch. 10 para. 32 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

33(1)Section 184 (index of defined expressions in Part 4) is amended as follows.U.K.

(2)After the entry in the table for “Adverse effect on competition” insert—

(3)After the entry in the table for “Final determination of market investigation reference” insert—

(4)After the entry in the table for “Public interest consideration being finalised” insert—

(5)Before the entry in the table for “subordinate legislation” insert—

Commencement Information

I743Sch. 10 para. 33 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

 Section 36(8)

## SCHEDULE 11U.K.Markets: investigation powers

### Enforcement of investigation powersU.K.

1U.K.After section 174 of the 2002 Act insert—

#### “174AEnforcement of powers under section 174: general

(1)Where the CMA considers that a person has, without reasonable excuse, failed to comply with any requirement of a notice under                           section 174, it may impose a penalty in accordance with section 174D.                  

(2)The CMA may proceed (whether at the same time or at different times) under subsection (1) and section 138A(3) in relation                           to the same failure.                  

(3)Where the CMA considers that a person has intentionally obstructed or delayed another person in the exercise of its powers                           under section 174(7), it may impose a penalty in accordance with section 174D.                  

(4)A person commits an offence if the person intentionally alters, suppresses or destroys any document which the person has been                           required to produce by a notice under section 174.                  

(5)But a person does not commit an offence under subsection (4) in relation to any act which constitutes a failure to comply                           with a notice under section 174 if the CMA has proceeded against the person under subsection (1) in relation to that failure.                  

(6)A person who commits an offence under subsection (4) 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 2 years or to a fine or to both.                  

(7)The CMA shall not proceed against a person under subsection (1) in relation to an act which constitutes an offence under subsection                           (4) if that person has been found guilty of that offence.                  

(8)In deciding whether and, if so, how to proceed under subsection (1) or (3) or section 138A(3), the CMA shall have regard to                           the statement of policy which was most recently published under section 174E at the time the failure or (as the case may be)                           the obstruction or delay concerned occurred.                  

(9)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; and                  

(b)the reference to suppressing a document includes a reference to destroying the means of reproducing information recorded otherwise                           than in legible form.                  

#### 174BRestriction on powers to impose penalties under section 174A

(1)No penalty shall be imposed by virtue of section 174A(1) or (3) if more than 4 weeks have passed since the day which is the                           relevant day in the case in question; but this subsection shall not apply in relation to any variation or substitution of                           the penalty which is permitted by virtue of this Part.                  

(2)In the following provisions of this section, “the section 174 power” means the power under section 174 to which the failure or (as the case may be) the obstruction or delay in question relates.                  

(3)Where the section 174 power is exercised for the purpose mentioned in section 174(1)(a), the relevant day is the day when                           the CMA finally concludes the carrying out of its section 5 functions.                  

(4)Where the section 174 power is exercised in connection with an enforcement function (within the meaning of that section),                           the relevant day is the day when the enforcement undertaking concerned is superseded or released or (as the case may be) the                           enforcement order concerned is revoked.                  

(5)Except where subsection (3) or (4) applies, the relevant day is the day determined in accordance with the following provisions                           of this section.                  

(6)Where the section 174 power is exercised for the purpose mentioned in section 174(1)(b) in connection with a matter that is                           the subject of a possible reference under section 131, the relevant day is the day when the CMA finally decides whether to                           make the reference.                  

(7)Where the section 174 power is exercised for the purpose mentioned in section 174(1)(b) in connection with a matter that is                           the subject of a reference under section 131 or 132, the relevant day is the day when the reference is finally determined                           (see section 183).                  

(8)Where the section 174 power is exercised for the purpose mentioned in section 174(1)(c) in connection with a matter that is                           the subject of a possible reference under section 140A(5) or (6), the relevant day is the day when the Secretary of State                           makes the reference.                  

(9)Where the section 174 power is exercised for the purpose mentioned in section 174(1)(c) in connection with a matter that is                           the subject of a reference under section 140A(6), the relevant day is the day when the reference is finally determined (see                           section 183).                  

#### 174CSection 174B: supplementary provision

(1)For the purpose of section 174B(3), the CMA finally concludes the carrying out of its section 5 functions if—                  

(a)the CMA publishes the market study report under section 131B(4) or (as the case may be) gives it to the Secretary of State                           under section 140A(3)(b); or                  

(b)the period permitted for the preparation by the CMA of the market study report and for the report to be published under section                           131B(4) or (as the case may be) given to the Secretary of State under section 140A(3)(b) expires and no such report has been                           so prepared or no such action has been taken.                  

(2)For the purpose of section 174B(3), the time when the CMA finally concludes the carrying out of its section 5 functions is—                  

(a)in a case falling within subsection (1)(a), the publication of the report or (as the case may be) the giving of it to the                           Secretary of State;                  

(b)in a case falling within subsection (1)(b), the expiry of the period concerned.                  

(3)For the purpose of section 174B(6), the CMA finally decides whether to make a reference under section 131 if—                  

(a)the CMA makes such a reference;                  

(b)the CMA accepts an undertaking under section 154 instead of making such a reference;                  

(c)the CMA publishes notice that it has otherwise decided not to make such a reference; or                  

(d)the period permitted for the preparation by the CMA of a market study report in relation to the matter and for the report                           to be published under section 131B(4) has expired and no such report has been so prepared or published.                  

(4)For the purpose of section 174B(6), the time when the CMA finally decides whether to make a reference under section 131 is—                  

(a)in a case falling within subsection (3)(a), the making of the reference;                  

(b)in a case falling within subsection (3)(b), the acceptance of the undertaking concerned;                  

(c)in a case falling within subsection (3)(c), the publication of the notice concerned;                  

(d)in a case falling within subsection (3)(d), the expiry of the period concerned.                  

(5)In subsection (4)(b) the reference to the acceptance of the undertaking concerned shall, in a case where the CMA has accepted                           a group of undertakings under section 154, be treated as a reference to the acceptance of the last undertaking in the group;                           but undertakings which vary, supersede or revoke earlier undertakings shall be disregarded for the purposes of subsections                           (3)(b) and (4)(b).                  

#### 174DPenalties

(1)A penalty imposed under section 174A(1) or (3) shall be of such amount as the CMA considers appropriate.                  

(2)In the case of a penalty imposed under section 174A(1), the amount 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.                  

(3)In the case of a penalty imposed under section 174A(3), the amount shall be a fixed amount.                  

(4)A penalty imposed under section 174A(1) shall not—                  

(a)in the case of a fixed amount, exceed such amount as the Secretary of State may by order specify;                  

(b)in the case of an amount calculated by reference to a daily rate, exceed such amount per day as the Secretary of State may                           so specify; and                  

(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 as the Secretary of State may so specify.                  

(5)A penalty imposed under section 174A(3) shall not exceed such amount as the Secretary of State may by order specify.                  

(6)An order under subsection (4) or (5) shall not specify—                  

(a)in the case of a fixed amount, an amount exceeding £30,000;                  

(b)in the case of an amount calculated by reference to a daily rate, an amount per day exceeding £15,000; and                  

(c)in the case of a fixed amount and an amount calculated by reference to a daily rate, a fixed amount exceeding £30,000 and                           an amount per day exceeding £15,000.                  

(7)Before making an order under subsection (4) or (5), the Secretary of State shall consult—                  

(a)the CMA; and                  

(b)such other persons as the Secretary of State considers appropriate.                  

(8)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 notice of the penalty under section 112                           (as applied by subsection (10)); 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 (9).                  

(9)Those days are—                  

(a)the day on which the requirement of the notice concerned under section 174 is satisfied;                  

(b)the day which is the relevant day in the case in question for the purposes of section 174B.                  

(10)Sections 112 to 115 apply in relation to a penalty imposed under section 174A(1) or (3) as they apply in relation to a penalty                           imposed under section 110(1) or (3).                  

#### 174EStatement of policy on penalties

(1)The CMA shall prepare and publish a statement of policy in relation to the enforcement of notices given under section 174.                  

(2)The statement shall, in particular, include a statement about the considerations relevant to the determination of the nature                           and amount of any penalty imposed under section 174A(1) or (3).                  

(3)The CMA may revise its statement of policy and, where it does so, it shall publish the revised statement.                  

(4)The CMA shall consult such persons as it considers appropriate when preparing or revising its statement of policy.”                  

Commencement Information

I744Sch. 11 para. 1 partly in force; sch. 11 para. 1 in force for specified purposes at Royal Assent, see s.103(1)(i)

I745Sch. 11 para. 1 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

### Investigation powers: miscellaneous consequential amendmentsU.K.

2U.K.Part 4 of the 2002 Act (market investigations) is amended as follows.

Commencement Information

I746Sch. 11 para. 2 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

3U.K.Omit section 175 (enforcement of powers under section 174: offences).

Commencement Information

I747Sch. 11 para. 3 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

4U.K.Omit section 176 (investigation powers of the Commission).

Commencement Information

I748Sch. 11 para. 4 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

5U.K.In section 179 (review of decisions under Part 4), in subsection (2)(a), for “section 110(1) or (3) as applied by section                        176” substitute “ section 174A(1) or (3) ”.

Commencement Information

I749Sch. 11 para. 5 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

6(1)Section 181 (orders under Part 4) is amended as follows.U.K.

(2)In subsection (4), for the words from “or 161,” to “section 176” substitute “ , 161, 174D(4) or (5), or under section 114(3)(b) or (4)(b) as applied by section 174D ”.

(3)In subsection (10)—

(a)omit “111(4) or (6) or”, and

(b)for “176” substitute “ 174D ”.

Commencement Information

I750Sch. 11 para. 6 partly in force; sch. 11 para. 6 in force for specified purposes at Royal Assent, see s.103(1)(i)

I751Sch. 11 para. 6 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

 Section 38

## SCHEDULE 12U.K.Markets: time-limits

### Market studies and decisions whether to make a reference under section 131U.K.

1U.K.Before section 131 of the 2002 Act (power to make market investigation references) insert—

#### “Market studiesU.K.

##### 130ADuty to publish market study notice

(1)Where the CMA is proposing to carry out its functions under section 5 in relation to a matter for the purposes mentioned in                           subsection (2), the CMA must publish a notice under this section (referred to in this Part as a “market study notice”).                  

(2)The purposes are—                  

(a)to consider the extent to which a matter in relation to the acquisition or supply of goods or services of one or more than                           one description in the United Kingdom has or may have effects adverse to the interests of consumers; and                  

(b)to assess the extent to which steps can and should be taken to remedy, mitigate or prevent any such adverse effects.                  

(3)A market study notice shall, in particular, specify—                  

(a)the matter in relation to which the CMA is proposing to carry out its functions under section 5;                  

(b)the period during which representations may be made to the CMA in relation to the matter; and                  

(c)the dates by which the CMA is required to comply with the requirements imposed on it by sections 131A and 131B.”                  

Commencement Information

I752Sch. 12 para. 1 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

2U.K.After section 131 of that Act insert—

#### “131ADecisions about references under section 131: consultation

(1)This section applies to a case where the CMA has published a market study notice and—                  

(a)the CMA is proposing to make a reference under section 131 in relation to the matter specified in the notice; or                  

(b)a representation has been made to the CMA within the period specified in the notice under section 130A(3)(b) to the effect                           that such a reference should be made but the CMA is proposing not to make such a reference.                  

(2)The CMA shall—                  

(a)publish notice of the proposal concerned; and                  

(b)consult the relevant persons about the proposal, in such manner as it considers practicable, before deciding whether to make                           a reference.                  

(3)The CMA may, for the purposes of subsection (1), ignore any representation which it considers to be frivolous or vexatious.                  

(4)For the purposes of subsection (2), a person is a “relevant person” if the CMA considers that its decision whether to make                           a reference is likely to have a substantial impact on the person's interests.                  

(5)In consulting a person for the purposes of this section, the CMA shall, so far as practicable, give its reasons for the proposal.                  

(6)In considering what is practicable for the purposes of this section, the CMA shall, in particular, have regard to—                  

(a)the restrictions imposed by the time-table for making the decision (see section 131B); and                  

(b)any need to keep what is proposed, or the reasons for it, confidential.                  

#### 131BMarket studies and the making of decisions to refer: time-limits

(1)Where the CMA has published a market study notice in a case to which section 131A applies, the CMA shall, within the period                           of 6 months beginning with the date on which it publishes the notice—                  

(a)publish the notice under section 131A(2)(a); and                  

(b)begin the process of consultation under section 131A(2)(b) (but the CMA need not complete the process within that period).                  

(2)Subsection (3) applies where—                  

(a)the CMA has published a market study notice;                  

(b)no representation has been made to the CMA within the period specified in the notice under section 130A(3)(b) to the effect                           that a reference under section 131 should be made in relation to the matter specified in the notice; and                  

(c)the CMA has decided not to make such a reference.                  

(3)The CMA shall, within the period of 6 months beginning with the date on which it publishes the market study notice, publish                           notice of the decision not to make a reference.                  

(4)Where the CMA has published a market study notice it shall, within the period of 12 months beginning with the date on which                           it publishes the notice, prepare and publish a report (referred to in this Part as a “market study report”) which sets out—                  

(a)the findings of the CMA in relation to the matter specified in the notice; and                  

(b)the action (if any) which the CMA proposes to take in relation to the matter.                  

(5)In a case to which section 131A applies, the market study report shall, in particular, contain—                  

(a)the decision of the CMA to make a reference under section 131 in relation to the matter specified in the market study notice,                           the decision to accept an undertaking under section 154 instead of making such a reference or (as the case may be) the decision                           otherwise not to make such a reference;                  

(b)the CMA's reasons for the decision; and                  

(c)such information as the CMA considers appropriate for facilitating a proper understanding of its reasons for the decision.                  

(6)Where a market study report contains a decision of the CMA to make a reference under section 131 in relation to a matter,                           the CMA shall, at the same time as it publishes the report, make the reference.                  

(7)This section is subject to section 140A (duty of Secretary of State to refer in public interest intervention cases).                  

#### 131CTime-limits under section 131B: supplementary

(1)The Secretary of State may by order amend section 131B so as to alter one or more of the following periods—                  

(a)the period of 6 months mentioned in subsection (1) or (3) or any period for the time being mentioned in either of those subsections                           in substitution for that period;                  

(b)the period of 12 months mentioned in subsection (4) or any period for the time being there mentioned in substitution for that                           period.                  

(2)But no alteration may be made by virtue of subsection (1) which results in—                  

(a)the period for the time being mentioned in subsection (1) or (3) exceeding 6 months; or                  

(b)the period for the time being mentioned in subsection (4) exceeding 12 months.                  

(3)Before making an order under this section the Secretary of State shall consult the CMA and such other persons as the Secretary                           of State considers appropriate.”                  

Commencement Information

I753Sch. 12 para. 2 partly in force; sch. 12 para. 2 in force for specified purposes at Royal Assent, see s.103(1)(i)

I754Sch. 12 para. 2 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

### Market investigations and reportsU.K.

3(1)Section 137 of the 2002 Act (time-limits for market investigations and reports) is amended as follows.U.K.

(2)In subsection (1), for “two years” substitute “ 18 months ”.

(3)After subsection (2) insert—

“(2A)The CMA may extend, by no more than 6 months, the period within which its report under section 136 is to be prepared and published                           if it considers that there are special reasons for doing so.                  

(2B)An extension under subsection (2A) shall come into force when published under section 172.                  

(2C)No more than one extension is possible under subsection (2A).”                  

(4)For subsection (3) substitute—

“(3)The Secretary of State may by order amend this section so as to alter one or more of the following periods—                  

(a)the period of 18 months mentioned in subsection (1) or any period for the time being there mentioned in substitution for that                           period;                  

(b)the period of 6 months mentioned in subsection (2A) or any period for the time being there mentioned in substitution for that                           period.”                  

(5)For subsection (4) substitute—

“(4)But no alteration shall be made by virtue of subsection (3) which results in—                  

(a)the period for the time being mentioned in subsection (1) exceeding 18 months; or                  

(b)the period for the time being mentioned in subsection (2A) exceeding 6 months.”                  

Commencement Information

I755Sch. 12 para. 3 partly in force; sch. 12 para. 3 in force for specified purposes at Royal Assent, see s.103(1)(i)

I756Sch. 12 para. 3 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

### Remedies implementationU.K.

4U.K.In section 138 of the 2002 Act (duty to remedy adverse effects), in subsection (2), after “shall,” insert “ within the period permitted by section 138A, ”.

Commencement Information

I757Sch. 12 para. 4 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

5U.K.After section 138 of that Act insert—

#### “138ATime-limits for discharging duty under section 138

(1)The CMA shall discharge its duty under section 138(2) within the period of 6 months beginning with the date on which it publishes                           the report concerned under section 136.                  

(2)The CMA may extend, by no more than 4 months, the period within which its duty under section 138(2) is required to be discharged                           if it considers that there are special reasons for doing so.                  

(3)The CMA may extend the period within which its duty under section 138(2) is required to be discharged if it considers that—                  

(a)a person has failed (whether with or without reasonable excuse) to comply with any requirement of a notice under section 174                           which was given in relation to the reference; and                  

(b)the failure is preventing the CMA from properly discharging its duty under section 138(2).                  

(4)An extension under subsection (2) or (3) shall come into force when published under section 172.                  

(5)An extension under subsection (3) continues in force until—                  

(a)the person concerned provides the information or documents to the satisfaction of the CMA or (as the case may be) appears                           as a witness in accordance with the requirements of the CMA; or                  

(b)the CMA publishes its decision to cancel the extension.                  

#### 138BSection 138A: supplementary

(1)A period extended under section 138A(2) may also be extended under section 138A(3), and a period extended under section 138A(3)                           may also be extended under section 138A(2).                  

(2)No more than one extension is possible under section 138A(2).                  

(3)Where a period is extended or further extended under section 138A(2) or (3), the period as extended or (as the case may be)                           further extended shall, subject to subsections (4) and (5), be calculated by taking the period being extended and adding to                           it the period of the extension (whether or not those periods overlap in time).                  

(4)Subsection (5) applies where—                  

(a)the period within which the CMA shall discharge its duty under section 138(2) is further extended;                  

(b)the further extension and at least one previous extension is made under section 138A(3); and                  

(c)the same days or fractions of days are included in or comprise the further extension and are included in or comprise at least                           one such previous extension.                  

(5)In calculating the period of the further extension, any days or fractions of days of the kind mentioned in subsection (4)(c)                           shall be disregarded.                  

(6)The Secretary of State may by order amend section 138A so as to alter one or more of the following periods—                  

(a)the period of 6 months mentioned in subsection (1) or any period for the time being there mentioned in substitution for that                           period;                  

(b)the period of 4 months mentioned in subsection (2) or any period for the time being there mentioned in substitution for that                           period.                  

(7)But no alteration shall be made by virtue of subsection (6) which results in—                  

(a)the period for the time being mentioned in section 138A(1) exceeding 6 months; or                  

(b)the period for the time being mentioned in section 138A(2) exceeding 4 months.                  

(8)Before making an order under subsection (6) the Secretary of State shall consult the CMA and such other persons as the Secretary                           of State considers appropriate.”                  

Commencement Information

I758Sch. 12 para. 5 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

### Time-limits: public interest intervention casesU.K.

6(1)Section 144 of the 2002 Act (time-limits for investigations and reports in public interest intervention cases) is amended                        as follows.U.K.

(2)In subsection (1), for “two years” substitute “ 18 months ”.

(3)After subsection (1A) (inserted by Schedule 10) insert—

“(1B)The CMA may extend, by no more than 6 months, the period within which its report under section 142 is to be prepared and action                           is to be taken in relation to it under section 143(1) or (3) or (as the case may be) 143A(2) or (3) if it considers that there                           are special reasons for doing so.                  

(1C)An extension under subsection (1B) shall come into force when published under section 172.                  

(1D)No more than one extension is possible under subsection (1B).”                  

(4)In subsection (2)—

(a)after “amend” insert “— 

(a)”,

(b)for “two years” substitute “ 18 months ”, and

(c)at the end insert “; 

(b)subsection (1B) so as to alter the period of 6 months mentioned in that subsection or any period for the time being mentioned                           in that subsection in substitution for that period.”                  

(5)In subsection (3)—

(a)after “results in” insert “— 

(a)”,

(b)for “two years” substitute “ 18 months ”, and

(c)at the end insert “;or 

(b)the period for the time being mentioned in subsection (1B) exceeding 6 months.”                  

Commencement Information

I759Sch. 12 para. 6 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

### Time-limits: consequential and other minor amendmentsU.K.

7U.K.Part 4 of the 2002 Act (market investigations) is amended as follows.

Commencement Information

I760Sch. 12 para. 7 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

8U.K.In the heading of that Part, at the beginning insert “ Market Studies and ”.

Commencement Information

I761Sch. 12 para. 8 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

9U.K.In the heading of Chapter 1, at the beginning insert “ Market Studies and ”.

Commencement Information

I762Sch. 12 para. 9 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

10(1)Section 132 (ministerial power to make references) is amended as follows.U.K.

(2)In subsection (1)—

(a)after “services” insert “— 

(a)”, and

(b)at the end insert “; and 

(b)in a case in which the CMA has published a market study notice under section 130A, the period permitted by section 131B for                           the preparation and publication by the CMA of the market study report has expired.”                  

(3)In subsection (2)(b), for “to make such a reference” substitute “ to publish a market study notice in relation to the matter concerned ”.

Commencement Information

I763Sch. 12 para. 10 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

11U.K.In section 135 (variation of references), omit subsection (4).

Commencement Information

I764Sch. 12 para. 11 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

12U.K.In section 156 (effect of undertakings under section 154), after subsection (2) insert—

“(3)The expiry of the period mentioned in section 131B(4) does not prevent the making of a market investigation reference if the                           CMA has accepted an undertaking or group of undertakings under section 154 and—                  

(a)the CMA considers that any undertaking concerned has been breached and has given notice of that fact to the person responsible                           for giving the undertaking; or                  

(b)the person responsible for giving any undertaking concerned supplied, in connection with the matter, information to the OFT                           which was false or misleading in a material respect.”                  

Commencement Information

I765Sch. 12 para. 12 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

13U.K.In section 169 (certain duties of relevant authorities to consult: Part 4), in subsection (6), in the definition of “relevant                        decision”—

(a)in paragraph (a), for sub-paragraph (i) substitute—

“(i)to make a reference under section 131 in a case where the CMA has not published a market study notice under section 130A in                           relation to the matter concerned;                  

(ia)as to whether to accept undertakings under section 154 instead of making any reference under section 131;”, and                  

(b)in paragraph (b)(i), omit “as to whether”.

Commencement Information

I766Sch. 12 para. 13 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

14(1)Section 172 (further publicity requirements: Part 4) is amended as follows.U.K.

(2)In subsection (1), after paragraph (a) insert—

“(aa)any decision not to make a reference under section 131 following a consultation in relation to the matter concerned under                           section 169;”.                  

(3)In subsection (2)—

(a)before paragraph (a) insert—

“(za)any extension by it under section 137 of the period within which a report under section 136 is to be prepared and published;                  

(zb)any extension by it under section 138A of the period within which its duty under section 138(2) is to be discharged;”, and                  

(b)after paragraph (b) insert—

“(ba)any extension by it under section 144 of the period within which a report under section 142 is to be prepared and action is                           to be taken in relation to it;”.                  

(4)After subsection (7) insert—

“(7A)Subsection (6) shall not apply in relation to any case falling within subsection (1)(a).”                  

Commencement Information

I767Sch. 12 para. 14 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

15U.K.In section 179 (review of decisions under Part 4), in subsection (2), before paragraph (a) insert—

“(za)does not include a decision whether to carry out functions under section 5 in a case where the CMA is, or would have been,                           required to publish a market study notice (see section 130A(1));”.                  

Commencement Information

I768Sch. 12 para. 17 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

16(1)Section 181 (orders under Part 4) is amended as follows.U.K.

(2)In subsection (3), for “136(9), 137(3)” substitute “ 131C(1), 136(9), 137(3), 138B(6) ”.

(3)In subsection (4), for “137(3)” substitute “ 131C(1), 137(3), 138B(6) ”.

Commencement Information

I769Sch. 12 para. 16 in force for specified purposes at Royal Assent, see s.103(1)(i)

I770Sch. 12 para. 16 in force at 1.4.2014 in so far as not already in force by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

17U.K.In section 184 (index of defined expressions in Part 4), after the entry in the table for “market investigation reference”                        insert—

Commencement Information

I768Sch. 12 para. 17 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

 Section 41

## SCHEDULE 13U.K.Extension of powers to issue warrants under the 1998 Act to CAT

1U.K.The 1998 Act is amended as follows.

Commencement Information

I771Sch. 13 para. 1 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

2(1)Section 28 (power to enter business premises under a warrant) is amended as follows.U.K.

(2)In subsection (1), for the words before paragraph (a) substitute “ On an application made to it by the CMA, the court or the Tribunal may issue a warrant if it is satisfied that— ”.

(3)In subsection (3), for “the judge” substitute “ the court or (as the case may be) the Tribunal ”.

(4)After subsection (7) insert—

“(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.”                  

Commencement Information

I772Sch. 13 para. 2 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

3(1)Section 28A (power to enter domestic premises under a warrant) is amended as follows.U.K.

(2)In subsection (1), for the words before paragraph (a) substitute “ On an application made to it by the CMA, the court or the Tribunal may issue a warrant if it is satisfied that— ”.

(3)In subsection (3), for “the judge” substitute “ the court or (as the case may be) the Tribunal ”.

(4)After subsection (8) insert—

“(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.”                  

Commencement Information

I773Sch. 13 para. 3 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

4U.K.In section 61 (interpretation of Part 2), after the definition of “the Treaty” insert—

““the Tribunal” means the Competition Appeal Tribunal;”                  

“Tribunal rules” means rules under section 15 of the Enterprise Act 2002.””.                  

Commencement Information

I774Sch. 13 para. 4 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

5(1)Section 62 (power to enter business premises under a warrant: Article 20 inspections) is amended as follows.U.K.

(2)In subsection (1), for the words before paragraph (a) substitute “ On an application made to it by the CMA, the High Court or the Tribunal must issue a warrant if it is satisfied that— ”.

(3)After subsection (8) insert—

“(8A)An application for a warrant under this section must be made—                  

(a)in the case of an application to the High Court, in accordance with rules of court;                  

(b)in the case of an application to the Tribunal, in accordance with Tribunal rules.”                  

Commencement Information

I775Sch. 13 para. 5 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

6(1)Section 62A (power to enter non-business premises under a warrant: Article 21 inspections) is amended as follows.U.K.

(2)In subsection (1), for the words before paragraph (a) substitute “ On an application made to it by the CMA, the High Court or the Tribunal must issue a warrant if it is satisfied that— ”.

(3)After subsection (10) insert—

“(10A)An application for a warrant under this section must be made—                  

(a)in the case of an application to the High Court, in accordance with rules of court;                  

(b)in the case of an application to the Tribunal, in accordance with Tribunal rules.”                  

Commencement Information

I776Sch. 13 para. 6 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

7(1)Section 63 (power to enter business premises under a warrant: Article 22(2) inspections) is amended as follows.U.K.

(2)In subsection (1), for the words before paragraph (a) substitute “ On an application made to it by the CMA, the High Court or the Tribunal must issue a warrant if it is satisfied that— ”.

(3)After subsection (8) insert—

“(8A)An application for a warrant under this section must be made—                  

(a)in the case of an application to the High Court, in accordance with rules of court;                  

(b)in the case of an application to the Tribunal, in accordance with Tribunal rules.”                  

Commencement Information

I777Sch. 13 para. 7 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

8U.K.In section 65C (interpretation of Part 2A), in subsection (2), after the entry for “the Treaty” (but before the “and” following                        it) insert—

““the Tribunal;”                  

“Tribunal rules;””.                  

Commencement Information

I778Sch. 13 para. 8 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

9(1)Section 65G (power to enter business premises under a warrant: Article 22(1) investigations) is amended as follows.U.K.

(2)In subsection (1), for the words before paragraph (a) substitute “ On an application made to it by the CMA, the court or the Tribunal may issue a warrant if it is satisfied that— ”.

(3)In subsection (3), for “the judge” substitute “ the court or (as the case may be) the Tribunal ”.

(4)After subsection (8) insert—

“(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.”                  

Commencement Information

I779Sch. 13 para. 9 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

10(1)Section 65H (power to enter domestic premises under a warrant: Article 22(1) investigations) is amended as follows.U.K.

(2)In subsection (1), for the words before paragraph (a) substitute “ On an application made to it by the CMA, the court or the Tribunal may issue a warrant if it is satisfied that— ”.

(3)In subsection (3), for “the judge” substitute “ the court or (as the case may be) the Tribunal ”.

(4)After subsection (8) insert—

“(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.”                  

Commencement Information

I780Sch. 13 para. 10 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(d)** (with Sch.)

 Section 51(5)

## SCHEDULE 14U.K.Regulators: use of powers under the 1998 Act

### Gas Act 1986 (c. 44)E+W+S

1E+W+SThe Gas Act 1986 is amended as follows.

Commencement Information

I781Sch. 14 para. 1 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

2(1)Section 28 (orders for securing compliance) is amended as follows.E+W+S

(2)In subsections (1), (2) and (4), for “(5) and” (in each place where it occurs) substitute “ (4A) to ”.

(3)After subsection (4) insert—

“(4A)Before making a final order or making or confirming a provisional order, the Authority shall consider whether it would be                           more appropriate to proceed under the Competition Act 1998.                  

(4B)The Authority shall not make a final order or make or confirm a provisional order if it considers that it would be more appropriate                           to proceed under the Competition Act 1998.”                  

(4)In subsection (5), omit paragraph (c) and the “or” preceding it.

(5)In subsection (6)—

(a)in the words before paragraph (a), after “the Authority” insert “ decides that it would be more appropriate to proceed under the Competition Act 1998 or ”, and

(b)in paragraph (a), after “that it” insert “ has so decided or ”.

Commencement Information

I782Sch. 14 para. 2 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

3E+W+SIn section 30A (penalties), for subsection (2) substitute—

“(2)Before imposing a penalty on a regulated person under subsection (1), the Authority shall consider whether it would be more                           appropriate to proceed under the Competition Act 1998.                  

(2A)The Authority shall not impose a penalty on a regulated person under subsection (1) if it considers that it would be more                           appropriate to proceed under the Competition Act 1998.”                  

Commencement Information

I783Sch. 14 para. 3 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

### Electricity Act 1989 (c. 29)E+W+S

4E+W+SThe Electricity Act 1989 is amended as follows.

Commencement Information

I784Sch. 14 para. 4 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

5(1)Section 25 (orders for securing compliance) is amended as follows.E+W+S

(2)In subsections (1), (2) and (4), for “(5) and” (in each place where it occurs) substitute “ (4A) to ”.

(3)After subsection (4) insert—

“(4A)Before making a final order or making or confirming a provisional order, the Authority shall consider whether it would be                           more appropriate to proceed under the Competition Act 1998.                  

(4B)The Authority shall not make a final order or make or confirm a provisional order if it considers that it would be more appropriate                           to proceed under the Competition Act 1998.”                  

(4)In subsection (5), omit paragraph (d) and the “or” preceding it.

(5)In subsection (6)—

(a)in the words before paragraph (a), after “the Authority” insert “ decides that it would be more appropriate to proceed under the Competition Act 1998 or ”, and

(b)in paragraph (a), after “that it” insert “ has so decided or ”.

Commencement Information

I785Sch. 14 para. 5 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

6E+W+SIn section 27A (penalties), for subsection (2) substitute—

“(2)Before imposing a penalty on a regulated person under subsection (1), the Authority shall consider whether it would be more                           appropriate to proceed under the Competition Act 1998.                  

(2A)The Authority shall not impose a penalty on a regulated person under subsection (1) if it considers that it would be more                           appropriate to proceed under the Competition Act 1998.”                  

Commencement Information

I786Sch. 14 para. 6 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

7E+W+SIn section 43 (functions with respect to competition), in subsection (6), for the words from the beginning to “(3) above”                        substitute “ If any question arises as to whether subsection (2) or (3) above applies to any particular case ”.

Commencement Information

I787Sch. 14 para. 7 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

### Water Industry Act 1991 (c. 56)E+W

8E+WThe Water Industry Act 1991 is amended as follows.

Commencement Information

I788Sch. 14 para. 8 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

9(1)Section 19 (exception to duty to enforce) is amended as follows.E+W

(2)For subsection (1A) substitute—

“(1A)Before making an enforcement order or confirming a provisional enforcement order, the Authority shall consider whether it                           would be more appropriate to proceed under the Competition Act 1998.                  

(1B)The Authority shall not make an enforcement order or confirm a provisional enforcement order if it considers that it would                           be more appropriate to proceed under the Competition Act 1998.”                  

(3)In subsection (3)—

(a)in the words before paragraph (a), for “is satisfied as mentioned in subsection (1A) above” substitute “ has decided that it would be more appropriate to proceed under the Competition Act 1998 ”, and

(b)in paragraph (a), after “satisfied” insert “ or has so decided ”.

Commencement Information

I789Sch. 14 para. 9 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

10E+WIn section 22A (penalties), for subsection (13) substitute—

“(13)Before imposing a penalty under this section, the Authority shall consider whether it would be more appropriate to proceed                           under the Competition Act 1998.                  

(14)The Authority shall not impose a penalty under this section if it considers that it would be more appropriate to proceed under                           the Competition Act 1998.”                  

Commencement Information

I790Sch. 14 para. 10 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

### Railways Act 1993 (c. 43)E+W+S

11E+W+SThe Railways Act 1993 is amended as follows.

Commencement Information

I791Sch. 14 para. 11 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

12(1)Section 55 (orders for securing compliance) is amended as follows.E+W+S

(2)For subsection (5A) substitute—

“(5A)Before making a final order or making or confirming a provisional order, the Office of Rail Regulation shall consider whether                           it would be more appropriate to proceed under the Competition Act 1998.                  

(5AA)The Office of Rail Regulation shall not make a final order or make or confirm a provisional order if it considers that it                           would be more appropriate to proceed under the Competition Act 1998.”                  

(3)In subsection (5D)(b), for “(5A)” substitute “ (5AA) ”.

Commencement Information

I792Sch. 14 para. 12 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

13E+W+SIn section 57A (penalties), for subsection (6) substitute—

“(6)Before imposing a penalty under this section, the Office of Rail Regulation shall consider whether it would be more appropriate                           to proceed under the Competition Act 1998.                  

(7)The Office of Rail Regulation shall not impose a penalty under this section if it considers that it would be more appropriate                           to proceed under the Competition Act 1998.”                  

Commencement Information

I793Sch. 14 para. 13 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

14E+W+SIn section 67 (functions of the Office of Rail Regulation with respect to competition), in subsection (8), for the words from                        the beginning to “(3) above” substitute “ If any question arises as to whether subsection (2) or (3) above applies to any particular case ”.

Commencement Information

I794Sch. 14 para. 14 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

### Transport Act 2000 (c. 38)U.K.

15(1)Section 21 of the Transport Act 2000 (exceptions to duties to secure compliance) is amended as follows.U.K.

(2)In subsection (1), omit paragraph (b) and the “or” preceding it.

(3)After subsection (5) insert—

“(6)Before making a final order or making or confirming a provisional order, the CAA must consider whether it would be more appropriate to proceed under the Competition Act 1998.                  

(7)The CAA must not make a final order or make or confirm a provisional order to the extent that it considers that it would be                           more appropriate to proceed under the Competition Act 1998.”                  

Commencement Information

I795Sch. 14 para. 15 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

### Communications Act 2003 (c. 21)U.K.

16U.K.The Communications Act 2003 is amended as follows.

Commencement Information

I796Sch. 14 para. 16 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

17U.K.In section 94 (notification of contravention of SMP apparatus conditions), for subsection (10) substitute—

“(10)Before giving a notification under this section, OFCOM must consider whether it would be more appropriate to proceed under                           the Competition Act 1998.                  

(10A)OFCOM must not give a notification under this section if they consider that it would be more appropriate to proceed under                           the Competition Act 1998.                  

(10B)In a case where OFCOM decide that it would be more appropriate to proceed under the Competition Act 1998, they must publish                           a statement to that effect in such manner as they consider appropriate for bringing their decision to the attention of persons                           whom they consider are likely to be affected by it.”                  

Commencement Information

I797Sch. 14 para. 17 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

18U.K.In section 96A (notification of contravention of condition other than SMP apparatus condition), for subsection (5) substitute—

“(5)Before giving a notification under this section, OFCOM must consider whether it would be more appropriate to proceed under                           the Competition Act 1998.                  

(6)OFCOM must not give a notification under this section if they consider that it would be more appropriate to proceed under                           the Competition Act 1998.                  

(7)In a case where OFCOM decide that it would be more appropriate to proceed under the Competition Act 1998, they must publish                           a statement to that effect in such manner as they consider appropriate for bringing their decision to the attention of persons                           whom they consider are likely to be affected by it.”                  

Commencement Information

I798Sch. 14 para. 18 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

### Postal Services Act 2011 (c. 5)U.K.

19U.K.In Schedule 7 to the Postal Services Act 2011 (enforcement of regulatory requirements) for paragraph 4 substitute—

“4(1)Before giving a notification under paragraph 2, OFCOM must consider whether it would be more appropriate to proceed under                           the Competition Act 1998.                  

(2)OFCOM must not give a notification under paragraph 2 if they consider that it would be more appropriate to proceed under the                           Competition Act 1998.                  

(3)In a case where OFCOM decide that it would be more appropriate to proceed under the Competition Act 1998, they must publish                           a statement to that effect in such manner as they consider appropriate for bringing their decision to the attention of persons                           whom they consider are likely to be affected by it.”                  

Commencement Information

I799Sch. 14 para. 19 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

Prospective

### Health and Social Care Act 2012 (c. 7)E+W

20E+WThe Health and Social Care Act 2012 is amended as follows.

21E+WIn section 105 (discretionary requirements), after subsection (3) insert—

“(3A)Before imposing a discretionary requirement on a person mentioned in subsection (1)(b), Monitor must consider whether it would                              be more appropriate to proceed under the Competition Act 1998.                     

(3B)Monitor must not impose a discretionary requirement on such a person if it considers that it would be more appropriate to                              proceed under the Competition Act 1998.”                     

22E+WIn section 106 (enforcement undertakings), after subsection (3) insert—

“(3A)Before accepting an enforcement undertaking from a person mentioned in subsection (1)(b), Monitor must consider whether it                              would be more appropriate to proceed under the Competition Act 1998.                     

(3B)Monitor must not accept an enforcement undertaking from such a person if it considers that it would be more appropriate to                              proceed under the Competition Act 1998.”                     

### The Electricity (Northern Ireland) Order 1992 (S.I. 1992/231 (N.I. 1))N.I.

23N.I.In article 46 of the Electricity (Northern Ireland) Order 1992, in paragraph (6), for the words from the beginning to “(2A)                        or (3)” substitute “ If any question arises as to whether paragraph (2) or (3) applies to any particular case ”.

Commencement Information

I800Sch. 14 para. 23 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

### The Energy (Northern Ireland) Order 2003 (S.I. 2003/419 (N.I. 6))N.I.

24N.I.The Energy (Northern Ireland) Order 2003 is amended as follows.

Commencement Information

I801Sch. 14 para. 24 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

25(1)Article 42 (orders for securing compliance) is amended as follows.N.I.

(2)In paragraph (1), for “, (5) and” substitute “ and (5) to ”.

(3)In paragraphs (2) and (4), for “(5) and” substitute “ (5) to ”.

(4)In paragraph (5), omit sub-paragraph (b) and the “or” preceding it.

(5)After that paragraph insert—

“(5A)Before making a final order or making or confirming a provisional order in relation to a licence holder, the Authority shall                           consider whether it would be more appropriate to proceed under the Competition Act 1998.                  

(5B)The Authority shall not make a final order or make or confirm a provisional order in relation to a licence holder if it considers                           that it would be more appropriate to proceed under the Competition Act 1998.”                  

(6)In paragraph (7)—

(a)in the words before sub-paragraph (a), after “(6)” insert “ or decides that it would be more appropriate to proceed under the Competition Act 1998 ”, and

(b)in sub-paragraph (a), after “satisfied” insert “ or has so decided ”.

Commencement Information

I802Sch. 14 para. 25 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

26N.I.In article 45 (financial penalties), for paragraph (3) substitute—

“(3)Before imposing a penalty under paragraph (1) or (2) the Authority shall consider whether it would be more appropriate to                           proceed under the Competition Act 1998.                  

(3A)The Authority shall not impose a penalty under paragraph (1) or (2) if it considers that it would be more appropriate to proceed                           under the Competition Act 1998.”                  

Commencement Information

I803Sch. 14 para. 26 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

### The Water and Sewerage Services (Northern Ireland) Order 2006 (S.I. 2006/3336 (N.I. 21))N.I.

27N.I.The Water and Sewerage Services (Northern Ireland) Order 2006 is amended as follows.

Commencement Information

I804Sch. 14 para. 27 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

28(1)Article 31 (exceptions to duty to enforce) is amended as follows.N.I.

(2)In paragraph (1), omit sub-paragraph (d) and the “or” preceding it.

(3)After that paragraph insert—

“(1A)Before making an enforcement order or confirming a provisional enforcement order under Article 30, the Authority shall consider                           whether it would be more appropriate to proceed under the Competition Act 1998.                  

(1B)The Authority shall not make an enforcement order or confirm a provisional enforcement order under that Article if it considers                           that it would be more appropriate to proceed under the Competition Act 1998.”                  

(4)In paragraph (3)—

(a)in the words before sub-paragraph (a)—

(i)for “, (c) or (d)” substitute “ or (c) ”, and

(ii)after “paragraph (1)” insert “ or decides that it would be more appropriate to proceed under the Competition Act 1998 ”, and

(b)in sub-paragraph (a), after “so satisfied” insert “ or has so decided ”.

Commencement Information

I805Sch. 14 para. 28 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

29N.I.In article 35 (financial penalties), for paragraph (11) substitute—

“(11)Before imposing a penalty under this Article the Authority shall consider whether it would be more appropriate to proceed                           under the Competition Act 1998.                  

(12)The Authority shall not impose a penalty under this Article if it considers that it would be more appropriate to proceed under                           the Competition Act 1998.”                  

Commencement Information

I806Sch. 14 para. 29 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(e)** (with Sch.)

 Section 57

## SCHEDULE 15U.K.Minor and consequential amendments: Part 4

### Civil Aviation Act 1982 (c. 16)U.K.

1U.K.In Schedule 1 to the Civil Aviation Act 1982 (constitution etc. of the Authority), in paragraph 15—

(a)the existing text becomes sub-paragraph (1), and

(b)after that sub-paragraph insert—

“(2)The power in sub-paragraph (1) is subject to provision in rules made under section 51 of the Competition Act 1998 by virtue                           of paragraph 1A of Schedule 9 to that Act in respect of the exercise of a function under Part 1 of that Act.”                  

Commencement Information

I807Sch. 15 para. 1 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Gas Act 1986 (c. 44)E+W+S

2E+W+SIn section 36A of the Gas Act 1986 (functions with respect to competition), in subsections (3), (3A) and (7)(b), after “38(1)                        to (6)” (in each place where it occurs) insert “ , 40B(1) to (4) ”.

Commencement Information

I808Sch. 15 para. 2 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Electricity Act 1989 (c. 29)E+W+S

3E+W+SIn section 43 of the Electricity Act 1989 (functions with respect to competition), in subsections (3), (3A) and (6)(b), after                        “38(1) to (6)” (in each place where it occurs) insert “ , 40B(1) to (4) ”.

Commencement Information

I809Sch. 15 para. 3 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Water Industry Act 1991 (c. 56)E+W

4E+WThe Water Industry Act 1991 is amended as follows.

Commencement Information

I810Sch. 15 para. 4 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

5E+WIn section 31 (functions with respect to competition), in subsections (3), (4A) and (8)(b), after “38(1) to (6)” (in each                        place where it occurs) insert “ , 40B(1) to (4) ”.

Commencement Information

I811Sch. 15 para. 5 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

6E+WIn Schedule 1A (constitution etc. of the Authority), in paragraph 10, after sub-paragraph (2) insert—

“(3)Sub-paragraph (1) is subject to provision in rules made under section 51 of the Competition Act 1998 by virtue of paragraph                           1A of Schedule 9 to that Act in respect of the exercise of a function under Part 1 of that Act.”                  

Commencement Information

I812Sch. 15 para. 6 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Railways Act 1993 (c. 43)E+W+S

7E+W+SIn section 67 of the Railways Act 1993 (functions with respect to competition), in subsections (3), (3A) and (8)(b), after                        “38(1) to (6)” (in each place where it occurs) insert “ , 40B(1) to (4) ”.

Commencement Information

I813Sch. 15 para. 7 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Competition Act 1998 (c. 41)U.K.

8U.K.The Competition Act 1998 is amended as follows.

Commencement Information

I814Sch. 15 para. 8 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

9U.K.In section 26 (powers when conducting investigations), in subsection (3)(b), for “42 to” substitute “ 43 and ”.

Commencement Information

I815Sch. 15 para. 9 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

10U.K.In section 38 (guidance on level of penalties), in subsection (9), for “an appeal tribunal” substitute “ the Tribunal ”.

Commencement Information

I816Sch. 15 para. 10 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

11U.K.In section 54 (regulators), in subsection (1)—

(a)omit paragraph (c), and

(b)for paragraph (f) substitute—

“(f)the Northern Ireland Authority for Utility Regulation;”.                  

Commencement Information

I817Sch. 15 para. 11 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

12(1)Schedule 1 (exclusions: mergers and concentrations) is amended as follows.U.K.

(2)In paragraph 5—

(a)omit “to the Competition Commission” (in each place where it occurs), and

(b)for “the Commission” (in each place where it occurs) substitute “ the CMA ”.

Commencement Information

I818Sch. 15 para. 12 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Utilities Act 2000 (c. 27)E+W+S

13E+W+SIn Schedule 1 to the Utilities Act 2000 (constitution etc. of the Authority), in paragraph 9, after sub-paragraph (2) insert—

“(2A)Sub-paragraph (1) is subject to provision in rules made under section 51 of the Competition Act 1998 by virtue of paragraph                           1A of Schedule 9 to that Act in respect of the exercise of a function under Part 1 of that Act.”                  

Commencement Information

I819Sch. 15 para. 13 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Transport Act 2000 (c. 38)U.K.

14U.K.In section 86 of the Transport Act 2000 (functions with respect to competition), in subsections (3), (4)(b) and (7)(b), after                        “38(1) to (6)” (in each place where it occurs) insert “ , 40B(1) to (4) ”.

Commencement Information

I820Sch. 15 para. 14 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Enterprise Act 2002 (c. 40)U.K.

15U.K.The Enterprise Act 2002 is amended as follows.

Commencement Information

I821Sch. 15 para. 15 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

16(1)Section 25 (extension of time-limits) is amended as follows.U.K.

(2)In subsection (2), for the words from “has failed” to the end of the subsection substitute “ has failed (with or without a reasonable excuse) to comply with any requirement of a notice under section 109 ”.

(3)For subsection (3) substitute—

“(3)An extension under subsection (2) shall come into force when notice of the extension is given and end—                  

(a)when the person concerned provides the information or documents to the satisfaction of the CMA or (as the case may be) appears                           as a witness in accordance with the requirements of the CMA; or                  

(b)if earlier, the CMA cancels the extension.”                  

Commencement Information

I822Sch. 15 para. 16 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

17U.K.Omit section 31 (information powers in relation to completed mergers).

Commencement Information

I823Sch. 15 para. 17 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

18(1)Section 32 (supplementary provision for purposes of sections 25 and 31) is amended as follows.U.K.

(2)Omit subsections (1) to (3).

(3)In subsection (4), omit “or subsection (3)(a) above”.

(4)In the heading, for “sections 25 and 31” substitute “ section 25 ”.

Commencement Information

I824Sch. 15 para. 18 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

19(1)Section 34A (duty where case referred by European Commission) is amended as follows.U.K.

(2)For subsection (5) substitute—

“(5)The CMA may extend the preliminary assessment period if it considers that any of the persons carrying on the enterprises concerned                           has failed (whether with or without reasonable excuse) to comply with any requirement of a notice under section 109.”                  

(3)For subsection (6) substitute—

“(6)An extension under subsection (5) shall come into force when published under section 107.                  

(6A)An extension under subsection (5) shall continue in force until—                  

(a)the person concerned provides the information or documents to the satisfaction of the CMA or (as the case may be) appears                           as a witness in accordance with the requirements of the CMA; or                  

(b)the CMA publishes its decision to cancel the extension.”                  

(4)Omit subsection (7).

Commencement Information

I825Sch. 15 para. 19 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

20U.K.Omit section 34B (power to request information in referred cases).

Commencement Information

I826Sch. 15 para. 20 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

21(1)Section 42 (intervention by Secretary of State in certain public interest cases) is amended as follows.U.K.

(2)In subsection (1), in paragraph (d)(i)—

(a)for “section 22(3)(a) or (e)” substitute “ section 22(3)(za), (a) or (e) ”, and

(b)for “33(3)(a) or (e)” substitute “ 33(3)(za), (a) or (e) ”.

(3)In subsection (5), for “to 32” substitute “ to 30 ”.

(4)In subsection (6), in the words before paragraph (a), for “to 32” substitute “ to 30 ”.

(5)In that subsection, in paragraph (b), for “sections 25(1) to (3), (6) and (8) and 31” substitute “ section 25(1) to (3), (6) and (8) ”.

(6)In that subsection, in paragraph (h)—

(a)omit “, and the power to request information under section 31(1) as so applied,”, and

(b)after “existing time-limits” insert “ by virtue of section 24 (as so applied) ”.

(7)In that subsection, in paragraph (i), after “existing time-limits” insert “ by virtue of section 24 (as so applied) ”.

(8)In that subsection, omit paragraph (j).

(9)In that subsection, in paragraph (k), for “to 32” substitute “ to 30 ”.

(10)In that subsection, omit paragraph (l) and the word “and” immediately preceding it.

Commencement Information

I827Sch. 15 para. 21 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

22U.K.In section 46 (references under section 45: supplementary), in subsection (1)(a), omit “or 96(3)”.

Commencement Information

I828Sch. 15 para. 22 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

23(1)Section 46B (extension of preliminary assessment period) is amended as follows.U.K.

(2)For subsection (1) substitute—

“(1)The CMA may extend the preliminary assessment period for the purposes of section 46A if it considers that any of the persons                           carrying on the enterprises concerned has failed (whether with or without reasonable excuse) to comply with any requirement                           of a notice under section 109.”                  

(3)Omit subsection (2).

(4)For subsection (3) substitute—

“(3)An extension under subsection (1) shall come into force when published under section 107.                  

(3A)An extension under subsection (1) shall continue in force until—                  

(a)the person concerned provides the information or documents to the satisfaction of the CMA or (as the case may be) appears                           as a witness in accordance with the requirements of the CMA; or                  

(b)the CMA publishes its decision to cancel the extension.”                  

(5)Omit subsection (4).

Commencement Information

I829Sch. 15 para. 23 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

24U.K.Omit section 46C (power to request information in referred cases).

Commencement Information

I830Sch. 15 para. 24 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

25(1)Section 49 (variation of references under section 45) is amended as follows.U.K.

(2)In subsection (2), omit “1,”.

(3)In subsection (3), omit “1,”.

(4)In subsection (4) —

(a)omit “any undertaking accepted under paragraph 1 of Schedule 7, or”, and

(b)for “that Schedule” substitute “ Schedule 7 ”.

(5)In subsection (5)—

(a)omit “undertaking or” (in each place where it occurs),

(b)omit “, accepted or” (in each place where it occurs), and

(c)omit “, superseded, released”.

Commencement Information

I831Sch. 15 para. 25 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

26(1)Section 59 (intervention by Secretary of State in special public interest cases) is amended as follows.U.K.

(2)In subsection (5), for “to 32” substitute “ to 30 ”.

(3)In subsection (6), in the words before paragraph (a), for “to 32” substitute “ to 30 ”.

(4)In that subsection, in paragraph (c), for “sections 25(1) to (3), (6) and (8) and 31” substitute “ section 25(1) to (3), (6) and (8) ”.

(5)In that subsection, in paragraph (g), omit “, and the power to request information under section 31(1) as so applied,”.

(6)In that subsection, omit paragraph (h).

(7)In that subsection, in paragraph (i), for “to 32” substitute “ to 30 ”.

(8)In that subsection, omit paragraph (j) and the word “and” immediately preceding it.

Commencement Information

I832Sch. 15 para. 26 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

27(1)Section 64 (cancellation and variation of references under section 62) is amended as follows.U.K.

(2)In subsection (3), omit “1,”.

(3)In subsection (4)—

(a)omit “any undertaking accepted under paragraph 1 of Schedule 7, or”, and

(b)for “that Schedule” substitute “ Schedule 7 ”.

(4)In subsection (5)—

(a)omit “undertaking or” (in each place where it occurs),

(b)omit “, accepted or” (in each place where it occurs), and

(c)omit “, superseded, released”.

Commencement Information

I833Sch. 15 para. 27 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

28(1)Section 67 (intervention to protect legitimate interests) is amended as follows.U.K.

(2)In subsection (7), for “to 32” substitute “ to 30 ”.

(3)In subsection (8), in the words before paragraph (a), for “to 32” substitute “ to 30 ”.

(4)In that subsection, in paragraph (d), for “sections 25, 31 and 32” substitute “ section 25 ”.

Commencement Information

I834Sch. 15 para. 28 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

29U.K.In section 68 (scheme for protecting legitimate interests), in subsection (4)(a), for “to 32” substitute “ to 30 ”.

Commencement Information

I835Sch. 15 para. 29 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

30U.K.In section 77 (restrictions on certain share dealings: completed mergers), in subsection (1)(b), omit “71 or”.

Commencement Information

I836Sch. 15 para. 30 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

31U.K.In section 78 (restrictions on certain share dealings: anticipated mergers), in subsection (1)(b), for “section 81” substitute                        “ section 72 or 81 ”.

Commencement Information

I837Sch. 15 para. 31 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

32U.K.In section 89 (subject matter of undertakings), in subsection (2)—

(a)omit “71,”, and

(b)omit “1,”.

Commencement Information

I838Sch. 15 para. 32 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

33(1)Section 93 (further role of OFT in relation to undertakings and orders) is amended as follows.U.K.

(2)In subsection (1), in paragraph (b), omit “1,”.

(3)In subsection (2), omit “1,”.

(4)In subsection (4), omit “1,”.

Commencement Information

I839Sch. 15 para. 33 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

34U.K.In section 94 (rights to enforce undertakings and orders), in subsection (8), omit “1,”.

Commencement Information

I840Sch. 15 para. 34 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

35(1)Section 99 (functions in relation to merger notices) is amended as follows.U.K.

(2)Omit subsections (2) to (4).

(3)In subsection (5), in paragraph (c), for the words from “or any” to “as required” substitute “ or the person who gave the merger notice has failed (with or without a reasonable excuse) to comply with any requirement                           of a notice under section 109 in relation to the case concerned ”.

Commencement Information

I841Sch. 15 para. 35 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

36(1)Section 107 (further publicity requirements) is amended as follows.U.K.

(2)In subsection (1), for paragraph (a) substitute—

“(a)any decision made by it that the duty to make a reference under section 22 or 33 applies and any such reference made by it;                  

(aa)any decision made by it that the duty to make such a reference does not apply (other than a decision made by virtue of subsection                           (2)(b) of section 33);”.                  

(3)In that subsection, after paragraph (aa) insert—

“(ab)any notice given by it as mentioned in paragraph (b) of the definition of “initial period” in section 34ZA(3);                  

(ac)any extension by it under section 34ZB of the initial period;                  

(ad)any decision made by it to cancel an extension as mentioned in section 34ZB(7)(b);                  

(ae)any extension by it under section 34A of the preliminary assessment period;                  

(af)any decision made by it to cancel an extension as mentioned in section 34A(6A)(b);.                  

(ag)any extension by it under section 46B of the preliminary assessment period;                  

(ah)any decision made by it to cancel an extension as mentioned in section 46B(3A)(b);”.                  

(4)In that subsection, omit paragraph (d).

(5)In that subsection, after paragraph (e) insert—

“(ea)any notice given by it under section 73A(2)(b);                  

(eb)any extension by it under section 73A of the period for considering whether to accept an undertaking under section 73;                  

(ec)any decision made by it to cancel an extension as mentioned in section 73A(11)(b);”.                  

(6)In that subsection, in paragraph (f), for “such an undertaking or order” substitute “ an order mentioned in paragraph (e) ”.

(7)At the end of that subsection insert “; and 

(i)any notice given by it under section 96(2A).”                  

(8)In subsection (2), after paragraph (e) insert—

“(ea)any extension by it under section 41A of the period within which its duty under section 41(2) is to be discharged;                  

(eb)any decision made by it to cancel an extension as mentioned in section 41A(7)(b);”.                  

(9)In subsection (3), omit paragraphs (h) and (i).

Commencement Information

I842Sch. 15 para. 36 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

37U.K.In section 130 (index of defined expressions), omit the entry for “Undertakings under paragraph 1 of Schedule 7”.

Commencement Information

I843Sch. 15 para. 37 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

38(1)Schedule 7 (enforcement regime for public interest and special public interest cases) is amended as follows.U.K.

(2)In paragraph 7, in sub-paragraph (1), for paragraph (b) substitute—

“(b)no orders under paragraph 2 are in force in relation to the relevant merger situation concerned or (as the case may be) the                           special merger situation concerned.”                  

(3)In paragraph 8, in sub-paragraph (1), for paragraph (b) substitute—

“(b)no orders under paragraph 2 are in force in relation to the relevant merger situation concerned or (as the case may be) the                           special merger situation concerned.”                  

Commencement Information

I844Sch. 15 para. 38 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

39U.K.In Schedule 15 (enactments conferring functions for the purposes of which specified information may be disclosed), at the                        end insert— “ The Health and Social Care Act 2012. ”

Commencement Information

I845Sch. 15 para. 39 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Office of Communications Act 2002 (c. 11)U.K.

40U.K.In Schedule 1 to the Office of Communications Act 2002 (constitution etc. of the OFCOM), in paragraph 18—

(a)the existing text becomes sub-paragraph (1), and

(b)after that sub-paragraph insert—

“(2)Sub-paragraph (1) is subject to provision in rules made under section 51 of the Competition Act 1998 by virtue of paragraph                           1A of Schedule 9 to that Act in respect of the exercise of a function under Part 1 of that Act.”                  

Commencement Information

I846Sch. 15 para. 40 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Railways and Transport Safety Act 2003 (c. 20)E+W+S

41E+W+SIn Schedule 1 to the Rail and Transport Safety Act 2003 (constitution etc. of the Office of Rail Regulation), in paragraph                        7—

(a)the existing text becomes sub-paragraph (1), and

(b)after that sub-paragraph insert—

“(2)Sub-paragraph (1) is subject to provision in rules made under section 51 of the Competition Act 1998 by virtue of paragraph                           1A of Schedule 9 to that Act in respect of the exercise of a function under Part 1 of that Act.”                  

Commencement Information

I847Sch. 15 para. 41 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Communications Act 2003 (c. 21)U.K.

42U.K.The Communications Act 2003 is amended as follows.

Commencement Information

I848Sch. 15 para. 42 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

43(1)Section 192 (appeals against decisions by OFCOM etc) is amended as follows.U.K.

(2)In subsection (1), after paragraph (d) insert—

“(e)a decision by the CMA to which effect is given by an order made under section 193A.”                  

(3)In subsection (6)(b), after “the Secretary of State” insert “ , by the CMA ”.

Commencement Information

I849Sch. 15 para. 43 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

44U.K.In section 193 (reference of price control matters), in subsection (10), after “this section” insert “ and section 193A ”.

Commencement Information

I850Sch. 15 para. 44 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

45U.K.In section 195 (decisions of the Tribunal), in subsection (9), for “or the Secretary of State” (in each place it occurs) substitute                        “ , the Secretary of State or the CMA ”.

Commencement Information

I851Sch. 15 para. 45 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

46U.K.In section 371 (functions under the Competition Act 1998), in subsections (2) and (3)(a), after “38(1) to (6)” (in each place                        where it occurs) insert “ , 40B(1) to (4) ”.

Commencement Information

I852Sch. 15 para. 46 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Health and Social Care Act 2012 (c. 7)E+W

47E+WThe Health and Social Care 2012 is amended as follows.

Commencement Information

I853Sch. 15 para. 47 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

48E+WIn section 72 (functions under the Competition Act 1998), in subsections (2) and (3), after “38(1) to (6)” (in each place                        where it occurs) insert “ , 40B(1) to (4) ”.

Commencement Information

I854Sch. 15 para. 48 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

49E+WIn Schedule 8 (constitution etc. of Monitor), in paragraph 11, after sub-paragraph (2) insert—

“(2A)Sub-paragraph (2) is subject to provision in rules made under section 51 of the Competition Act 1998 by virtue of paragraph                           1A of Schedule 9 to that Act in respect of the exercise of a function under Part 1 of that Act.”                  

Commencement Information

I855Sch. 15 para. 49 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Civil Aviation Act 2012 (c. 19)U.K.

50U.K.The Civil Aviation Act 2012 is amended as follows.

Commencement Information

I856Sch. 15 para. 50 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

51U.K.In section 62 (functions under Competition Act 1998), in subsections (2) and (4), after “38(1) to (6)” (in each place where                        it occurs) insert “ , 40B(1) to (4) ”.

Commencement Information

I857Sch. 15 para. 51 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

52U.K.In section 63 (Competition Act 1998: supplementary), in subsection (1), after “38(1) to (6)” insert “ , 40B(1) to (4) ”.

Commencement Information

I858Sch. 15 para. 52 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Electricity (Northern Ireland) Order 1992 (SI 1992/231 (N.I. 1))N.I.

53N.I.In article 46 of the Electricity (Northern Ireland) Order 1992 (functions with respect to competition), in paragraphs (3),                        (3A) and (6)(b), after “38(1) to (6)” (in each place where it occurs) insert “ , 40B(1) to (4) ”.

Commencement Information

I859Sch. 15 para. 53 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Gas (Northern Ireland) Order 1996 (SI 1996/275 (N.I. 2))N.I.

54N.I.In article 23 of the Gas (Northern Ireland) Order 1996 (functions with respect to competition), in paragraphs (3), (3A) and                        (6)(b), after “38(1) to (6)” (in each place where it occurs) insert “ , 40B(1) to (4) ”.

Commencement Information

I860Sch. 15 para. 54 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

### Energy (Northern Ireland) Order 2003 (SI 2003/419 (N.I. 6))N.I.

55N.I.In Schedule 1 to the Energy (Northern Ireland) Order 2003 (constitution etc. of the Authority), in paragraph 9, after sub-paragraph                        (2) insert—

“(2A)Sub-paragraph (1) is subject to provision in rules made under section 51 of the Competition Act 1998 by virtue of paragraph                           1A of Schedule 9 to that Act in respect of the exercise of a function under Part 1 of that Act.”                  

Commencement Information

I861Sch. 15 para. 55 in force at 1.4.2014 by S.I. 2014/416, **art. 2(1)(f)** (with Sch.)

 Section 60(5)

##  SCHEDULE 16E+WLocal listed building consent orders: procedure

Commencement Information

I862Sch. 16 partly in force; sch. 16 in force for specified purposes at Royal Assent, see s.103(1)(i)

I863Sch. 16 in force at 6.4.2014 in so far as not already in force by S.I. 2014/416, **art. 3(d)**

### 

In the Planning (Listed Buildings and Conservation Areas) Act 1990, after Schedule 2 insert—

 Section 26D

#### “SCHEDULE 2AE+WLocal listed building consent orders: procedure

##### PreparationE+W

1(1)A local listed building consent order must be prepared in accordance with such procedure as is prescribed by regulations under                           this Act.                  

(2)The regulations may include provision as to—                  

(a)the preparation, submission, approval, adoption, revision, revocation and withdrawal of a local listed building consent order;                  

(b)notice, publicity, and inspection by the public;                  

(c)consultation with and consideration of views of such persons and for such purposes as are prescribed;                  

(d)the making and consideration of representations.                  

##### RevisionE+W

2(1)The local planning authority may at any time prepare a revision of a local listed building consent order.                  

(2)An authority must prepare a revision of a local listed building consent order—                  

(a)if the Secretary of State directs them to do so, and                  

(b)in accordance with such timetable as the Secretary of State directs.                  

(3)This Schedule applies to the revision of a local listed building consent order as it applies to the preparation of the order.                  

(4)A local listed building consent order may not be varied except by revision under this paragraph.                  

##### Order to be adoptedE+W

3A local listed building consent order is of no effect unless it is adopted by resolution of the local planning authority.

##### Annual reportE+W

4(1)While a local listed building consent order is in force the local planning authority must prepare reports containing such                           information as is prescribed as to the extent to which the order is achieving its purposes.                  

(2)A report under this paragraph must—                  

(a)be in respect of a period—                  

(i)which the authority considers appropriate in the interests of transparency,                  

(ii)which begins with the end of the period covered by the authority's most recent report under this paragraph (or, in the case                           of the first report, with the day the order comes into force), and                  

(iii)which is not longer than 12 months or such shorter period as is prescribed;                  

(b)be in such form as is prescribed;                  

(c)contain such other matter as is prescribed.                  

(3)The authority must make its reports under this section available to the public.”                  

 Section 63

## SCHEDULE 17E+WHeritage planning regulation

### National Heritage Act 1983 (c. 47)E+W

1(1)Section 33 of the National Heritage Act 1983 (the Commission's general function) is amended as follows.E+W

(2)In subsection (2A)—

(a)in paragraph (a) after “1979” insert “ , under section 196D of the Town and Country Planning Act 1990 ”, and

(b)in paragraph (b) for “that Part or of that Act of 1990” substitute “ Part 1 of the Ancient Monuments and Archaeological Areas Act 1979 or the Planning (Listed Buildings and Conservation Areas)                           Act 1990 ”.

(3)After subsection (2A) insert—

“(2AA)In relation to an actual or apprehended breach of planning control in respect of relevant demolition, in section 187B of the                           Town and Country Planning Act 1990 (injunctions restraining breaches of planning control) reference to a local planning authority                           includes reference to the Commission.                  

(2AB)In subsection (2AA)—                  
          -  “breach of planning control” has the same meaning as in the Town and Country Planning Act 1990 (see section 171A of that Act);                         
          -  “relevant demolition” has the same meaning as in section 196D of that Act.”                         

Commencement Information

I864Sch. 17 para. 1 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(m)**

### Town and Country Planning Act 1990 (c. 8)E+W

2E+WThe Town and Country Planning Act 1990 is amended as follows.

Commencement Information

I865Sch. 17 para. 2 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(m)**

3E+WIn section 108 (compensation for refusal or conditional grant of planning permission formerly granted by order) after subsection                        (3E) insert—

“(3F)This section does not apply to the extent that the development referred to in subsection (1)(b) would, while permitted by                           a development order, have required conservation area consent under the Planning (Listed Buildings and Conservation Areas)                           Act 1990.”                  

Commencement Information

I866Sch. 17 para. 3 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(m)**

4E+WIn section 171B (time limits for enforcement of breaches of planning control) after subsection (2) insert—

“(2A)There is no restriction on when enforcement action may be taken in relation to a breach of planning control in respect of                           relevant demolition (within the meaning of section 196D).”                  

Commencement Information

I867Sch. 17 para. 4 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(m)**

5E+WIn section 174 (appeal against enforcement notice) before subsection (3) insert—

“(2C)Where any breach of planning control constituted by the matters stated in the notice relates to relevant demolition (within                           the meaning of section 196D), an appeal may also be brought on the grounds that—                  

(a)the relevant demolition was urgently necessary in the interests of safety or health;                  

(b)it was not practicable to secure safety or health by works of repair or works for affording temporary support or shelter;                           and                  

(c)the relevant demolition was the minimum measure necessary.”                  

Commencement Information

I868Sch. 17 para. 5 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(m)**

6E+WAfter section 196C insert—

#### “Conservation areasE+W

##### 196DOffence of failing to obtain planning permission for demolition of unlisted etc buildings in conservation areas in England

(1)It is an offence for a person to carry out or cause or permit to be carried out relevant demolition without the required planning                           permission.                  

(2)It is also an offence for a person to fail to comply with any condition or limitation subject to which planning permission                           for relevant demolition is granted.                  

(3)In this section “relevant demolition” means the demolition of a building that—                  

(a)is situated in a conservation area in England; and                  

(b)is not a building to which section 74 of the Planning (Listed Buildings and Conservation Areas) Act 1990 does not apply by                           virtue of section 75 of that Act (listed buildings, certain ecclesiastical buildings, scheduled monuments and buildings described                           in a direction of the Secretary of State under that section).                  

(4)It is a defence for a person accused of an offence under this section to prove the following matters—                  

(a)that the relevant demolition was urgently necessary in the interests of safety or health;                  

(b)that it was not practicable to secure safety or health by works of repair or works for affording temporary support or shelter;                  

(c)that the relevant demolition was the minimum measure necessary; and                  

(d)that notice in writing of the relevant demolition was given to the local planning authority as soon as reasonably practicable.                  

(5)A person guilty of an offence under this section is liable—                  

(a)on summary conviction, to imprisonment for a term not exceeding 12 months or a fine or both;                  

(b)on conviction on indictment, to imprisonment for a term not exceeding 2 years or a fine or both.                  

(6)In relation to an offence committed before the coming into force of section 154(1) of the Criminal Justice Act 2003, subsection                           (5)(a) has effect as if the reference to 12 months were to 6 months.                  

(7)In relation to an offence committed before the coming into force of section 85(1) of the Legal Aid, Sentencing and Punishment                           of Offenders Act 2012, subsection (5)(a) has effect as if the reference to a fine were a reference to a fine not exceeding                           £20,000.                  

(8)In determining the amount of any fine to be imposed on a person convicted of an offence under this section, the court must                           in particular have regard to any financial benefit which has accrued or appears likely to accrue to that person in consequence                           of the offence.                  

(9)Where, after a person commits an offence under this section, planning permission is granted for any development carried out                           before the grant of the permission, that grant does not affect the person's liability for the offence.”                  

Commencement Information

I869Sch. 17 para. 6 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(m)**

### Planning (Listed Buildings and Conservation Areas) Act 1990 (c. 9)E+W

7E+WThe Planning (Listed Buildings and Conservation Areas) Act 1990 is amended as follows.

8(1)Section 1 (listing of buildings of special architectural or historic interest) is amended as follows.E+W

(2)In subsection (5) after “shall” insert “ , subject to subsection (5A)(a), ”.

(3)After subsection (5) insert—

“(5A)In a list compiled or approved under this section, an entry for a building situated in England may provide—                  

(a)that an object or structure mentioned in subsection (5)(a) or (b) is not to be treated as part of the building for the purposes                           of this Act;                  

(b)that any part or feature of the building is not of special architectural or historic interest.”                  

9(1)Section 6 (issue of certificate that building not intended to be listed) is amended as follows.E+W

(2)Before subsection (1) insert—

“(A1)The Secretary of State may, on the application of any person, issue a certificate stating that the Secretary of State does                           not intend to list a building situated in England.”                  

(3)In subsection (1)(a) after “building” insert “ situated in Wales ”.

(4)In subsection (2) for “such a certificate” substitute “ a certificate under subsection (A1) or (1) ”.

(5)In subsection (3) after “subsection” insert “ (A1) or ”.

Commencement Information

I870Sch. 17 para. 9 in force at 25.6.2013 by S.I. 2013/1455, **art. 2(d)** (with art. 4(2))

10E+WIn section 32(1)(a) (purchase notice on refusal or conditional grant of consent)—

(a)for “listed building consent in respect of a building” substitute “ on an application for listed building consent in respect of a building, consent ”;

(b)before “is revoked” insert “ such consent granted on an application ”.

Commencement Information

I871Sch. 17 para. 10 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(m)**

11E+WIn section 62(2) (validity of certain orders and decisions), after paragraph (a) insert—

“(aa)any decision to approve or reject a local listed building consent order or part of such an order;                  

(ab)any decision on an appeal under section 26K;”.                  

Commencement Information

I872Sch. 17 para. 11 in force at 6.4.2014 by S.I. 2014/416, **art. 3(e)**

12(1)Section 74 (control of demolition in conservation areas) is amended as follows.E+W

(2)In subsection (1) after the first “area” insert “ in Wales ”.

(3)After subsection (2) insert—

“(2A)Sections 56, 66(1) and 90(2) to (4) have effect in relation to buildings in conservation areas in England as they have effect                           in relation to listed buildings, subject to such exceptions and modifications as may be prescribed by regulations.”                  

(4)In subsection (3) after “areas” insert “ in Wales ”.

(5)In subsection (4) for “Any such regulations” substitute “ Regulations made under subsection (3) ”.

Commencement Information

I873Sch. 17 para. 12 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(m)**

13E+WIn section 75 (cases in which section 74 does not apply) in subsection (11)—

(a)for “that section”, in both places those words appear, substitute “ section 74 ”, and

(b)after “43” insert “ or section 196D of the principal Act (offence of failing to obtain, or comply with, planning permission for demolition of                           unlisted etc building in conservation area in England) ”.

Commencement Information

I874Sch. 17 para. 13 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(m)**

14E+WIn section 82(3) (application of Act to land and works of local planning authorities) for “to 29” substitute “ to 26, 28, 29 ”.

Commencement Information

I875Sch. 17 para. 14 in force at 6.4.2014 by S.I. 2014/416, **art. 3(e)**

15E+WIn section 82A(2) (application to the Crown), after paragraph (c) insert—

“(ca)section 26J;”.                  

Commencement Information

I876Sch. 17 para. 15 in force at 6.4.2014 by S.I. 2014/416, **art. 3(e)**

16E+WIn section 88(2)(c) (rights of entry) after “11” insert “ , 26J ”.

Commencement Information

I877Sch. 17 para. 16 in force at 6.4.2014 by S.I. 2014/416, **art. 3(e)**

17E+WIn section 92(2)(b) (application to Isles of Scilly), after “Schedules 1, 2” insert “ , 2A ”.

Commencement Information

I878Sch. 17 para. 17 in force at 6.4.2014 by S.I. 2014/416, **art. 3(e)**

18(1)Section 93 (regulations and orders) is amended as follows.E+W

(2)In subsection (4) after “8(5),” insert “ 26C, ”.

(3)In subsection (5A) after “section” insert “ 26C or ”.

Commencement Information

I879Sch. 17 para. 18 in force at 6.4.2014 by S.I. 2014/416, **art. 3(e)**

19(1)Schedule 3 (determination of certain appeals by person appointed by Secretary of State) is amended as follows.E+W

(2)In paragraph 1(1), 2(8)(a) and 3(3) after “20” insert “ , 26K ”.

(3)In paragraph 2(1) after paragraph (a) (before “and” at the end) insert—

“(aa)in relation to an appeal under section 26K, as the Secretary of State has under section 26K(4) to (6);”.                  

Commencement Information

I880Sch. 17 para. 19 in force at 6.4.2014 by S.I. 2014/416, **art. 3(e)**

### ApplicationE+W

20E+WParagraph 8 applies in relation to entries for buildings that are listed, or entries that are amended, on or after the date                        on which that paragraph comes into force.

Commencement Information

I881Sch. 17 para. 20 in force at 25.6.2013 by S.I. 2013/1455, **art. 2(d)** (with art. 4(2))

 Section 71(2)

##  SCHEDULE 18E+WAdjudicators: bankruptcy applications by debtors and bankruptcy orders

Commencement Information

I882Sch. 18 partly in force; sch. 18 in force for specified purposes at Royal Assent, see s.103(1)(i)

### 

#### “CHAPTER A1E+WAdjudicators: bankruptcy applications by debtors and bankruptcy orders

##### 263HBankruptcy applications to an adjudicator

(1)An individual may make an application to an adjudicator in accordance with this Chapter for a bankruptcy order to be made                           against him or her.                  

(2)An individual may make a bankruptcy application only on the ground that the individual is unable to pay his or her debts.                  

##### 263IDebtors against whom an adjudicator may make a bankruptcy order

(1)An adjudicator has jurisdiction to determine a bankruptcy application only if—                  

(a)the centre of the debtor's main interests is in England and Wales, or                  

(b)the centre of the debtor's main interests is not in a member state of the European Union which has adopted the EC Regulation,                           but the test in subsection (2) is met.                  

(2)The test is that—                  

(a)the debtor is domiciled in England and Wales, or                  

(b)at any time in the period of three years ending with the day on which the application is made to the adjudicator, the debtor—                  

(i)has been ordinarily resident, or has had a place of residence, in England and Wales, or                  

(ii)has carried on business in England and Wales.                  

(3)The reference in subsection (2) to the debtor carrying on business includes—                  

(a)the carrying on of business by a firm or partnership of which the debtor is a member, and                  

(b)the carrying on of business by an agent or manager for the debtor or for such a firm or partnership.                  

(4)In this section, references to the centre of the debtor's main interests have the same meaning as in Article 3 of the EC Regulation.                  

##### 263JConditions applying to bankruptcy application

(1)A bankruptcy application must include—                  

(a)such particulars of the debtor's creditors, debts and other liabilities, and assets, as may be prescribed, and                  

(b)such other information as may be prescribed.                  

(2)A bankruptcy application is not to be regarded as having been made unless any fee or deposit required in connection with the                           application by an order under section 415 has been paid to such person, and within such period, as may be prescribed.                  

(3)A bankruptcy application may not be withdrawn.                  

(4)A debtor must notify the adjudicator if, at any time before a bankruptcy order is made against the debtor or the adjudicator                           refuses to make such an order—                  

(a)the debtor becomes able to pay his or her debts, or                  

(b)a bankruptcy petition has been presented to the court in relation to the debtor.                  

##### 263KDetermination of bankruptcy application

(1)After receiving a bankruptcy application, an adjudicator must determine whether the following requirements are met—                  

(a)the adjudicator had jurisdiction under section 263I to determine the application on the date the application was made,                  

(b)the debtor is unable to pay his or her debts at the date of the determination,                  

(c)no bankruptcy petition is pending in relation to the debtor at the date of the determination, and                  

(d)no bankruptcy order has been made in respect of any of the debts which are the subject of the application at the date of the                           determination.                  

(2)If the adjudicator is satisfied that each of the requirements in subsection (1) are met, the adjudicator must make a bankruptcy                           order against the debtor.                  

(3)If the adjudicator is not so satisfied, the adjudicator must refuse to make a bankruptcy order against the debtor.                  

(4)The adjudicator must make a bankruptcy order against the debtor or refuse to make such an order before the end of the prescribed                           period (“the determination period”).                  

##### 263LAdjudicator's requests for further information

(1)An adjudicator may at any time during the determination period request from the debtor information that the adjudicator considers                           necessary for the purpose of determining whether a bankruptcy order must be made.                  

(2)The adjudicator may specify a date before which information requested under subsection (1) must be provided; but that date                           must not be after the end of the determination period.                  

(3)If the rules so prescribe, a request under subsection (1) may include a request for information to be given orally.                  

(4)The rules may make provision enabling or requiring an adjudicator to request information from persons of a prescribed description                           in prescribed circumstances.                  

##### 263MMaking of bankruptcy order

(1)This section applies where an adjudicator makes a bankruptcy order as a result of a bankruptcy application.                  

(2)The order must be made in the prescribed form.                  

(3)The adjudicator must—                  

(a)give a copy of the order to the debtor, and                  

(b)give notice of the order to persons of such description as may be prescribed.                  

##### 263NRefusal to make a bankruptcy order: review and appeal etc.

(1)Where an adjudicator refuses to make a bankruptcy order on a bankruptcy application, the adjudicator must give notice to the                           debtor—                  

(a)giving the reasons for the refusal, and                  

(b)explaining the effect of subsections (2) to (5).                  

(2)If requested by the debtor before the end of the prescribed period, the adjudicator must review the information which was                           available to the adjudicator when the determination that resulted in the refusal was made.                  

(3)Following a review under subsection (2) the adjudicator must—                  

(a)confirm the refusal to make a bankruptcy order, or                  

(b)make a bankruptcy order against the debtor.                  

(4)Where the adjudicator confirms a refusal under subsection (3), the adjudicator must give notice to the debtor—                  

(a)giving the reasons for the confirmation, and                  

(b)explaining the effect of subsection (5).                  

(5)If the refusal is confirmed under subsection (3), the debtor may appeal against the refusal to the court before the end of                           the prescribed period.                  

##### 263OFalse representations and omissions

(1)It is an offence knowingly or recklessly to make any false representation or omission in—                  

(a)making a bankruptcy application to an adjudicator, or                  

(b)providing any information to an adjudicator in connection with a bankruptcy application.                  

(2)It is an offence knowingly or recklessly to fail to notify an adjudicator of a matter in accordance with a requirement imposed                           by or under this Part.                  

(3)It is immaterial for the purposes of an offence under this section whether or not a bankruptcy order is made as a result of                           the application.                  

(4)It is not a defence in proceedings for an offence under this section that anything relied on, in whole or in part, as constituting                           the offence was done outside England and Wales.                  

(5)Proceedings for an offence under this section may only be instituted—                  

(a)by the Secretary of State, or                  

(b)by or with the consent of the Director of Public Prosecutions.”                  

 Section 71(3)

## SCHEDULE 19E+W+SAdjudicators: minor and consequential amendments

1E+W+SThe Insolvency Act 1986 is amended in accordance with this Schedule.

Commencement Information

I883Sch. 19 para. 1 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

2E+WIn section 253 (application for interim order), omit subsection (5).

Commencement Information

I884Sch. 19 para. 2 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

3E+WIn section 255 (cases in which interim order can be made), in subsection (1)(b) for “petition for his own bankruptcy” substitute                        “ make a bankruptcy application ”.

Commencement Information

I885Sch. 19 para. 3 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

4(1)Section 256A (debtor's proposal and nominee's report) is amended as follows.E+W

(2)In subsection (1) omit the words from “unless” to the end.

(3)In subsection (3) for “petition for his own bankruptcy” substitute “ make a bankruptcy application ”.

Commencement Information

I886Sch. 19 para. 4 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

5E+WFor the heading to Chapter 1 of Part 9 substitute “ The court: bankruptcy petitions and bankruptcy orders ”.

Commencement Information

I887Sch. 19 para. 5 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

6E+WIn section 264 (who may present a bankruptcy petition), in subsection (1) omit paragraph (b).

Commencement Information

I888Sch. 19 para. 6 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

7E+WFor section 265 (conditions to be satisfied in respect of debtor) substitute—

### “265Creditor's petition: debtors against whom the court may make a bankruptcy order

(1)A bankruptcy petition may be presented to the court under section 264(1)(a) only if—                  

(a)the centre of the debtor's main interests is in England and Wales, or                  

(b)the centre of the debtor's main interests is not in a member state of the European Union which has adopted the EC Regulation,                           but the test in subsection (2) is met.                  

(2)The test is that—                  

(a)the debtor is domiciled in England and Wales, or                  

(b)at any time in the period of three years ending with the day on which the petition is presented, the debtor—                  

(i)has been ordinarily resident, or has had a place of residence, in England and Wales, or                  

(ii)has carried on business in England and Wales.                  

(3)The reference in subsection (2) to the debtor carrying on business includes—                  

(a)the carrying on of business by a firm or partnership of which the debtor is a member, and                  

(b)the carrying on of business by an agent or manager for the debtor or for such a firm or partnership.                  

(4)In this section, references to the centre of the debtor's main interests have the same meaning as in Article 3 of the EC Regulation.”                  

Commencement Information

I889Sch. 19 para. 7 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

8E+WIn section 266 (bankruptcy petitions: other preliminary conditions), in subsection (4) omit “, (b)”.

Commencement Information

I890Sch. 19 para. 8 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

9(1)Sections 272 to 274A (and the cross-heading immediately preceding those sections) (debtor's petition) are repealed.E+W

(2)In consequence of the repeal of section 274A by sub-paragraph (1), omit paragraph 3 of Schedule 20 to the Tribunals, Courts                        and Enforcement Act 2007 (debt relief orders: consequential amendments).

Commencement Information

I891Sch. 19 para. 9 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with arts. 3, 4)

10E+WFor the cross-heading immediately before section 278 substitute— “ CHAPTER 1A Commencement and duration of bankruptcy ”.

Commencement Information

I892Sch. 19 para. 10 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

11E+WIn section 278 (commencement and continuance), in paragraph (b) (discharge of bankruptcy order) omit “the following provisions                        of”.

Commencement Information

I893Sch. 19 para. 11 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

12E+WIn section 279 (duration of bankruptcy), in subsection (6) for “adjudged” substitute “ made ”.

Commencement Information

I894Sch. 19 para. 12 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

13E+WIn section 282 (court's power to annul bankruptcy order), in subsection (2)—

(a)omit “, (b)”,

(b)after “section 264(1)” insert “ or on a bankruptcy application ”, and

(c)in paragraph (a) after “pending” insert “ or the application was ongoing ”.

Commencement Information

I895Sch. 19 para. 13 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

14E+WIn section 283 (definition of bankrupt's estate), in subsection (5)(a) for “adjudged” substitute “ made ”.

Commencement Information

I896Sch. 19 para. 14 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

15(1)Section 284 (restrictions on dispositions of property) is amended as follows.E+W

(2)In subsection (1) for “adjudged” substitute “ made ”.

(3)In subsection (3) for “presentation of the petition for the bankruptcy order” substitute “ making of the bankruptcy application or (as the case may be) the presentation of the bankruptcy petition ”.

(4)In subsection (4), in paragraph (a) before “petition” insert “ bankruptcy application had been made or (as the case may be) that the bankruptcy ”.

Commencement Information

I897Sch. 19 para. 15 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

16(1)Section 285 (restriction on proceedings and remedies) is amended as follows.E+W

(2)In subsection (1)—

(a)after “when” insert “ proceedings on a bankruptcy application are ongoing or ”, and

(b)for “adjudged” substitute “ made ”.

(3)In subsection (2) after “proof that” insert “ a bankruptcy application has been made or ”.

Commencement Information

I898Sch. 19 para. 16 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

17(1)Section 286 (power to appoint interim receiver) is amended as follows.E+W

(2)Omit subsection (2).

(3)In subsection (8), for “adjudged” substitute “ made ”.

Commencement Information

I899Sch. 19 para. 17 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

18E+WIn section 288 (statement of affairs), in subsection (1) for “debtor's petition” substitute “ bankruptcy application ”.

Commencement Information

I900Sch. 19 para. 18 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

19E+WIn section 290 (public examination of bankrupt), in subsection (4)(a) for “adjudged” substitute “ made ”.

Commencement Information

I901Sch. 19 para. 19 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

20E+WIn section 293 (summoning of meeting to appoint first trustee), in subsections (2) and (3) for “court” substitute “ prescribed person ”.

Commencement Information

I902Sch. 19 para. 20 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

21E+WIn section 295 (failure of meeting to appoint trustee), in subsection (3) for “court” substitute “ prescribed person ”.

Commencement Information

I903Sch. 19 para. 21 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

22(1)Section 297 (appointment of trustee of bankrupt's estate: special cases) is amended as follows.E+W

(2)Omit subsection (4).

(3)In subsection (6) omit “(4) or”.

Commencement Information

I904Sch. 19 para. 22 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

23E+WIn section 298 (removal of trustee and vacation of office), in subsections (7) and (8) for “court” substitute “ prescribed person ”.

Commencement Information

I905Sch. 19 para. 23 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

24(1)Section 299 (release of trustee) is amended as follows.E+W

(2)In subsection (1)(a) for “to the court” substitute “ under this paragraph to the prescribed person ”.

(3)In subsection (3)(a) for “court” substitute “ prescribed person ”.

Commencement Information

I906Sch. 19 para. 24 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

25(1)Section 320 (court order vesting disclaimed property) is amended as follows.E+W

(2)In subsection (2)(c) before “bankruptcy” insert “ bankruptcy application was made or (as the case may be) the ”.

(3)In subsection (3)(c) before “bankruptcy” insert “ bankruptcy application was made or (as the case may be) the ”.

Commencement Information

I907Sch. 19 para. 25 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

26E+WIn section 321 (orders under section 320 in respect of leaseholds), in subsection (1)(a) before “bankruptcy” insert “ bankruptcy application was made or (as the case may be) the ”.

Commencement Information

I908Sch. 19 para. 26 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

27E+WIn section 323 (mutual credit and set-off), in subsection (3) before “a bankruptcy” insert “ proceedings on a bankruptcy application relating to the bankrupt were ongoing or that ”.

Commencement Information

I909Sch. 19 para. 27 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

28E+WIn section 334 (stay of distribution in case of second bankruptcy), in subsection (2) before “presentation of the petition”                        insert “ making of the application or (as the case may be) the ”.

Commencement Information

I910Sch. 19 para. 28 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

29(1)Section 336 (rights of occupation etc of bankrupt's spouse or civil partner) is amended as follows.E+W

(2)In subsection (1) for “presentation of the petition for the bankruptcy order” substitute “ making of the bankruptcy application or (as the case may be) the presentation of the bankruptcy petition ”.

(3)In subsection (2) for “adjudged” substitute “ made ”.

Commencement Information

I911Sch. 19 para. 29 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

30E+WIn section 337 (rights of occupation of bankrupt), in subsection (1)—

(a)in paragraph (a) for “adjudged” substitute “ made ”, and

(b)in paragraph (b) before “bankruptcy petition” insert “ bankruptcy application was made or (as the case may be) the ”.

Commencement Information

I912Sch. 19 para. 30 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

31E+WIn section 339 (transactions at an undervalue), in subsection (1) for “adjudged” substitute “ made ”.

Commencement Information

I913Sch. 19 para. 31 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

32E+WIn section 340 (preferences), in subsection (1) for “adjudged” substitute “ made ”.

Commencement Information

I914Sch. 19 para. 32 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

33E+WIn section 341 (meaning of “relevant time” under sections 339 and 340), in subsection (1)(a) for “presentation of the bankruptcy                        petition on which the individual is adjudged” substitute “ making of the bankruptcy application as a result of which, or (as the case may be) the presentation of the bankruptcy petition                           on which, the individual is made ”.

Commencement Information

I915Sch. 19 para. 33 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

34(1)Section 342 (orders under sections 339 and 340) is amended as follows.E+W

(2)In subsection (1) for “adjudged” substitute “ made ”.

(3)In subsection (5)—

(a)for paragraph (a) substitute—

“(a)of the fact that the bankruptcy application as a result of which, or (as the case may be) the bankruptcy petition on which,                           the individual in question is made bankrupt has been made or presented; or”, and                  

(b)in paragraph (b) for “adjudged” substitute “ made ”.

Commencement Information

I916Sch. 19 para. 34 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

35E+WIn section 342A (recovery of excessive pension contributions), in subsection (1) for “adjudged” substitute “ made ”.

Commencement Information

I917Sch. 19 para. 35 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

36E+WIn section 343 (extortionate credit transactions), in subsection (1) for “adjudged” substitute “ made ”.

Commencement Information

I918Sch. 19 para. 36 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

37(1)Section 344 (avoidance of general assignment of book debts) is amended as follows.E+W

(2)In subsection (1) for “adjudged” substitute “ made ”.

(3)In subsection (2) before “presentation” insert “ making of the bankruptcy application or (as the case may be) the ”.

Commencement Information

I919Sch. 19 para. 37 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

38E+WIn section 345 (contracts to which bankrupt is a party), in subsection (1) for “adjudged” substitute “ made ”.

Commencement Information

I920Sch. 19 para. 38 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

39(1)Section 346 (enforcement procedures) is amended as follows.E+W

(2)In subsections (1) and (2) for “adjudged” substitute “ made ”.

(3)In subsection (3)—

(a)in paragraph (b) before “bankruptcy” insert “ bankruptcy application has been made or a ”, and

(b)in paragraph (c) before “on that petition” insert “ as a result of that application or ”.

(4)In subsection (4)(a) after “while” insert “ proceedings on a bankruptcy application are ongoing or (as the case may be) ”.

Commencement Information

I921Sch. 19 para. 39 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

40(1)Section 347 (distress, etc) is amended as follows.E+W

(2)In subsection (2)—

(a)after “individual to whom” insert “ a bankruptcy application or ”, and

(b)before “on that petition” insert “ as a result of that application or ”.

(3)In subsection (3) for “adjudged” substitute “ made ”.

Modifications etc. (not altering text)

C8Sch. 19 para. 40(3) modified (18.11.2015) by Finance (No. 2) Act 2015 (c. 33), **Sch. 8 para. 33(2)**

Commencement Information

I922Sch. 19 para. 40 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

41E+WIn section 348 (apprenticeships, etc), in subsection (1)(a) for “petition on which the order was made” substitute “ application for the order was made or (as the case may be) the petition for the order ”.

Commencement Information

I923Sch. 19 para. 41 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

42E+WIn section 350 (application of Chapter 6 of Part 9: bankruptcy offences), in subsection (1) after “applies” insert “— 

(a)where an adjudicator has made a bankruptcy order as a result of a bankruptcy application, or                  

(b)”.

Commencement Information

I924Sch. 19 para. 42 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

43(1)Section 351 (definitions for the purposes of Chapter 6 of Part 9) is amended as follows.E+W

(2)In paragraph (b) before “presentation” insert “ making of the bankruptcy application or (as the case may be) the ”.

(3)Omit paragraph (c), and the preceding “and”.

Commencement Information

I925Sch. 19 para. 43 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

44(1)Section 354 (concealment of property) is amended as follows.E+W

(2)In subsection (1)(c) before “petition” insert “ the making of the bankruptcy application or (as the case may be) the presentation of the bankruptcy ”.

(3)In subsection (3)(a) before “petition” insert “ the making of the bankruptcy application or (as the case may be) the presentation of the bankruptcy ”.

Commencement Information

I926Sch. 19 para. 44 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

45(1)Section 355 (concealment of books and papers; falsification) is amended as follows.E+W

(2)In subsection (2)(d) before “petition” insert “ the making of the bankruptcy application or (as the case may be) the presentation of the bankruptcy ”.

(3)In subsection (3)(b) before “petition” insert “ the making of the bankruptcy application or (as the case may be) the presentation of the bankruptcy ”.

Commencement Information

I927Sch. 19 para. 45 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

46E+WIn section 356 (false statements), in subsection (2)(c) before “petition” insert “ the making of the bankruptcy application or (as the case may be) the presentation of the bankruptcy ”.

Commencement Information

I928Sch. 19 para. 46 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

47E+WIn section 358 (absconding), in paragraph (b) before “petition” insert “ the making of the bankruptcy application or (as the case may be) the presentation of the bankruptcy ”.

Commencement Information

I929Sch. 19 para. 47 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

48(1)Section 359 (fraudulent dealing with property obtained on credit) is amended as follows.E+W

(2)In subsection (1) before “petition” insert “ the making of the bankruptcy application or (as the case may be) the presentation of the bankruptcy ”.

(3)In subsection (2) before “petition” insert “ the making of the bankruptcy application or (as the case may be) the presentation of the bankruptcy ”.

Commencement Information

I930Sch. 19 para. 48 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

49E+WIn section 360 (obtaining credit and engaging in business), in subsection (1)(b) for “adjudged” substitute “ made ”.

Commencement Information

I931Sch. 19 para. 49 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

50(1)Section 364 (power of arrest) is amended as follows.E+W

(2)In subsection (1)(a) after “to whom a” insert “ bankruptcy application or a ”.

(3)In subsection (2) before “presentation” insert “ making of the bankruptcy application or the ”.

Commencement Information

I932Sch. 19 para. 50 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

51E+WIn section 376 (time limits), after “anything” insert “ (including anything in relation to a bankruptcy application) ”.

Commencement Information

I933Sch. 19 para. 51 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

52(1)Section 381 (definition of “bankrupt” and associated terminology) is amended as follows.E+W

(2)In subsection (1) for “adjudged” (in both places where it occurs) substitute “ made ”.

(3)After subsection (1) insert—

“(1A)Bankruptcy application” means an application to an adjudicator for a bankruptcy order.”                  

(4)In subsection (2) for “adjudging” substitute “ making ”.

Commencement Information

I934Sch. 19 para. 52 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

53E+WIn section 383 (definition of “creditor” etc.), in subsection (1)(b)—

(a)after “to whom a” insert “ bankruptcy application or ”, and

(b)after “that” insert “ application or ”.

Commencement Information

I935Sch. 19 para. 53 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

54E+WIn section 384 (definitions of “prescribed” and “the rules”), in subsection (1) omit “section 273;”.

Commencement Information

I936Sch. 19 para. 54 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

55E+WIn section 385 (miscellaneous definitions), in subsection (1)—

(a)before the definition of “the court” insert—

““adjudicator” means a person appointed by the Secretary of State under section 398A;”,                  

(b)in the definition of “the debtor”, in paragraph (b)—

(i)before “bankruptcy petition” insert “ bankruptcy application or a ”, and

(ii)after “to whom the” insert “ application or ”,

(c)omit the definition of “debtor's petition”, and

(d)before the definition of “dwelling house” insert—

“determination period” has the meaning given in section 263K(4);”.                  

Commencement Information

I937Sch. 19 para. 55 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

56E+W+SIn section 387 (meaning of “the relevant date”), in subsection (6)(a) after “after” insert “ the making of the bankruptcy application or (as the case may be) ”.

Commencement Information

I938Sch. 19 para. 56 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

57E+W+SIn section 389A (authorisation of nominees and supervisors), in subsection (3)(a) for “adjudged” substitute “ made ”.

Commencement Information

I939Sch. 19 para. 57 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

58E+W+SIn section 390 (persons not qualified to act as insolvency practitioners), in subsection (4)(a) for “adjudged” substitute                        “ made ”.

Commencement Information

I940Sch. 19 para. 58 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

59(1)Section 415 (fees orders) is amended as follows.E+W

(2)In subsection (1)—

(a)after paragraph (a) omit “and”, and

(b)at the end of paragraph (b) insert “and 

(c)the performance by an adjudicator of functions under Part 9 of this Act,”.                  

(3)After subsection (1) insert—

“(1A)An order under subsection (1) may make different provision for different purposes, including by reference to the manner or                           form in which proceedings are commenced.”                  

Commencement Information

I941Sch. 19 para. 59 partly in force; sch. 19 para. 59 in force for specified purposes at Royal Assent, see s.103(1)(i)

I942Sch. 19 para. 59 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

60E+W+SIn section 421A (insolvent estates: joint tenancies), in subsection (9) in the definition of “value lost to the estate”, for                        “adjudged” substitute “ made ”.

Commencement Information

I943Sch. 19 para. 60 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

61E+WIn section 424 (who may apply for an order under section 423 in respect of transactions entered into at an undervalue), in                        subsection (1)(a) for “adjudged” substitute “ made ”.

Commencement Information

I944Sch. 19 para. 61 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

62E+WIn Schedule 4ZA (conditions for making a debt relief order), for paragraph 3 substitute—

“3A bankruptcy application under Part 9—

(a)has not been made before the determination date; or                  

(b)has been so made, but proceedings on the application have been finally disposed of before that date.”                  

Commencement Information

I945Sch. 19 para. 62 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

63(1)In Schedule 4A (bankruptcy restrictions orders), paragraph 2 is amended as follows.E+W

(2)In sub-paragraph (2)—

(a)in paragraph (a), for the words from “petition” to the end substitute “ the making of the bankruptcy application or (as the case may be) the presentation of the bankruptcy petition and ending                           with the date of the application for the bankruptcy restrictions order ”, and

(b)in paragraph (j), for “presentation of the petition” substitute “ the making of the bankruptcy application or (as the case may be) the presentation of the bankruptcy petition ”.

(3)In sub-paragraph (4) omit the definition of “before petition”.

Commencement Information

I946Sch. 19 para. 63 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

64E+WIn Schedule 6 (categories of preferential debts), in paragraph 14(1) for “adjudged” substitute “ made ”.

Commencement Information

I947Sch. 19 para. 64 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

65(1)Schedule 9 (provisions capable of inclusion in individual insolvency rules) is amended as follows.E+W

(2)After paragraph 4 insert—

### “AdjudicatorsE+W

4AProvision for regulating the practice and procedure of adjudicators in the discharge of functions for the purposes of Part                           9 of this Act.

4BProvision about the form and content of a bankruptcy application (including an application for a review of an adjudicator's                           determination).”

(3)After paragraph 4B (as inserted by sub-paragraph (2)) insert—

### “Appeals against determinations by adjudicatorsE+W

4CProvision about the making and determining of appeals to the court against a determination by an adjudicator, including provision—

(a)enabling the court to make a bankruptcy order on such an appeal, and                  

(b)about where such appeals lie.”                  

(4)After paragraph 24 insert—

“24AProvision requiring adjudicators—

(a)to keep files and other records relating to bankruptcy applications and bankruptcies resulting from bankruptcy applications,                  

(b)to make files and records available for inspection by persons of a prescribed description, and                  

(c)to provide files and records, or copies of them, to persons of a prescribed description.                  

24BProvision requiring an adjudicator to make returns to the Secretary of State of the adjudicator's business under Part 9 of                           this Act.

24CProvision requiring official receivers—

(a)to keep files and other records relating to bankruptcy applications and bankruptcies resulting from bankruptcy applications,                           and                  

(b)to make files and records available for inspection by persons of a prescribed description.                  

24DProvision requiring a person to whom notice is given under section 293(2), 295(3), 298(7) or (8) or section 299(1)(a) or (3)(a)—

(a)to keep files and other records of notices given under the section in question, and                  

(b)to make files and records available for inspection by persons of a prescribed description.”                  

Commencement Information

I948Sch. 19 para. 65 partly in force; sch. 19 para. 65 in force for specified purposes at Royal Assent, see s.103(1)(i)

I949Sch. 19 para. 65 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

66(1)In the Table in Schedule 10 (punishment of offences), insert the following entry after the entry relating to section 262A(1)—E+W+S

(2)In the application of the entry inserted by sub-paragraph (1) in relation to an offence committed before the commencement                        of section 154(1) of the Criminal Justice Act 2003 (limit on magistrates' court powers to impose imprisonment), the reference                        in the fourth column to “12 months” is to be read as a reference to “6 months”.

Commencement Information

I950Sch. 19 para. 66 in force at 6.4.2016 by S.I. 2016/191, **art. 2** (with art. 3)

 Section 72(4)

## SCHEDULE 20U.K.Abolition of Agricultural Wages Board and related English bodies: consequential provision

1U.K.In section 28 of the Rent (Agriculture) Act 1976 (duty of housing authority upon receiving application that agricultural worker                        be re-housed etc), in subsection (3), for “The authority” substitute “ If the dwelling-house is in Wales, the authority ”.

Commencement Information

I951Sch. 20 para. 1 in force at 1.10.2013 by S.I. 2013/1455, **art. 3(a)** (with art. 4(1)-(3))

2U.K.The repeals and revocations in the following table have effect.

Modifications etc. (not altering text)

C9Sch. 20 para. 2 excluded (E.W.) (30.7.2014) by Agricultural Sector (Wales) Act 2014 (anaw 6), **ss. 12(2)(a)**, 19 (with s. 14(1))

Commencement Information

I952Sch. 20 para. 2 in force at 25.6.2013 for specified purposes by S.I. 2013/1455, art. 2(c), **Sch. 1** (with art. 4(2))

I953Sch. 20 para. 2 in force at 1.10.2013 for specified purposes for E. by S.I. 2013/1455, art. 3(b), **Sch. 2** (with art. 4(1)-(2), (4), Sch. 3)

I954Sch. 20 para. 2 in force at 16.12.2013 for specified purposes by S.I. 2013/2979, art. 2(d), **Sch. Pt. 2**

I955Sch. 20 para. 2 in force at 16.12.2013 for specified purposes for E. by S.I. 2013/2979, art. 2(c), **Sch. Pt. 1** (with art. 4)

I956Sch. 20 para. 2 in force at 31.3.2014 for specified purposes for E. by S.I. 2013/2979, **art. 3** (as amended (26.3.2014) by S.I. 2014/824, art. 2(a))

I957Sch. 20 para. 2 in force at 15.9.2014 for specified purposes by S.I. 2014/2481, **art. 2**

I958Sch. 20 para. 2 in force at 31.12.2014 for specified purposes for E. by S.I. 2013/2979, **art. 3A** (as inserted (26.3.2014) by S.I. 2014/824, art. 2(b) and substituted (14.9.2014) by S.I. 2014/2481, art. 4)

 Section 73

## SCHEDULE 21U.K.Unnecessary regulation: miscellaneous

### **PART 1**U.K.Notification of TV sales etc

#### Wireless Telegraphy Act 1967 (c. 72)U.K.

1U.K.The Wireless Telegraphy Act 1967 (the remaining provisions of which make provision for, and in connection with, the recording                        and notification of the sale or hire of televisions etc) is repealed.

2U.K.In consequence, the repeals in the following table have effect.

#### Saving provisionU.K.

3U.K.The repeal of section 3 of the Post Office Act 1969 by paragraph 2 does not affect the construction of any provision mentioned                        in subsection (1)(i) or (ii) of that section that continues to have effect after the commencement of the repeal.

### **PART 2**E+WWater undertakers: in-area ban

#### Water Industry Act 1991 (c. 56)E+W

4E+WIn section 2 of the Water Industry Act 1991 (general duties with respect to water industry), omit subsection (3)(d)(iii) (duty                        of Secretary of State and the Water Services Regulation Authority where a licensed water supplier is connected to a relevant                        undertaker).

### **PART 3**E+WBankruptcy early discharge procedure

#### Insolvency Act 1986 (c. 45)E+W

5E+WIn section 279 of the Insolvency Act 1986 (duration of bankruptcy), omit subsection (2) (bankrupt discharged early if official                        receiver files with the court a notice stating that investigation of the conduct and affairs of the bankrupt is unnecessary                        or concluded).

Commencement Information

I959Sch. 21 para. 5 in force at 1.10.2013 by S.I. 2013/2227, **art. 2(n)** (with art. 6)

 Section 77(4)

## SCHEDULE 22U.K.Licensing of copyright and performers' rights

### **PART 1**U.K.Regulation of licensing bodies

1U.K.In the Copyright, Designs and Patents Act 1988, before Schedule 1 insert—

#### “SCHEDULE A1U.K.Regulation of licensing bodies

##### Codes of practiceU.K.

1(1)The Secretary of State may by regulations make provision for a licensing body to be required to adopt a code of practice that                           complies with criteria specified in the regulations.                  

(2)The regulations may provide that, if a licensing body fails to adopt such a code of practice, any code of practice that is                           approved for the purposes of that licensing body by the Secretary of State, or by a person designated by the Secretary of                           State under the regulations, has effect as a code of practice adopted by the body.                  

(3)The regulations must provide that a code is not to be approved for the purposes of provision under sub-paragraph (2) unless                           it complies with criteria specified in the regulations.                  

2Regulations under paragraph 1 may make provision as to conditions that are to be satisfied, and procedures that are to be                           followed—

(a)before a licensing body is required to adopt a code of practice as described in paragraph 1(1);                  

(b)before a code of practice has effect as one adopted by a licensing body as described in paragraph 1(2).                  

##### Licensing code ombudsmanU.K.

3(1)The Secretary of State may by regulations make provision—                  

(a)for the appointment of a person (the “licensing code ombudsman”) to investigate and determine disputes about a licensing body's                           compliance with its code of practice;                  

(b)for the reference of disputes to the licensing code ombudsman;                  

(c)for the investigation and determination of a dispute so referred.                  

(2)Provision made under this paragraph may in particular include provision—                  

(a)about eligibility for appointment as the licensing code ombudsman;                  

(b)about the disputes to be referred to the licensing code ombudsman;                  

(c)requiring any person to provide information, documents or assistance to the licensing code ombudsman for the purposes of an                           investigation or determination;                  

(d)requiring a licensing body to comply with a determination of the licensing code ombudsman;                  

(e)about the payment of expenses and allowances to the licensing code ombudsman.                  

##### Code reviewerU.K.

4(1)The Secretary of State may by regulations make provision—                  

(a)for the appointment by the Secretary of State of a person (the “code reviewer”) to review and report to the Secretary of State                           on—                  

(i)the codes of practice adopted by licensing bodies, and                  

(ii)compliance with the codes of practice;                  

(b)for the carrying out of a review and the making of a report by that person.                  

(2)The regulations must provide for the Secretary of State, before appointing a person as the code reviewer, to consult persons                           whom the Secretary of State considers represent the interests of licensing bodies, licensees, members of licensing bodies,                           and the Intellectual Property Office.                  

(3)The regulations may, in particular, make provision—                  

(a)requiring any person to provide information, documents or assistance to the code reviewer for the purposes of a review or                           report;                  

(b)about the payment of expenses and allowances to the code reviewer.                  

(4)In this paragraph “member”, in relation to a licensing body, means a person on whose behalf the body is authorised to negotiate or grant licences.                  

##### SanctionsU.K.

5(1)The Secretary of State may by regulations provide for the consequences of a failure by a licensing body to comply with—                  

(a)a requirement to adopt a code of practice under provision within paragraph 1(1);                  

(b)a code of practice that has been adopted by the body in accordance with a requirement under provision within paragraph 1(1),                           or that has effect as one adopted by the body under provision within paragraph 1(2);                  

(c)a requirement imposed on the body under any other provision made under this Schedule;                  

(d)an authorisation under regulations under section 116A or 116B;                  

(e)a requirement imposed by regulations under section 116A or 116B;                  

(f)an authorisation under regulations under paragraph 1A or 1B of Schedule 2A;                  

(g)a requirement imposed by regulations under paragraph 1A or 1B of that Schedule.                  

(2)The regulations may in particular provide for—                  

(a)the imposition of financial penalties or other sanctions;                  

(b)the imposition of sanctions on a director, manager or similar officer of a licensing body or, where the body's affairs are                           managed by its members, on a member.                  

(3)The regulations must include provision—                  

(a)for determining whether there has been a failure to comply with a requirement or code of practice for the purposes of any                           provision made under sub-paragraph (1);                  

(b)for determining any sanction that may be imposed in respect of the failure to comply;                  

(c)for an appeal against a determination within paragraph (a) or (b).                  

(4)A financial penalty imposed under sub-paragraph (2) must not be greater than £50,000.                  

(5)The regulations may provide for a determination within sub-paragraph (3)(a) or (3)(b) to be made by the Secretary of State                           or by a person designated by the Secretary of State under the regulations.                  

(6)The regulations may make provision for requiring a person to give the person by whom a determination within sub-paragraph                           (3)(a) falls to be made (the “adjudicator”) any information that the adjudicator reasonably requires for the purpose of making                           that determination.                  

##### FeesU.K.

6(1)The Secretary of State may by regulations require a licensing body to which regulations under any other paragraph of this                           Schedule apply to pay fees to the Secretary of State.                  

(2)The aggregate amount of fees payable under the regulations must not be more than the cost to the Secretary of State of administering                           the operation of regulations under this Schedule.                  

##### GeneralU.K.

7(1)The power to make regulations under this Schedule includes in particular power—                  

(a)to make incidental, supplementary or consequential provision, including provision extending or restricting the jurisdiction                           of the Copyright Tribunal or conferring powers on it;                  

(b)to make provision for bodies of a particular description, or carrying out activities of a particular description, not to be                           treated as licensing bodies for the purposes of requirements imposed under regulations under this Schedule;                  

(c)to make provision that applies only in respect of licensing bodies of a particular description, or only in respect of activities                           of a particular description;                  

(d)otherwise to make different provision for different purposes.                  

(2)Regulations under a paragraph of this Schedule may amend Part 1 or Part 2, or any other enactment or subordinate legislation                           passed or made before the paragraph in question comes into force, for the purpose of making consequential provision or extending                           or restricting the jurisdiction of the Copyright Tribunal or conferring powers on it.                  

(3)The power to make regulations is exercisable by statutory instrument.                  

(4)A statutory instrument containing regulations may not be made unless a draft of the instrument has been laid before and approved                           by a resolution of each House of Parliament.                  

8References in this Schedule to a licensing body are to a body that is a licensing body for the purposes of Chapter 7 of Part                           1 or Chapter 2 of Part 2, and references to licensees are to be construed accordingly.”

### **PART 2**U.K.Performers' rights

2U.K.Schedule 2A to the Copyright, Designs and Patents Act 1988 (licensing of performers' property rights) is amended as follows.

3U.K.In the heading of the Schedule omit “property”.

4U.K.In paragraph 1, after sub-paragraph (4) insert—

“(5)Schedule A1 confers powers to provide for the regulation of licensing bodies.”                  

5U.K.After paragraph 1 insert—

#### “Power to provide for licensing of orphan rightsU.K.

1A(1)The Secretary of State may by regulations provide for the grant of licences to do, or authorise the doing of, acts to which                           section 182, 182A, 182B, 182C, 182CA, 183 or 184 applies in respect of a performance, where—                  

(a)the performer's consent would otherwise be required under that section, but                  

(b)the right to authorise or prohibit the act qualifies as an orphan right under the regulations.                  

(2)The regulations may—                  

(a)specify a person or a description of persons authorised to grant licences, or                  

(b)provide for a person designated in the regulations to specify a person or a description of persons authorised to grant licences.                  

(3)The regulations must provide that, for a right to qualify as an orphan right, it is a requirement that the owner of the right                           has not been found after a diligent search made in accordance with the regulations.                  

(4)The regulations must provide for any licence—                  

(a)to have effect as if granted by the missing owner;                  

(b)not to give exclusive rights;                  

(c)not to be granted to a person authorised to grant licences.                  

(5)The regulations may apply in a case where it is not known whether a performer's right subsists, and references to a right,                           to a missing owner and to an interest of a missing owner are to be read as including references to a supposed right, owner                           or interest.                  

#### Extended collective licensingU.K.

1B(1)The Secretary of State may by regulations provide for a licensing body that applies to the Secretary of State under the regulations                           to be authorised to grant licences to do, or authorise the doing of, acts to which section 182, 182A, 182B, 182C, 182CA, 183                           or 184 applies in respect of a performance, where the right to authorise or prohibit the act is not owned by the body or a                           person on whose behalf the body acts.                  

(2)An authorisation must specify the acts to which any of those sections applies that the licensing body is authorised to license.                  

(3)The regulations must provide for the rights owner to have a right to limit or exclude the grant of licences by virtue of the                           regulations.                  

(4)The regulations must provide for any licence not to give exclusive rights.                  

#### General provision about licensingU.K.

1C(1)This paragraph and paragraph 1D apply to regulations under paragraphs 1A and 1B.                  

(2)The regulations may provide for a body to be or remain authorised to grant licences only if specified requirements are met,                           and for a question whether they are met to be determined by a person, and in a manner, specified in the regulations.                  

(3)The regulations may specify other matters to be taken into account in any decision to be made under the regulations as to                           whether to authorise a person to grant licences.                  

(4)The regulations must provide for the treatment of any royalties or other sums paid in respect of a licence, including—                  

(a)the deduction of administrative costs;                  

(b)the period for which sums must be held;                  

(c)the treatment of sums after that period (as bona vacantia or otherwise).                  

(5)The regulations must provide for circumstances in which an authorisation to grant licences may be withdrawn, and for determining                           the rights and obligations of any person if an authorisation is withdrawn.                  

(6)The regulations may include other provision for the purposes of authorisation and licensing, including in particular provision—                  

(a)for determining the rights and obligations of any person if a right ceases to qualify as an orphan right (or ceases to qualify                           by reference to any rights owner), or if a rights owner exercises the right referred to in paragraph 1B(3), while a licence                           is in force;                  

(b)about maintenance of registers and access to them;                  

(c)permitting the use of a work for incidental purposes including an application or search;                  

(d)for a right conferred by section 205C to be treated as having been asserted under section 205D;                  

(e)for the payment of fees to cover administrative expenses.                  

1D(1)The power to make regulations includes power—                  

(a)to make incidental, supplementary or consequential provision, including provision extending or restricting the jurisdiction                           of the Copyright Tribunal or conferring powers on it;                  

(b)to make transitional, transitory or saving provision;                  

(c)to make different provision for different purposes.                  

(2)Regulations under any provision may amend this Part, or any other enactment or subordinate legislation passed or made before                           that provision comes into force, for the purpose of making consequential provision or extending or restricting the jurisdiction                           of the Copyright Tribunal or conferring powers on it.                  

(3)Regulations may make provision by reference to guidance issued from time to time by any person.                  

(4)The power to make regulations is exercisable by statutory instrument.                  

(5)A statutory instrument containing regulations may not be made unless a draft of the instrument has been laid before and approved                           by a resolution of each House of Parliament.”                  

6U.K.In section 205A of the Copyright, Designs and Patents Act 1988, and in the italic heading before that section (licensing of                        performers' property rights), omit “property”.