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Compensation (Claims Management Services) Regulations 2006 [SI 2006 No. 3322]Introductory TextPart 1 Preliminary (regs. 1-5)Regulation 1 CitationRegulation 2 CommencementRegulation 3 DefinitionsRegulation 4 Documents in electronic formRegulation 5 Use of electronic communicationPart 2 Waiver of requirement for authorisation (regs. 6-7)Regulation 6 Circumstances in which Regulator may waive requirement for authorisationRegulation 7 Conditions on waiverPart 3 Grant of authorisation (regs. 8-14A)Regulation 8 Application for authorisationsRegulation 9 Payment of application feeRegulation 10 Decisions about authorisationsRegulation 11 Time for deciding applicationsRegulation 12 Conditions of authorisationRegulation 13 Grant and refusal of authorisationsRegulation 14 Surrender of authorisationsRegulation 14A Notice lifting a restriction on surrenderPart 4 Fees (regs. 15-20)Regulation 15 Determination of feesRegulation 16 Amendment etc of fees determinationRegulation 17 Invoicing for feesRegulation 18 Payment of fees by chequeRegulation 19 Refund etc of feesRegulation 20 Cancellation for non-payment of feePart 5 Indemnity insurance (regs. 21-21B)Regulation 21 Directions about indemnity insuranceRegulation 21A Requirement to have professional indemnity insurance for persons who provide representationRegulation 21B Minimum terms of professional indemnity insurancePart 6 Rules and codes of practice (regs. 22-27)Regulation 22 RulesRegulation 23 Matters that the rules may coverRegulation 24 Codes of practiceRegulation 25 Amendment etc of rules or code of practiceRegulation 26 Charge for supply of copiesRegulation 27 RedressPart 7 Information and Directions (regs. 28-29)Regulation 28 Review by the Regulator of complaint handlingRegulation 28A Power to share informationRegulation 29 Directions of the Regulator about complaints handling and related mattersPart 8 Routine audit (reg. 30)Regulation 30 Routine inspection of recordsPart 9 Investigation (regs. 31-45)Chapter 1 Preliminary (reg. 31)Regulation 31 Definitions for this PartChapter 2 Investigation - offences by unauthorised persons (regs. 32-34)Regulation 32 Investigation of offences against section 4(1) of Act: requirement to provide informationRegulation 33 Requirements for information under section 8(4) of ActRegulation 34 Search warrants under section 8 of the ActChapter 3 Investigation - Failures by authorised persons to comply with condition of authorisation (regs. 35-37)Regulation 35 Regulator to investigate complaints or suspicions of unprofessional conductRegulation 36 Breaches by authorised persons of condition: requirement to provide information etcRegulation 37 Search warrants for purposes of investigation of professional conductChapter 4 Search warrants generally (regs. 38-45)Regulation 38 DefinitionsRegulation 39 Application generallyRegulation 40 Issue of warrants generallyRegulation 41 Search warrants - formRegulation 42 Execution of warrantsRegulation 43 Copying of documentsRegulation 44 Record to be given of records copiedRegulation 44A Record to be given of records seizedRegulation 45 Retention of copiesPart 10 Cancellation, suspension and variation of authorisations (regs. 46-47)Regulation 46 Cancellation etc of authorisationsRegulation 47 Procedure for cancellation etcPart 11 Financial Penalties (regs. 48-55)Regulation 48 Requirement to pay a penaltyRegulation 49 Determining the amount of a penaltyRegulation 50 Relevant turnoverRegulation 51 Notice of proposed penalty and written submissionsRegulation 52 Procedure for requiring an authorised person to pay a penaltyRegulation 53 Treatment of unpaid penalty as a debtRegulation 54 Treatment of income from penaltiesRegulation 55 Service of notices under this PartSignatureExplanatory NoteExplanatory Memorandum
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Chapter 3 Investigation - Failures by authorised persons to comply with condition of authorisation (regs. 35-37)

Regulation 35 Regulator to investigate complaints or suspicions of unprofessional conduct
Regulation 36 Breaches by authorised persons of condition: requirement to provide information etc
Regulation 37 Search warrants for purposes of investigation of professional conduct
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