MLR1PP4150 - Penalties Guidance: The penalties and sanctions escalator

If the advice and guidance we provided does not improve compliance our Officers must consider levying penalties or sanctions against the business or individual(s) who controls the business. These must mirror the requirements of the Regulations and must be effective, proportionate and dissuasive. In practice these form an escalator which starts off slowly with warning letters with enforcement notices and then speeds up through increasingly large penalties to possible de-registration and criminal conviction. Our message to those who fail to comply is simple and unambiguous. We will issue dissuasive penalties and consider other sanctions for continuing non-compliance.