MLR1PP6200 - Penalties Guidance: The correct legal entity
Warning letters and penalty notices should be sent to the proper person for the legal entity, and where there is a different Nominated Officer it should also be copied to them.
The proper person is, for:
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The Sole Proprietor |
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The Nominated Partner |
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The Company Secretary |
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A Trustee or authorised person |
As a general principle any penalty action, including warning letters, must be taken against the person who is accountable within a business. (Also referred to as the accountable person)
When issuing warning letters a copy should be sent to any Accountant who is acting for the business providing that we have authority of the business to deal with them directly for MLR matters.
