MLR1PP8450 - Penalties Guidance: Step 2: Identifying the relevant period

The second step is to establish the relevant period during which any breaches took place. In most cases this will be from the date of the previous warning letter, to the date of the Compliance Visit.

The exceptions will be when:

• The breaches were corrected by the business before the visit. Under these circumstances the date will be the date of the last transaction subject to the breaches.
• The breaches began before 15 December 2007. Under these circumstances the relevant period will be from 15 December 2007.
• (This text has been withheld because of exemptions in the Freedom of Information Act 2000)
• The breaches are of such a serious nature that a penalty without a prior warning is appropriate. Under these circumstances the relevant period will be either from 15 December 2007, or when the breaches began, to the date they were corrected, or the date of the visit

If at a follow up Compliance Visit the breaches have not been corrected the relevant period for the next penalty will be from the date of the previous visit to either the date of the follow up visit or when the breaches are corrected.