The Authority has a range of enforcement tools available to help it meet its regulatory objectives. Where a licensee has failed to comply with the legislative requirements, it will often be appropriate to address this without further need for formal disciplinary or other enforcement action.
The Authority has issued guidelines on the steps that it will follow in the event of non-compliance by the licensee. These are the Ladder of Compliance guidelines (section 3 - page 2 - of the Enforcement Manual).
Investigating serious breaches of the regulatory laws, collecting pertinent information and documentation, and recommending enforcement actions are the responsibility of the Authority's Compliance Division.
In circumstances where the Authority takes formal enforcement action because the licensee contravenes the regulatory laws, the effective use of the enforcement powers will play an important role in supporting the Authority’s pursuit of its regulatory objectives. The Authority will seek to ensure the fair treatment of those who are subject to the exercise of its enforcement powers.
The Enforcement Manual describes the policies and procedures for the exercise of the enforcement actions available to the Authority in the event of non-compliance with the regulatory laws.