Investigations, settlements and decisions
Notification of decisions
Decisions, along with reasons for decisions, by the Compliance Committee or the Board are notified and, in some cases, are publicised:
- decisions and reasons for decisions to decline to pursue a notification are notified to the notifying participant and the party alleged to be in breach;
- when an investigator is appointed to investigate an alleged breach, the investigator publicises the matter under investigation including the content of the formal notice sent to the party alleged to be in breach;
- settlements approved by the Authority;
- decisions by the Authority to not lay a formal complaint. The notifying participant and any parties who have joined the investigation are notified of the decision and that they may lay a formal complaint directly with the Rulings Panel;
- decisions made by the Board to lay a complaint with the Rulings Panel.
Investigations - open for parties to join
There are currently no investigations open for parties to join.
Investigations - closed for parties to join
Investigations following approved settlement
These are investigations where a settlement was reached by the parties and the settlement was approved by the Authority.
If a settlement is approved by the Authority the settlement is final and binding on all parties. The Authority must publicise the terms of every settlement approved:
Investigations closed - no settlement reached and no formal complaint
These are investigations where no settlement was reached by the parties and the Board decided not to lay a formal complaint with the Rulings Panel
Formal complaints
These are investigations where a settlement was reached by the parties but the settlement was not approved by the Board, or where no settlement was reached and the Board decided to lay a formal complaint with the Rulings Panel:
This page is related to: Rules and Regulations, Code & Regulations.