Office of Public Sector Information
PART 8 continued CHAPTER 2 continued
(1) A statement made by a person in response to a requirement imposed on him under a disclosure order may not be used in evidence against him in criminal proceedings.
(2) But subsection (1) does not apply—
(a) in the case of proceedings under Part 2 or 4,
(b) on a prosecution for an offence under section 359(1) or (3),
(c) on a prosecution for an offence under section 5 of the Perjury Act 1911 (c. 6) or Article 10 of the Perjury (Northern Ireland) Order 1979 (S.I. 1979/1714 (N.I. 19)) (false statements), or
(d) on a prosecution for some other offence where, in giving evidence, the person makes a statement inconsistent with the statement mentioned in subsection (1).
(3) A statement may not be used by virtue of subsection (2)(d) against a person unless—
(a) evidence relating to it is adduced, or
(b) a question relating to it is asked,
by him or on his behalf in the proceedings arising out of the prosecution.
(1) A disclosure order does not confer the right to require a person to answer any privileged question, provide any privileged information or produce any privileged document, except that a lawyer may be required to provide the name and address of a client of his.
(2) A privileged question is a question which the person would be entitled to refuse to answer on grounds of legal professional privilege in proceedings in the High Court.
(3) Privileged information is any information which the person would be entitled to refuse to provide on grounds of legal professional privilege in proceedings in the High Court.
(4) Privileged material is any material which the person would be entitled to refuse to produce on grounds of legal professional privilege in proceedings in the High Court.
(5) A disclosure order does not confer the right to require a person to produce excluded material.
(6) A disclosure order has effect in spite of any restriction on the disclosure of information (however imposed).
(7) The Director may take copies of any documents produced in compliance with a requirement to produce them which is imposed under a disclosure order.
(8) Documents so produced may be retained for so long as it is necessary to retain them (as opposed to a copy of them) in connection with the investigation for the purposes of which the order was made.
(9) But if the Director has reasonable grounds for believing that—
(a) the documents may need to be produced for the purposes of any legal proceedings, and
(b) they might otherwise be unavailable for those purposes,
they may be retained until the proceedings are concluded.
(1) An application for a disclosure order may be made ex parte to a judge in chambers.
(2) Rules of court may make provision as to the practice and procedure to be followed in connection with proceedings relating to disclosure orders.
(3) An application to discharge or vary a disclosure order may be made to the court by—
(a) the Director;
(b) any person affected by the order.
(4) The court—
(a) may discharge the order;
(b) may vary the order.
(5) Subsections (2) to (4) do not apply to orders made in England and Wales for the purposes of a civil recovery investigation.
(1) A judge may, on an application made to him by an appropriate officer, make a customer information order if he is satisfied that each of the requirements for the making of the order is fulfilled.
(2) The application for a customer information order must state that—
(a) a person specified in the application is subject to a confiscation investigation or a money laundering investigation, or
(b) property specified in the application is subject to a civil recovery investigation and a person specified in the application appears to hold the property.
(3) The application must also state that—
(a) the order is sought for the purposes of the investigation;
(b) the order is sought against the financial institution or financial institutions specified in the application.
(4) An application for a customer information order may specify—
(a) all financial institutions,
(b) a particular description, or particular descriptions, of financial institutions, or
(c) a particular financial institution or particular financial institutions.
(5) A customer information order is an order that a financial institution covered by the application for the order must, on being required to do so by notice in writing given by an appropriate officer, provide any such customer information as it has relating to the person specified in the application.
(6) A financial institution which is required to provide information under a customer information order must provide the information to an appropriate officer in such manner, and at or by such time, as an appropriate officer requires.
(7) If a financial institution on which a requirement is imposed by a notice given under a customer information order requires the production of evidence of authority to give the notice, it is not bound to comply with the requirement unless evidence of the authority has been produced to it.
(1) “Customer information”, in relation to a person and a financial institution, is information whether the person holds, or has held, an account or accounts at the financial institution (whether solely or jointly with another) and (if so) information as to—
(a) the matters specified in subsection (2) if the person is an individual;
(b) the matters specified in subsection (3) if the person is a company or limited liability partnership or a similar body incorporated or otherwise established outside the United Kingdom.
(2) The matters referred to in subsection (1)(a) are—
(a) the account number or numbers;
(b) the person’s full name;
(c) his date of birth;
(d) his most recent address and any previous addresses;
(e) the date or dates on which he began to hold the account or accounts and, if he has ceased to hold the account or any of the accounts, the date or dates on which he did so;
(f) such evidence of his identity as was obtained by the financial institution under or for the purposes of any legislation relating to money laundering;
(g) the full name, date of birth and most recent address, and any previous addresses, of any person who holds, or has held, an account at the financial institution jointly with him;
(h) the account number or numbers of any other account or accounts held at the financial institution to which he is a signatory and details of the person holding the other account or accounts.
(3) The matters referred to in subsection (1)(b) are—
(a) the account number or numbers;
(b) the person’s full name;
(c) a description of any business which the person carries on;
(d) the country or territory in which it is incorporated or otherwise established and any number allocated to it under the Companies Act 1985 (c. 6) or the Companies (Northern Ireland) Order 1986 (S.I. 1986/ 1032 (N.I. 6)) or corresponding legislation of any country or territory outside the United Kingdom;
(e) any number assigned to it for the purposes of value added tax in the United Kingdom;
(f) its registered office, and any previous registered offices, under the Companies Act 1985 or the Companies (Northern Ireland) Order 1986 (S.I. 1986/1032 (N.I. 6)) or anything similar under corresponding legislation of any country or territory outside the United Kingdom;
(g) its registered office, and any previous registered offices, under the Limited Liability Partnerships Act 2000 (c. 12) or anything similar under corresponding legislation of any country or territory outside Great Britain;
(h) the date or dates on which it began to hold the account or accounts and, if it has ceased to hold the account or any of the accounts, the date or dates on which it did so;
(i) such evidence of its identity as was obtained by the financial institution under or for the purposes of any legislation relating to money laundering;
(j) the full name, date of birth and most recent address and any previous addresses of any person who is a signatory to the account or any of the accounts.
(4) The Secretary of State may by order provide for information of a description specified in the order—
(a) to be customer information, or
(b) no longer to be customer information.
(5) Money laundering is an act which—
(a) constitutes an offence under section 327, 328 or 329 of this Act or section 18 of the Terrorism Act 2000 (c. 11), or
(b) would constitute an offence specified in paragraph (a) if done in the United Kingdom.
(1) These are the requirements for the making of a customer information order.
(2) In the case of a confiscation investigation, there must be reasonable grounds for suspecting that the person specified in the application for the order has benefited from his criminal conduct.
(3) In the case of a civil recovery investigation, there must be reasonable grounds for suspecting that—
(a) the property specified in the application for the order is recoverable property or associated property;
(b) the person specified in the application holds all or some of the property.
(4) In the case of a money laundering investigation, there must be reasonable grounds for suspecting that the person specified in the application for the order has committed a money laundering offence.
(5) In the case of any investigation, there must be reasonable grounds for believing that customer information which may be provided in compliance with the order is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the order is sought.
(6) In the case of any investigation, there must be reasonable grounds for believing that it is in the public interest for the customer information to be provided, having regard to the benefit likely to accrue to the investigation if the information is obtained.
(1) A financial institution commits an offence if without reasonable excuse it fails to comply with a requirement imposed on it under a customer information order.
(2) A financial institution guilty of an offence under subsection (1) is liable on summary conviction to a fine not exceeding level 5 on the standard scale.
(3) A financial institution commits an offence if, in purported compliance with a customer information order, it—
(a) makes a statement which it knows to be false or misleading in a material particular, or
(b) recklessly makes a statement which is false or misleading in a material particular.
(4) A financial institution guilty of an offence under subsection (3) is liable—
(a) on summary conviction, to a fine not exceeding the statutory maximum, or
(b) on conviction on indictment, to a fine.
(1) A statement made by a financial institution in response to a customer information order may not be used in evidence against it in criminal proceedings.
(2) But subsection (1) does not apply—
(a) in the case of proceedings under Part 2 or 4,
(b) on a prosecution for an offence under section 366(1) or (3), or
(c) on a prosecution for some other offence where, in giving evidence, the financial institution makes a statement inconsistent with the statement mentioned in subsection (1).
(3) A statement may not be used by virtue of subsection (2)(c) against a financial institution unless—
(a) evidence relating to it is adduced, or
(b) a question relating to it is asked,
by or on behalf of the financial institution in the proceedings arising out of the prosecution.
A customer information order has effect in spite of any restriction on the disclosure of information (however imposed).
(1) An application for a customer information order may be made ex parte to a judge in chambers.
(2) Rules of court may make provision as to the practice and procedure to be followed in connection with proceedings relating to customer information orders.
(3) An application to discharge or vary a customer information order may be made to the court by—
(a) the person who applied for the order;
(b) any person affected by the order.
(4) The court—
(a) may discharge the order;
(b) may vary the order.
(5) If an accredited financial investigator, a constable or a customs officer applies for a customer information order, an application to discharge or vary the order need not be by the same accredited financial investigator, constable or customs officer.
(6) References to a person who applied for a customer information order must be construed accordingly.
(7) An accredited financial investigator, a constable or a customs officer may not make an application for a customer information order or an application to vary such an order unless he is a senior appropriate officer or he is authorised to do so by a senior appropriate officer.
(8) Subsections (2) to (6) do not apply to orders made in England and Wales for the purposes of a civil recovery investigation.
(1) A judge may, on an application made to him by an appropriate officer, make an account monitoring order if he is satisfied that each of the requirements for the making of the order is fulfilled.
(2) The application for an account monitoring order must state that—
(a) a person specified in the application is subject to a confiscation investigation or a money laundering investigation, or
(b) property specified in the application is subject to a civil recovery investigation and a person specified in the application appears to hold the property.
(3) The application must also state that—
(a) the order is sought for the purposes of the investigation;
(b) the order is sought against the financial institution specified in the application in relation to account information of the description so specified.
(4) Account information is information relating to an account or accounts held at the financial institution specified in the application by the person so specified (whether solely or jointly with another).
(5) The application for an account monitoring order may specify information relating to—
(a) all accounts held by the person specified in the application for the order at the financial institution so specified,
(b) a particular description, or particular descriptions, of accounts so held, or
(c) a particular account, or particular accounts, so held.
(6) An account monitoring order is an order that the financial institution specified in the application for the order must, for the period stated in the order, provide account information of the description specified in the order to an appropriate officer in the manner, and at or by the time or times, stated in the order.
(7) The period stated in an account monitoring order must not exceed the period of 90 days beginning with the day on which the order is made.
(1) These are the requirements for the making of an account monitoring order.
(2) In the case of a confiscation investigation, there must be reasonable grounds for suspecting that the person specified in the application for the order has benefited from his criminal conduct.
(3) In the case of a civil recovery investigation, there must be reasonable grounds for suspecting that—
(a) the property specified in the application for the order is recoverable property or associated property;
(b) the person specified in the application holds all or some of the property.
(4) In the case of a money laundering investigation, there must be reasonable grounds for suspecting that the person specified in the application for the order has committed a money laundering offence.
(5) In the case of any investigation, there must be reasonable grounds for believing that account information which may be provided in compliance with the order is likely to be of substantial value (whether or not by itself) to the investigation for the purposes of which the order is sought.
(6) In the case of any investigation, there must be reasonable grounds for believing that it is in the public interest for the account information to be provided, having regard to the benefit likely to accrue to the investigation if the information is obtained.
(1) A statement made by a financial institution in response to an account monitoring order may not be used in evidence against it in criminal proceedings.
(2) But subsection (1) does not apply—
(a) in the case of proceedings under Part 2 or 4,
(b) in the case of proceedings for contempt of court, or
(c) on a prosecution for an offence where, in giving evidence, the financial institution makes a statement inconsistent with the statement mentioned in subsection (1).
(3) A statement may not be used by virtue of subsection (2)(c) against a financial institution unless—
(a) evidence relating to it is adduced, or
(b) a question relating to it is asked,
by or on behalf of the financial institution in the proceedings arising out of the prosecution.
An application for an account monitoring order may be made ex parte to a judge in chambers.
An account monitoring order has effect in spite of any restriction on the disclosure of information (however imposed).
(1) Rules of court may make provision as to the practice and procedure to be followed in connection with proceedings relating to account monitoring orders.
(2) An application to discharge or vary an account monitoring order may be made to the court by—
(a) the person who applied for the order;
(b) any person affected by the order.
(3) The court—
(a) may discharge the order;
(b) may vary the order.
(4) If an accredited financial investigator, a constable or a customs officer applies for an account monitoring order, an application to discharge or vary the order need not be by the same accredited financial investigator, constable or customs officer.
(5) References to a person who applied for an account monitoring order must be construed accordingly.
(6) Account monitoring orders have effect as if they were orders of the court.
(7) This section does not apply to orders made in England and Wales for the purposes of a civil recovery investigation.
(1) This section applies if the Director is carrying out a confiscation investigation.
(2) A judge on the application of the Director or a person subject to the investigation may issue a letter of request if he thinks that there is evidence in a country or territory outside the United Kingdom—
(a) that such a person has benefited from his criminal conduct, or
(b) of the extent or whereabouts of that person’s benefit from his criminal conduct.
(3) The Director may issue a letter of request if he thinks that there is evidence in a country or territory outside the United Kingdom—
(a) that a person subject to the investigation has benefited from his criminal conduct, or
(b) of the extent or whereabouts of that person’s benefit from his criminal conduct.
(4) A letter of request is a letter requesting assistance in obtaining outside the United Kingdom such evidence as is specified in the letter for use in the investigation.
(5) The person issuing a letter of request must send it to the Secretary of State.
(6) If the Secretary of State believes it is appropriate to do so he may forward a letter received under subsection (5)—
(a) to a court or tribunal which is specified in the letter and which exercises jurisdiction in the place where the evidence is to be obtained, or
(b) to an authority recognised by the government of the country or territority concerned as the appropriate authority for receiving letters of request.
(7) But in a case of urgency the person issuing the letter of request may send it directly to the court or tribunal mentioned in subsection (6)(a).
(8) Evidence obtained in pursuance of a letter of request must not be used—
(a) by any person other than the Director or a person subject to the investigation;
(b) for any purpose other than that for which it is obtained.
(9) Subsection (8) does not apply if the authority mentioned in subsection (6)(b) consents to the use.
(10) Evidence includes documents and other articles.
(11) Rules of court may make provision as to the practice and procedure to be followed in connection with proceedings relating to the issue of letters of request by a judge under this section.
(1) The Secretary of State must prepare a code of practice as to the exercise by all of the following of functions they have under this Chapter—
(a) the Director;
(b) members of the staff of the Agency;
(c) accredited financial investigators;
(d) constables;
(e) customs officers.
(2) After preparing a draft of the code the Secretary of State—
(a) must publish the draft;
(b) must consider any representations made to him about the draft;
(c) may amend the draft accordingly.
(3) After the Secretary of State has proceeded under subsection (2) he must lay the code before Parliament.
(4) When he has done so the Secretary of State may bring the code into operation on such day as he may appoint by order.
(5) A person specified in subsection (1)(a) to (e) must comply with a code of practice which is in operation under this section in the exercise of any function he has under this Chapter.
(6) If such a person fails to comply with any provision of such a code of practice he is not by reason only of that failure liable in any criminal or civil proceedings.
(7) But the code of practice is admissible in evidence in such proceedings and a court may take account of any failure to comply with its provisions in determining any question in the proceedings.
(8) The Secretary of State may from time to time revise a code previously brought into operation under this section; and the preceding provisions of this section apply to a revised code as they apply to the code as first prepared.
(9) The following provisions do not apply to an appropriate officer in the exercise of any function he has under this Chapter—
(a) section 67(9) of the Police and Criminal Evidence Act 1984 (c. 60) (application of codes of practice under that Act to persons other than police officers);
(b) Article 66(8) of the Police and Criminal Evidence (Northern Ireland) Order 1989 (S.I. 1989/1341 (N.I. 12)) (which makes similar provision for Northern Ireland).
(1) In relation to a confiscation investigation these are appropriate officers—
(a) the Director;
(b) an accredited financial investigator;
(c) a constable;
(d) a customs officer.
(2) In relation to a confiscation investigation these are senior appropriate officers—
(a) the Director;
(b) a police officer who is not below the rank of superintendent;
(c) a customs officer who is not below such grade as is designated by the Commissioners of Customs and Excise as equivalent to that rank;
(d) an accredited financial investigator who falls within a description specified in an order made for the purposes of this paragraph by the Secretary of State under section 453.
(3) In relation to a civil recovery investigation the Director (and only the Director) is—
(a) an appropriate officer;
(b) a senior appropriate officer.
(4) In relation to a money laundering investigation these are appropriate officers—
(a) an accredited financial investigator;
(b) a constable;
(c) a customs officer.
(5) For the purposes of section 342, in relation to a money laundering investigation a person authorised for the purposes of money laundering investigations by the Director General of the National Criminal Intelligence Service is also an appropriate officer.
(6) In relation to a money laundering investigation these are senior appropriate officers—
(a) a police officer who is not below the rank of superintendent;
(b) a customs officer who is not below such grade as is designated by the Commissioners of Customs and Excise as equivalent to that rank;
(c) an accredited financial investigator who falls within a description specified in an order made for the purposes of this paragraph by the Secretary of State under section 453.
(7) But a person is not an appropriate officer or a senior appropriate officer in relation to a money laundering investigation if he is—
(a) a member of the staff of the Agency, or
(b) a person providing services under arrangements made by the Director.
“Document”, “excluded material” and “premises” have the same meanings as in the Police and Criminal Evidence Act 1984 (c. 60) or (in relation to Northern Ireland) the Police and Criminal Evidence (Northern Ireland) Order 1989 (S.I. 1989/1341 (N.I. 12)).
(1) The sheriff may, on an application made to him by the appropriate person, make a production order if he is satisfied that each of the requirements for the making of the order is fulfilled.
(2) In making a production order in relation to property subject to a civil recovery investigation, the sheriff shall act in the exercise of his civil jurisdiction.
Proceeds of Crime Act 2002