PART II | NOTIFICATIONS FOR GUIDANCE OR DECISION |
3. In this Part, “application” means an application made —| (a) | under section 43 or 44 of the Act for an agreement to be examined; or | | (b) | under section 50 or 51 of the Act for conduct to be considered, |
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4.—(1) An application shall be made to the Commission by the person specified in regulation 6 in Form 1 and shall be accompanied by the appropriate initial fee.(2) Where the Commission requests an applicant to provide —| (a) | Form 2 under regulation 5(1); or | | (b) | any other information under regulation 5(5), |
| Form 2 or such other information, as the case may be, shall form part of the application. |
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| (3) Subject to regulation 5(3), an application is made, and notification for the purpose of section 43, 44, 50 or 51 of the Act, as the case may be, is given, on the date on which Form 1 is submitted to the Commission. |
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| Commission may request further information, documents and fees |
5.—(1) The Commission may, at any time after receiving Form 1, give notice to the applicant —| (a) | requiring the applicant to submit the information in Form 2 to the Commission; and | | (b) | specifying such time limit as the Commission considers appropriate for Form 2 to be submitted to the Commission. |
(2) Where the Commission finds that the information submitted in Form 1 or Form 2, as the case may be, is incomplete, it may give notice in writing to the applicant specifying —| (a) | what information is outstanding; and | | (b) | such time limit as the Commission considers appropriate for the outstanding information to be submitted to the Commission. |
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| (3) Where an applicant submits outstanding information to the Commission under paragraph (2), the application shall, notwithstanding regulation 4(3), be deemed to be made (and notification for the purposes of section 43, 44, 50 or 51 of the Act, as the case may be, shall be deemed to be given) on the date on which the Commission receives the outstanding information. |
(4) If the Commission does not receive —| (a) | Form 2 by the date of expiry of the time limit referred to in paragraph (1)(b) or of such further period, if any, as it considers appropriate; or | | (b) | the outstanding information referred to in paragraph (2)(a) by the date of expiry of the time limit referred to in paragraph (2)(b) or of such further period, if any, as it considers appropriate, |
| the Commission shall return to the applicant the information submitted as Form 1 and, where applicable, Form 2, whereupon the application shall be deemed not to have been made (and notification for the purpose of section 43, 44, 50 or 51 of the Act, as the case may be, deemed not to have been given). |
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(5) Where, for the purpose of any application, the Commission requires any additional information that does not form part of Form 1 or, where applicable, Form 2, it may give notice in writing to the applicant specifying —| (a) | the information which it requires; and | | (b) | such time limit as the Commission considers appropriate for the information to be submitted to the Commission. |
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| (6) If the Commission does not receive the information referred to in paragraph (5)(a) by the date of expiry of the time limit referred to in paragraph (5)(b) or of such further period, if any, as it considers appropriate, the Commission may determine the application by not giving guidance or a decision, as the case may be, whereupon the Commission shall return to the applicant the information submitted as Form 1 and, where applicable, Form 2. |
| (7) Supporting documents submitted as part of Form 1 and, where applicable, Form 2, shall be either originals or true copies, and the applicant shall certify that each copy submitted is a true copy of the original. |
(8) Notwithstanding paragraph (2), the Commission may refuse to accept an application submitted to it if —| (a) | it is incomplete or not accompanied by the relevant supporting documents; | | (b) | it is not substantially in the prescribed form; or | | (c) | it does not comply with any requirement under the Act or these Regulations, |
| whereupon the application shall be deemed as not having been made (and notification for the purpose of section 43, 44, 50 or 51 of the Act, as the case may be, deemed not to have been given). |
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| (9) Notwithstanding that an application may have been accepted by the Commission, the application shall be deemed as not having been made if the cheque or authorisation for payment of the appropriate initial fee under regulation 4(1) is subsequently dishonoured. |
(10) The Commission may, if it thinks fit, within 2 months from the filing of Form 2 by an applicant, give notice in writing to the applicant —| (a) | requiring the applicant to pay the appropriate further fee; and | | (b) | specifying the time limit as the Commission considers appropriate for such further fee to be paid to the Commission. |
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(11) If —| (a) | the Commission does not receive the appropriate further fee, within the time limit specified in paragraph (10)(b) or within such further period, if any, as the Commission considers appropriate; or | | (b) | the cheque or authorisation for payment of such further fee is subsequently dishonoured, |
| the Commission may determine the application by not giving guidance or a decision, as the case may be, whereupon the Commission shall return to the applicant the information submitted as Form 1 and Form 2. |
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| Persons making application |
6.—(1) Where an applicant is not an individual, the application shall be lodged —| (a) | in the case of a body corporate, by an officer of that body corporate; | | (b) | in the case of a partnership, by a partner of that partnership; or | | (c) | in the case of an unincorporated association (other than a partnership), by an officer of that association or a member of its governing body. |
(2) In paragraph (2), “officer” —| (a) | in relation to a body corporate, means any director, member of the committee of management, chief executive, manager, secretary or other similar officer of the body; or | | (b) | in relation to an unincorporated association (other than a partnership), means the president, the secretary or any member of the committee of the unincorporated association, or any person holding a position analogous to that of president, secretary or member of a committee. |
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| (3) Where a joint application is lodged, the application shall be lodged with the Commission by or on behalf of all the applicants, and a joint representative shall be appointed as authorised to act on behalf of all the joint applicants for the purposes of these Regulations, unless otherwise agreed to by the Commission. |
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7.—(1) If the applicant considers any part of the information contained in the application to be confidential information, he shall set out that part of the information in a separate annex to the application marked “confidential information” and provide written reasons why the Commission should treat it as such.| (2) The Commission may, by giving notice in writing to the applicant, dispense with the obligation to submit any particular information (including any supporting document, forming part of Form 1, or, where applicable, Form 2), if it considers that such information or document is unnecessary for the examination of the agreement, or the consideration of the conduct, which is the subject of the application. |
| (3) Where strict compliance with any part of the application is not possible, the Commission may allow that part of the application to be complied with in such other manner as it thinks fit. |
| (4) Where, before the Commission gives guidance or a decision on any application, or determines an application by not giving guidance or a decision, there is any material change to the information contained in the application, the applicant shall communicate that change to the Commission without delay. |
| (5) The application shall be submitted in as many copies, and in such manner, as the Commission may require. |
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| Notification of application to other parties |
8.—(1) A party to an agreement who wishes to make or who makes an application for guidance under section 43 of the Act or for a decision under section 44 of the Act shall take all reasonable steps to notify all other parties to the agreement of whom he is aware —| (a) | that the application will be or has been made; and | | (b) | as to whether the application will be or is for guidance or a decision. |
(2) A person who wishes to make or who makes an application for guidance under section 50 of the Act or for a decision under section 51 of the Act in relation to the conduct of 2 or more persons shall take all reasonable steps to notify such other persons who are engaged in the conduct of whom he is aware —| (a) | that the application will be or has been made; and | | (b) | as to whether the application will be or is for guidance or a decision. |
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| (3) Notifications under paragraphs (1) and (2) shall be in writing and given no later than 7 working days from the date on which the applicant submits Form 1 to the Commission. |
(4) The applicant shall provide a copy of any notification given under paragraph (1) or (2) to the Commission —| (a) | where the notification is given before the application is made, on the date of the application; and | | (b) | where the notification is given on the same date as the application or (subject to paragraph (3)) on a date subsequent thereto, within 2 working days from the date of the notification. |
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| (5) If the applicant is unable, despite the exercise of due diligence, to contact the other parties to the agreement or conduct, the Commission may, if it considers appropriate, require the applicant to notify such other parties in such mode and manner as the Commission may specify. |
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