Legalize / United Kingdom / Public General Act

Enterprise Act 2002

Type Public General Act

Publication 2002-11-07

Last updated 2026-04-06

State In force

Department Statute Law Database

Source legislation.gov.uk

articles Not indexed

Reform history JSON API

(7A) OFCOM shall have regard to any information given to them under subsection (3) or (4); ...

(8) Any direction given under subsection (5)—

(a) shall be in writing; and

(b) may be varied or revoked by a subsequent direction.

Advice and information about references under sections 22 and 33

106

(1) ... The CMA shall prepare and publish general advice and information about—

(a) the making and consideration by it of references under section 22 , 33, 68B or 68C, and

(b) the way in which relevant customer benefits may affect the taking of enforcement action in relation to such references.

(2) The CMA may at any time publish revised, or new, advice or information.

(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) Advice and information published under this section shall be prepared with a view to—

(a) explaining relevant provisions of this Part to persons who are likely to be affected by them; and

(b) indicating how the CMA or (as the case may be) the Commission expects such provisions to operate.

(6) Advice (or information) published by virtue of subsection (1) ... may include advice (or information) about the factors which the CMA may take into account in considering whether, and if so how, to exercise a function conferred by this Part.

(7) Any advice or information published by the CMA under this section shall be published in such manner as the CMA considers appropriate.

(8) In preparing any advice or information under this section, the CMA shall consult such persons as it considers appropriate.

(9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Further publicity requirements

107

(1) The CMA shall publish—

(a) any decision made by it that the duty to make a reference under section 22(1), 33(1), 68B or 68C applies and any such reference made by it;

(aa) any decision made by it that the duty to make such a reference does not apply (other than a decision made by virtue of section 33(2)(b) or 68C(2)(a));

(aaa) any decision made by it to accept a fast-track reference request under section 34ZD and the resulting reference made by it;

(ab) any notice given by it as mentioned in paragraph (b) of the definition of “initial period” in section 34ZA(3);

(ac) any extension by it under section 34ZB of the initial period;

(ad) any decision made by it to cancel an extension as mentioned in section 34ZB(7)(b);

(ae) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(af) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ag) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ah) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) any variation made by it under section 37 of a reference under section 22 , 33, 68B or 68C;

(c) such information as it considers appropriate about any decision made by it under section 57(1) to bring a case to the attention of the Secretary of State;

(d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e) any enforcement order made by it under section 72 ... or paragraph 2 of Schedule 7;

(ea) any notice given by it under section 73A(2)(b);

(eb) any extension by it under section 73A of the period for considering whether to accept an undertaking under section 73;

(ec) any decision made by it to cancel an extension as mentioned in section 73A(11)(b);

(f) any variation, release or revocation of an order mentioned in paragraph (e)

(g) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(h) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .; and

(i) any notice given by it under section 96(2A).

(2) The CMA shall also publish—

(a) any cancellation by it under section 37(1) of a reference under section 33 or 68C;

(b) any decision made by it under section 37(2) to treat a reference under section 22 or 68B as if it had been made under section 33 or 68C or to treat a reference under section 33 or 68C as if it had been made under section 22 or 68B;

(c) any extension by it under section 39 of the period within which a report under section 38 is to be prepared and published;

(d) any decision made by it to cancel an extension as mentioned in section 39(7A)(b) or (8)(b);

(e) any decision made by it under section 41(2) neither to accept an undertaking under section 82 nor to make an order under section 84;

(ea) any extension by it under section 41A of the period within which its duty under section 41(2) is to be discharged;

(eb) any decision made by it to cancel an extension as mentioned in section 41A(7)(b);

(f) any decision made by it that there has been a material change of circumstances as mentioned in subsection (3) of section 41 or there is another special reason as mentioned in that subsection of that section;

(g) any cancellation by it under section 48(1) or 53(1) of a reference under section 45 or any cancellation by it under section 64(1) of a reference under section 62;

(h) any decision made by it under section 49(1) to treat—

(i) a reference made under subsection (2) or (3) of section 45 as if it had been made under subsection (4) or (as the case may be) (5) of that section; or

(ii) a reference made under subsection (4) or (5) of section 45 as if it had been made under subsection (2) or (as the case may be) (3) of that section;

(i) any extension by it under section 51 of the period within which a report under section 50 is to be prepared and published;

(j) any decision made by it under section 51(7A)(b) or (8)(b) to cancel such an extension;

(k) any extension by it under section 51 as applied by section 65(3) of the period within which a report under section 65 is to be prepared and published;

(l) any decision made by it under section 51(8)(b) as applied by section 65(3) to cancel such an extension;

(m) any decision made by it under section 64(2) to treat a reference made under subsection (2) or (3) of section 62 as if it had been made under subsection (3) or (as the case may be) (2) of that section;

(n) any decision made by it as mentioned in section 76(6)(b);

(o) any enforcement order made by it under section 76 or 81;

(p) any enforcement undertaking accepted by it under section 80;

(q) any variation, release or revocation of such an order or undertaking; and

(r) any decision made by it to dispense with the requirements of Schedule 10.

(3) The Secretary of State shall publish—

(a) any intervention notice or special intervention notice given by him;

(b) any report of the CMA under section 44 or 61 which has been received by him;

(ba) any report of OFCOM under section 44A or 61A which has been received by him;

(d) any variation made by him under section 49 of a reference under section 45 or under section 64 of a reference under section 62;

(e) any report of the CMA under section 50 or 65 which has been received by him;

(f) any decision made by him neither to accept an undertaking under paragraph 9 of Schedule 7 nor to make an order under paragraph 11 of that Schedule;

(g) any notice given by him under section 56(1);

(ga) any foreign state intervention notice given by the Secretary of State;

(gb) any report of the CMA under section 70B which the Secretary of State has received;

(h) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(i) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(j) any decision made by him as mentioned in paragraph 6(6)(b) of Schedule 7; and

(k) any decision made by him to dispense with the requirements of Schedule 10.

(4) Where any person is under a duty by virtue of subsection (1), (2) or (3) to publish the result of any action taken by that person or any decision made by that person, the person concerned shall, subject to subsections (5) and (6), also publish that person’s reasons for the action concerned or (as the case may be) the decision concerned.

(5) Such reasons need not, if it is not reasonably practicable to do so, be published at the same time as the result of the action concerned or (as the case may be) as the decision concerned.

(6) Subsections (4) and (5) shall not apply in relation to—

(a) any decision published under subsection (1)(aaa), or

(b) any information published under subsection (1)(c).

(7) The Secretary of State shall publish his reasons for—

(a) any decision made by him under section 54(2) or 66(2); or

(b) any decision to make an order under section 58(3) or vary or revoke such an order.

(8) Such reasons may be published after—

(a) in the case of subsection (7)(a), the publication of the decision concerned; and

(b) in the case of subsection (7)(b), the making of the order or of the variation or revocation;

if it is not reasonably practicable to publish them at the same time as the publication of the decision or (as the case may be) the making of the order or variation or revocation.

(9) The Secretary of State shall publish—

(a) the report of the CMA under section 44 and any report of OFCOM under section 44A, in relation to a matter no later than publication of his decision as to whether to make a reference under section 45 in relation to that matter; and

(b) the report of the CMA under section 50 in relation to a matter no later than publication of his decision under section 54(2) in relation to that matter.

(10) The Secretary of State shall publish—

(a) the report of the CMA under section 61, and any report of OFCOM under section 61A, in relation to a matter no later than publication of his decision as to whether to make a reference under section 62 in relation to that matter; and

(b) the report of the CMA under section 65 in relation to a matter no later than publication of his decision under section 66(2) in relation to that matter.

(11) Where the Secretary of State has decided under section 55(2) or 66(6) to accept an undertaking under paragraph 9 of Schedule 7 or to make an order under paragraph 11 of that Schedule, he shall (after the acceptance of the undertaking or (as the case may be) the making of the order) lay details of his decision and his reasons for it, and the CMA's report under section 50 or (as the case may be) 65, before each House of Parliament

(12) The Secretary of State must publish any report of the CMA under section 70B which the Secretary of State has received within the period of 7 days beginning with the day on which the Secretary of State receives the report.

Defamation

108

For the purposes of the law relating to defamation, absolute privilege attaches to any advice, guidance, notice or direction given, or decision or report made, by the CMA, OFCOM or the Secretary of State in the exercise of any of their functions under this Part.

Investigation powers

Attendance of witnesses and production of documents etc.

109

(A1) For the purposes of this section, the permitted purposes are the following—

(a) assisting the CMA in carrying out any functions, including enforcement functions, exercisable by it under or by virtue of this Part in connection with a matter that is or has been the subject of a reference or possible reference under section 22 , 33, 68B or 68C;

(b) assisting the CMA or the Secretary of State in carrying out any functions, including enforcement functions, of the CMA or (as the case may be) the Secretary of State under or by virtue of this Part in connection with a matter that is or has been the subject of a reference or possible reference under section 45 or 62 or a foreign state intervention notice under section 70A.

(1) The CMA may, for a permitted purpose, give notice to any person requiring him—

(a) to attend at a time and at a place, or in a manner (which may be remote), specified in the notice; and

(b) to give evidence to the CMA or a person nominated by the CMA for the purpose.

(2) The CMA may, for a permitted purpose, give notice to any person requiring him—

(a) to produce any documents which—

(i) are specified or described in the notice, or fall within a category of document which is specified or described in the notice; and

(ii) are in that person’s custody or under his control; and

(b) to produce them at a time and place so specified and to a person so specified.

(3) The CMA may, for a permitted purpose, give notice to any person who carries on any business requiring him—

(a) to supply to the CMA such estimates, forecasts, returns or other information as may be specified or described in the notice; and

(b) to supply it at a time and place, and in a form and manner, so specified and to a person so specified.

(4) A notice under this section shall—

(a) specify the permitted purpose for which the notice is given, including the function or functions in question; and

(b) include information about the possible consequences of not complying with the notice.

(5) The CMA, or any person nominated by it for the purpose, may for a permitted purpose take evidence on oath, and for that purpose may administer oaths.

(6) The person to whom any document is produced in accordance with a notice under this section may, for a permitted purpose, copy the document so produced.

(7) No person shall be required under this section—

(a) to give any evidence or produce any documents which he could not be compelled to give or produce in civil proceedings before the court; or

(b) to supply any information which he could not be compelled to supply in evidence in such proceedings.

(8) No person shall be required, in compliance with a notice under this section, to go more than 10 miles from his place of residence unless his necessary travelling expenses are paid or offered to him.

(8A) In subsection (A1), “enforcement functions” means—

(a) in relation to the CMA—

(i) functions conferred by virtue of section 87 on the CMA by enforcement orders;

(ii) functions of the CMA in relation to the variation, supersession or release of enforcement undertakings or the variation or revocation of enforcement orders;

(iii) functions of the CMA under or by virtue of section 75, 76, 83 or 92 in relation to enforcement undertakings or enforcement orders;

(b) in relation to the Secretary of State—

(i) functions conferred by virtue of section 87 on the Secretary of State by enforcement orders;

(ii) functions of the Secretary of State in relation to the variation, supersession or release of enforcement undertakings or the variation or revocation of enforcement orders;

(iii) functions of the Secretary of State under or by virtue of paragraph 5, 6 or 10 of Schedule 7 in relation to enforcement undertakings or enforcement orders.

(9) Any reference in this section to the production of a document includes a reference to the production of a legible and intelligible copy of information recorded otherwise than in legible form.

(10) In this section “the court” means—

(a) in relation to England and Wales or Northern Ireland, the High Court; and

(b) in relation to Scotland, the Court of Session.

Enforcement of powers under section 109: general

110

(1) The CMA may impose a penalty on a person in accordance with section 111 where the CMA considers that—

(a) the person has, without reasonable excuse, failed to comply with any requirement of a notice under section 109;

(b) the person has, without reasonable excuse, obstructed or delayed another person in the exercise of the other person’s powers under section 109(6);

(c) the person has, without reasonable excuse, altered, suppressed or destroyed any document which the person has been required to produce by a notice under section 109.

(1A) The appropriate authority may impose a penalty on a person in accordance with section 111 where the authority considers that—

(a) the person has, without reasonable excuse, supplied information that is false or misleading in a material respect to the authority in connection with any of the authority’s functions under this Part;

(b) the person has, without reasonable excuse, supplied information that is false or misleading in a material respect to another person knowing that the information was to be used for the purpose of supplying information to the authority in connection with any function of the authority under this Part.

(1B) In this section, and in sections 111 to 117, “the appropriate authority” means—

(a) the CMA;

(b) the Secretary of State;

(1C) But the appropriate authority may not proceed against a person under this section in relation to an act or omission which constitutes an offence under section 116A or 117 if the person has, by reason of that act or omission, been found guilty of that offence.

(2) The CMA may proceed (whether at the same time or at different times) under subsection (1)(a) and section 39(4) or (as the case may be) 51(4) (including that enactment as applied by section 65(3)) in relation to the same failure.

(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(9) In deciding whether and, if so, how to proceed under subsection (1) or (1A)or section 39(4) or 51(4) (including that enactment as applied by section 65(3))—

(a) the CMA must have regard to the statement of policy which was most recently published under section 116 at the time when the act or omission concerned occurred;

(b) OFCOM must have regard to the statement of policy which was most recently published under section 392 of the Communications Act 2003 (penalties imposed by OFCOM) at the time when the act or omission concerned occurred.

(10) The reference in this section to the production of a document includes a reference to the production of a legible and intelligible copy of information recorded otherwise than in legible form; and the reference to suppressing a document includes a reference to destroying the means of reproducing information recorded otherwise than in legible form.

Penalties

111

(1) A penalty imposed under section 110(1) or (1A) shall be of such amount as the appropriate authority considers appropriate.

(2) The amount may, in the case of a penalty imposed under section 110(1)(a), be a fixed amount, an amount calculated by reference to a daily rate or a combination of a fixed amount and an amount calculated by reference to a daily rate.

(3) The amount shall, in the case of a penalty imposed under section any of section 110(1)(b), (c) or (1A), be a fixed amount.

(4) A penalty imposed under section 110(1) or (1A) on a person who does not own or control an enterprise must not—

(a) in the case of a fixed amount, exceed £30,000;

(b) in the case of an amount calculated by reference to a daily rate, exceed £15,000 per day; and

(c) in the case of a fixed amount and an amount calculated by reference to a daily rate, exceed such fixed amount and such amount per day ....

(4A) A penalty imposed under section 110(1) or (1A) on any other person must not—

(a) in the case of a fixed amount, exceed 1% of the total value of the turnover (both in and outside the United Kingdom) of the enterprises owned or controlled by the person;

(b) in the case of an amount calculated by reference to a daily rate, for each day exceed 5% of the total value of the daily turnover (both in and outside the United Kingdom) of the enterprises owned or controlled by the person;

(c) in the case of a fixed amount and an amount calculated by reference to a daily rate, exceed such fixed amount and such amount per day.

(5) In imposing a penalty by reference to a daily rate—

(a) no account shall be taken of any days before the service of the provisional penalty notice under section 112(A1) on the person concerned; and

(b) unless the appropriate authority determines an earlier date (whether before or after the penalty is imposed), the amount payable shall cease to accumulate at the beginning of the earliest of the following days—

(i) the day on which the requirement of the notice concerned under section 109 is satisfied ...;...

(ii) ... the day which is the relevant day in the case in question for the purposes of section 110A.

(iii) in a case where the penalty is imposed in connection with the provision by the CMA of assistance to an overseas regulator (see Chapter 2 of Part 5 of the Digital Markets, Competition and Consumers Act 2024), the day on which the overseas regulator no longer requires that assistance.

(6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7A) The Secretary of State may by regulations amend subsection (4)(a) and (b) by substituting for either or both of the sums for the time being specified in those paragraphs such other sum or sums as the Secretary of State considers appropriate.

(8) Before making regulations under subsection (7A) the Secretary of State shall consult the CMA , OFCOM and such other persons as he considers appropriate.

(9) The Secretary of State may by regulations make provision for determining, for the purposes of this section—

(a) when an enterprise is to be treated as being controlled by a person;

(b) the turnover and daily turnover (both in and outside the United Kingdom) of an enterprise.

(10) Regulations under subsection (9)(b) may, in particular, make provision as to—

(a) the amounts which are, or which are not, to be treated as comprising an enterprise’s turnover or daily turnover;

(b) the date, or dates, by reference to which an enterprise’s turnover, or daily turnover, is to be determined.

(11) Regulations under subsection (9) may, in particular, make provision enabling the appropriate authority to determine matters of a description specified in the regulations (including any of the matters mentioned in paragraphs (a) and (b) of subsection (10)).

Penalties: main procedural requirements

112

(A1) Before the appropriate authority imposes a penalty under section 110(1) or (1A), the authority must give the person concerned a provisional penalty notice.

(A2) A provisional penalty notice must—

(a) contain a draft of the final penalty notice the appropriate authority is minded to give to the person under subsection (1),

(b) invite the making of representations by the person to the authority about the proposed final penalty notice, and

(A3) The appropriate authority must have regard to any representations received in accordance with a provisional penalty notice before imposing a penalty under section 110(1) or (1A) (and accordingly may not impose such a penalty before the time for the person concerned to make representations to the authority in accordance with that notice has expired).

(1) As soon as practicable after imposing a penalty under section 110(1) or (1A), the appropriate authority must give the person concerned a final penalty notice.

(2) The final penalty notice shall state—

(a) that the appropriate authority has imposed a penalty on the person concerned;

(b) whether the penalty is of a fixed amount, of an amount calculated by reference to a daily rate or of both a fixed amount and an amount calculated by reference to a daily rate;

(c) the amount or amounts concerned and, in the case of an amount calculated by reference to a daily rate, the day on which the amount first starts to accumulate and the day or days on which it might cease to accumulate;

(d) the act or omission in question which the appropriate authority considers gave it the power to impose the penalty;

(e) any other facts which the appropriate authority considers justify the imposition of a penalty and the amount or amounts of the penalty;

(f) the manner in which, and place at which, the penalty is required to be paid to the appropriate authority;

(g) the date or dates, no earlier than the end of the relevant period beginning with the date of service of the notice on the person concerned, by which the penalty or (as the case may be) different portions of it are required to be paid;

(h) that the penalty or (as the case may be) different portions of it may be paid earlier than the date or dates by which it or they are required to be paid; and

(i) that the person concerned has the right to apply under subsection (3) below or to appeal under section 114 and the main details of those rights.

(3) The person against whom the penalty was imposed may, within 14 days of the date of service on him of a notice under subsection (1), apply to the appropriate authority for it to specify a different date or (as the case may be) different dates by which the penalty or (as the case may be) different portions of it are to be paid.

(3A) A provisional penalty notice is given by serving a copy of the notice on the person on whom the appropriate authority is minded to impose the penalty.

(4) A final penalty notice shall be given by—

(a) serving a copy of the notice on the person on whom the penalty was imposed; and

(b) publishing the notice.

(5) In this section “relevant period” means the period of 28 days mentioned in subsection (3) of section 114 or, if another period is specified by the Secretary of State under that subsection, that period.

Payments and interest by instalments

113

(1) If the whole or any portion of a penalty is not paid by the date by which it is required to be paid, the unpaid balance from time to time shall carry interest at the rate for the time being specified in section 17 of the Judgments Act 1838 (c. 110).

(2) Where an application has been made under section 112(3), the penalty shall not be required to be paid until the application has been determined, withdrawn or otherwise dealt with.

(3) If a portion of a penalty has not been paid by the date required for it, the appropriate authority may, where it considers it appropriate to do so, require so much of the penalty as has not already been paid (and is capable of being paid immediately) to be paid immediately.

(4) Any sums received by the appropriate authority in or towards the payment of a penalty, or interest on a penalty, shall be paid into the Consolidated Fund.

Appeals in relation to penalties

114

(1) This section applies if a person on whom a penalty is imposed under section 110(1) or (1A) is aggrieved by—

(a) the imposition or nature of the penalty;

(b) the amount or amounts of the penalty; or

(c) the date by which the penalty is required to be paid or (as the case may be) the different dates by which portions of the penalty are required to be paid.

(2) The person aggrieved may apply to the Competition Appeal Tribunal.

(3) If a copy of the notice under section 112(1) was served on the person on whom the penalty was imposed, the application to the Competition Appeal Tribunal shall, subject to subsection (4), be made within—

(a) the period of 28 days starting with the day on which the copy was served on the person concerned; or

(b) such other period as the Secretary of State may by order specify.

(4) If the application relates to a decision of the appropriate authority on an application by the person on whom the penalty was imposed under section 112(3), the application to the Competition Appeal Tribunal shall be made within—

(a) the period of 28 days starting with the day on which the person concerned is notified of the decision; or

(b) such other period as the Secretary of State may by order specify.

(5) On an application under this section, the Competition Appeal Tribunal may—

(a) quash the penalty;

(b) substitute a penalty of a different nature or of such lesser amount or amounts as the Competition Appeal Tribunal considers appropriate; or

(c) in a case falling within subsection (1)(c), substitute for the date or dates imposed by the appropriate authority an alternative date or dates;

if it considers it appropriate to do so.

(5A) In the case of a penalty imposed on a person by the CMA or OFCOM, in considering what is appropriate for the purposes of subsection (5) the Competition Appeal Tribunal must have regard to the relevant guidance.

(6) The Competition Appeal Tribunal shall not substitute a penalty of a different nature under subsection (5)(b) unless it considers that the person on whom the penalty is imposed will, or is likely to, pay less under the substituted penalty than he would have paid under the original penalty.

(7) Where an application has been made under this section—

(a) the penalty shall not be required to be paid until the application has been determined, withdrawn or otherwise dealt with; and

(b) the appropriate authority may agree to reduce the amount or amounts of the penalty in settlement of the application.

(8) Where the Competition Appeal Tribunal substitutes a penalty of a different nature or of a lesser amount or amounts it may require the payment of interest on the substituted penalty at such rate or rates, and from such date or dates, as it considers appropriate.

(9) Where the Competition Appeal Tribunal specifies as a date by which the penalty, or a portion of the penalty, is to be paid a date before the determination of the application under this section it may require the payment of interest on the penalty, or portion, from that date at such rate as it considers appropriate.

(10) An appeal lies to the appropriate court—

(a) on a point of law arising from a decision of the Tribunal in proceedings under this section; or

(b) from a decision of the Tribunal in such proceedings as to the amount or amounts of a penalty.

(11) An appeal under subsection (10)—

(a) may be brought by a party to the proceedings before the Tribunal; and

(b) requires the permission of the Tribunal or the appropriate court.

(12) In this section

(a) “the appropriate court” means the Court of Appeal or, in the case of Tribunal proceedings in Scotland, the Court of Session.

(b) “the relevant guidance” means—

(i) in the case of a penalty imposed on a person by the CMA, the statement of policy which was most recently published under section 116 at the time when the act or omission concerned occurred;

(ii) in the case of a penalty imposed on a person by OFCOM, the statement of policy which was most recently published under section 392 of the Communications Act 2003 (penalties imposed by OFCOM) at the time when the act or omission concerned occurred.

Recovery of penalties

115

Where a penalty imposed under section 110(1) or (1A), or any portion of such a penalty, has not been paid by the date on which it is required to be paid and—

(a) no application relating to the penalty has been made under section 114 during the period within which such an application may be made, or

(b) any such application which has been made has been determined, withdrawn or otherwise dealt with,

the appropriate authority may recover from the person on whom the penalty was imposed any of the penalty and any interest which has not been paid; and in England and Wales and Northern Ireland such penalty and interest may be recovered as a civil debt due to the appropriate authority.

Statement of policy

116

(1) The CMA must prepare and publish a statement of policy in relation to—

(a) the imposition of penalties under section 110, and

(b) the enforcement of notices under section 109.

(2) The statement shall, in particular, include a statement about the considerations relevant to the determination of the nature and amount of any penalty imposed under section 110(1) or (1A).

(3) The CMA may revise its statement of policy and, where it does so, it shall publish the revised statement.

(4) The CMA shall consult the Secretary of State and such other persons as it considers appropriate when preparing or revising its statement of policy.

(5) A statement or revised statement of policy may not be published under this section without the approval of the Secretary of State.

False or misleading information

117

(1) A person commits an offence if—

(a) he supplies any information to the appropriate authority in connection with any of their functions under this Part;

(b) the information is false or misleading in a material respect; and

(c) he knows that it is false or misleading in a material respect or is reckless as to whether it is false or misleading in a material respect.

(2) A person commits an offence if he—

(a) supplies any information to another person which he knows to be false or misleading in a material respect; or

(b) recklessly supplies any information to another person which is false or misleading in a material respect;

knowing that the information is to be used for the purpose of supplying information to the appropriate authority in connection with any of their functions under this Part.

(2A) A person does not commit an offence under subsection (1) or (2) by reason of any act or omission if the appropriate authority has proceeded against the person under section 110(1) or (1A) in relation to that act or omission.

(3) A person who commits an offence under subsection (1) or (2) shall be liable—

(a) on summary conviction, to a fine not exceeding the statutory maximum;

(b) on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both.

Reports

Excisions from reports

118

(1) Subsection (2) applies where the Secretary of State is under a duty to publish—

(a) a report of the CMA under section 44 or 61;

(aa) a report of OFCOM under section 44A or 61A;...

(b) a report of the CMA under section 50 or 65 , or

(2) The Secretary of State may exclude a matter from the report concerned if he considers that publication of the matter would be inappropriate.

(3) In deciding what is inappropriate for the purposes of subsection (2) the Secretary of State shall have regard to the considerations mentioned in section 244.

(4) The body which has prepared the report shall advise the Secretary of State as to the matters (if any) which it considers should be excluded by him under subsection (2).

(5) References in sections 38(4) and 107(11) to the giving or laying of a report of the CMA shall be construed as references to the giving or laying of the report as published.

Minority reports of Commission

119

(1) Subsection (2) applies where, on a reference to the CMA under this Part, a member of a group constituted in connection with the reference ..., disagrees with any decisions contained in the report of the CMA under this Part as the decisions of the CMA.

(2) The report shall, if the member so wishes, include a statement of his disagreement and of his reasons for disagreeing.

Miscellaneous

Review of decisions under Part 3

120

(1) Any person aggrieved by a decision mentioned in subsection (1A) may apply to the Competition Appeal Tribunal for a review of that decision.

(1A) The decisions are—

(a) a decision of the CMA, OFCOM or the Secretary of State under this Part in connection with a reference or possible reference in relation to a relevant merger situation or a special merger situation;

(aa) a decision of the CMA or the Secretary of State in connection with a foreign state newspaper merger situation;

(b) a decision of the CMA under this Part in connection with transferred EU merger commitments.

(c) a decision of the CMA or the Secretary of State for the purposes of Chapter 2 of Part 5 of the Digital Markets, Competition and Consumers Act 2024 in connection with a request from an overseas regulator (within the meaning of that Chapter) for the CMA to assist the regulator in carrying out functions of the regulator which correspond or are similar to the functions of the CMA under this Part.

(2) For this purpose “decision”—

(a) does not include a decision to impose a penalty under section 94AA(1) or 110(1) or (1A); but

(b) includes a failure to take a decision permitted or required by

(i) this Part in connection with a reference or possible reference or transferred EU merger commitments

(ia) Chapter 3A of this Part;

(ii) Chapter 2 of Part 5 of the Digital Markets, Competition and Consumers Act 2024 in connection with a request from an overseas regulator (within the meaning of that Chapter) for the CMA to assist the regulator in carrying out functions of the regulator which correspond or are similar to the functions of the CMA under this Part.

(3) Except in so far as a direction to the contrary is given by the Competition Appeal Tribunal, the effect of the decision is not suspended by reason of the making of the application.

(4) In determining such an application the Competition Appeal Tribunal shall apply the same principles as would be applied by a court on an application for judicial review.

(5) The Competition Appeal Tribunal may—

(a) dismiss the application or quash the whole or part of the decision to which it relates; and

(b) where it quashes the whole or part of that decision, refer the matter back to the original decision maker with a direction to reconsider and make a new decision in accordance with the ruling of the Competition Appeal Tribunal.

(6) An appeal lies on any point of law arising from a decision of the Competition Appeal Tribunal under this section to the appropriate court.

(7) An appeal under subsection (6) requires the permission of the Tribunal or the appropriate court.

(8) In this section—

“the appropriate court” means the Court of Appeal or, in the case of Tribunal proceedings in Scotland, the Court of Session; and

“Tribunal rules” has the meaning given by section 15(1).

Enforcement orders: general provisions

121

(1) The Secretary of State may by order require the payment to him or the CMA of such fees as may be prescribed by the order in connection with the exercise by the Secretary of State, the CMA and OFCOM of their functions under or by virtue of this Part, . . . and sections 32 to 34 of, and Schedule 4ZA to, the Water Industry Act 1991 (c. 56).

(2) An order under this section may, in particular, provide for fees to be payable—

(a) in respect of a merger notice; or

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) The events that may be specified in an order under this section by virtue of subsection (2)(c) include, in particular—

(a) the decision by the CMA in relation to a possible reference under section 22 , 33, 68B or 68C that it is or may be the case that a relevant merger situation has been created or (as the case may be) that arrangements are in progress or in contemplation which, if carried into effect, will result in the creation of a relevant merger situation;

(b) the decision by the Secretary of State in relation to a possible reference under section 45 that it is or may be the case that a relevant merger situation has been created or (as the case may be) that arrangements are in progress or in contemplation which, if carried into effect, will result in the creation of a relevant merger situation;

(i) it is or may be the case that a special merger situation has been created or (as the case may be) that arrangements are in progress or in contemplation which, if carried into effect, will result in the creation of a special merger situation; and

(ii) one or more than one consideration mentioned in the special intervention notice is relevant to a consideration of the special merger situation concerned; and

(d) the decision by the CMA in relation to a possible reference under section 32 of the Act of 1991 that it is or may be the case that arrangements are in progress which, if carried into effect, will result in a merger of any two or more water enterprises or that such a merger has taken place otherwise than as a result of the carrying into effect of arrangements that have been the subject of a reference by virtue of paragraph (a) of that section.

(4) An order under this section may, in particular, contain provision—

(a) for ascertaining the persons by whom fees are payable;

(b) specifying whether any fee is payable to the Secretary of State or the CMA;

(i) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ii) . . . , the value of the turnover of the enterprises concerned;

(d) as to the time when any fee is to be paid; and

(e) for the repayment by the Secretary of State or the CMA of the whole or part of any fee in specified circumstances.

(5) For the purposes of subsection (4)(c)(ii) the turnover of an enterprise shall be determined in accordance with such provisions as may be specified in an order under this section.

(6) Provision made by virtue of subsection (5) may, in particular, include provision—

(a) as to the amounts which are, or which are not, to be treated as comprising an enterprise’s turnover;

(b) as to the date or dates by reference to which an enterprise’s turnover is to be determined;

(c) restricting the turnover to be taken into consideration to turnover which has a connection of a particular description with the United Kingdom.

(7) An order under this section may, in particular, in connection with provisions of the kind mentioned in subsection (5) make provision enabling the Secretary of State or the CMA to determine matters of a description specified in the order (including any of the matters mentioned in paragraphs (a) to (c) of subsection (6)).

(8) In determining the amount of any fees to be prescribed by an order under this section, the Secretary of State may take into account all costs incurred by him and by the CMA in respect of the exercise by him, the CMA and OFCOM of their respective functions under or by virtue of this Part . . . and sections 32 to 34 of, and Schedule 4ZA to, the Act of 1991.

(9) Fees paid to the Secretary of State or the CMA under this section shall be paid into the Consolidated Fund.

(10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Primacy of Community law

122

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

123

(1) The Secretary of State may by order amend or replace the conditions which determine for the purposes of this Part whether a relevant merger situation has been created.

(2) The Secretary of State shall not exercise his power under subsection (1)—

(a) to amend or replace the conditions mentioned in paragraphs (a) and (b) of subsection (1) of section 23;

(b) to amend or replace the condition mentioned in paragraph (a) of subsection (2) of that section.

(3) In exercising his power under subsection (1) to amend or replace the condition mentioned in paragraph (b) of subsection (2) of section 23 or any condition which for the time being applies instead of it, the Secretary of State shall, in particular, have regard to the desirability of ensuring that any amended or new condition continues to operate by reference to the degree of commercial strength which results from the enterprises concerned having ceased to be distinct.

(3A) In exercising the power under subsection (1) to amend or replace the condition mentioned in subsection (4D) or (4E) of section 23 or any condition which for the time being applies instead of it, the Secretary of State must, in particular, have regard to the desirability of ensuring that any amended or new condition continues to operate by reference to the degree of commercial strength that at least one of the enterprises concerned would have had if the enterprises concerned had not ceased to be distinct enterprises.

(4) Before making an order under this section the Secretary of State shall consult the CMA.

(5) An order under this section may provide for the delegation of functions to the decision-making authority.

Other

Orders and regulations under Part 3

124

(1) Any power of the Secretary of State to make an order or regulations under this Part shall be exercisable by statutory instrument.

(2) Any power of the Secretary of State to make an order or regulations under this Part—

(a) may be exercised so as to make different provision for different cases or different purposes; and

(b) includes power to make such incidental, supplementary, consequential, transitory, transitional or saving provision as the Secretary of State considers appropriate.

(3) The power of the Secretary of State under section 34, 59(6A) , 70G or 123 (including that power as extended by subsection (2) above) , or paragraph 15 of Schedule 6B, may be exercised by modifying any enactment comprised in or made under this Act, or any other enactment.

(4) The power of the Secretary of State under section 34ZC(6), 40(8), 41B(6), 44(11), 52(8) (including that enactment as applied by section 65(3)), 58(3), ... 73B(6)... or 102 as extended by subsection (2) above may be exercised by modifying any enactment comprised in or made under this Act, or any other enactment.

(5) ... An order made by the Secretary of State under section 28 (including that enactment as applied by section 42(5) and 59(5)), 34ZC(6), 40(8), 41B(6), 52(8) (including that enactment as applied by section 65(3)), 59(6A)(a), 70C, 73B(6) ..., 114(3)(b) or (4)(b) or 121 or Schedule 7 is subject to the negative procedure.

(5A) Regulations made under section 68A, 94AB(9) or 111(9) are subject to the negative procedure.

(6) An order made by the Secretary of State under section 34, 44(11), section 59(6A)(b), ... 102, 123 or 128(6) is subject to the affirmative procedure.

(6A) Regulations made under section 70G, 94AB(7) or 111(7A), or paragraph 15 of Schedule 6B, are subject to the affirmative procedure.

(6B) Any provision that may be made by order or regulations under this Part subject to the negative procedure may instead be made by order or regulations subject to the affirmative procedure.

(7) An order made by the Secretary of State under section 58(3) shall be laid before Parliament after being made and shall cease to have effect unless approved, within the period of 28 days beginning with the day on which it is made, by a resolution of each House of Parliament.

(8) In calculating the period of 28 days mentioned in subsection (7), no account shall be taken of any time during which Parliament is dissolved or prorogued or during which both Houses are adjourned for more than four days.

(9) If an order made by the Secretary of State ceases to have effect by virtue of subsection (7), any modification made by it of an enactment is repealed (and the previous enactment revived) but without prejudice to the validity of anything done in connection with that modification before the order ceased to have effect and without prejudice to the making of a new order.

(10) If, apart from this subsection, an order made by the Secretary of State under section 58(3) or 70G, or paragraph 15 of Schedule 6B would be treated for the purposes of the standing orders of either House of Parliament as a hybrid instrument, it shall proceed in that House as if it were not such an instrument.

(11) Where orders or regulations under this Part are subject to “the affirmative procedure”, the orders or regulations may not be made unless a draft of the statutory instrument containing them has been laid before, and approved by a resolution of, each House of Parliament.

(12) Where orders or regulations under this Act are subject to “the negative procedure”, the statutory instrument containing them is subject to annulment in pursuance of a resolution of either House of Parliament.

Offences by bodies corporate

125

(1) Where an offence under this Part committed by a body corporate is proved to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of—

(a) a director, manager, secretary or other similar officer of the body corporate, or

(b) a person purporting to act in such a capacity,

he as well as the body corporate commits the offence and shall be liable to be proceeded against and punished accordingly.

(2) Where the affairs of a body corporate are managed by its members, subsection (1) applies in relation to the acts and defaults of a member in connection with his functions of management as if he were a director of the body corporate.

(3) Where an offence under this Part is committed by a Scottish partnership and is proved to have been committed with the consent or connivance of a partner, or to be attributable to any neglect on the part of a partner, he as well as the partnership commits the offence and shall be liable to be proceeded against and punished accordingly.

(4) In subsection (3) “partner” includes a person purporting to act as a partner.

Service of documents

126

(1) This section applies in relation to any document required or authorised under this Part to be served on a person by the CMA, OFCOM or the Secretary of State.

(2) The document may be served by—

(a) delivering it to the person,

(b) leaving it at the person’s proper address,

(d) sending it to the person by email to their email address.

(3) A document may be served on a body corporate by giving it to any officer of that body.

(4) A document may be served on a partnership by giving it to any partner or a person who has the control or management of the partnership business.

(5) A document may be served on an unincorporated body or association (other than a partnership) by giving it to any member of the governing body of the association.

(6) A person’s proper address is—

(a) in a case where the person has specified an address as one at which the person, or someone acting on the person’s behalf, will accept service of documents, that address;

(b) in any other case, the address determined in accordance with subsection (7).

(7) A person’s “proper address” is (if subsection (6)(a) does not apply)—

(a) in the case of a body corporate, its registered or principal office;

(b) in the case of a partnership, the principal office of the partnership;

(d) in a case where none of paragraphs (a) to (c) apply, any address at which the CMA, OFCOM or the Secretary of State believes, on reasonable grounds, that the document will come to the attention of the person.

(8) A person’s email address is—

(a) any email address published for the time being by that person as an address for contacting that person, or

(b) if there is no such published address, any email address by means of which the CMA, OFCOM or the Secretary of State believes, on reasonable grounds, that the document will come to the attention of that person.

(9) In the case of—

(a) a body corporate registered outside the United Kingdom,

(b) a partnership carrying on business outside the United Kingdom, or

references to its principal office include references to its principal office in the United Kingdom or, if it has no principal office in the United Kingdom, any place in the United Kingdom where it carries on business or conducts activities.

(10) In this section “officer”, in relation to any body corporate, means a director, manager, secretary or other similar officer of the body.

(11) This section does not limit any other lawful means of serving a document on a person.

Associated persons

127

(1) Associated persons, and any bodies corporate which they or any of them control, shall be treated as one person—

(a) for the purpose of deciding under section 26 whether any two enterprises have been brought under common ownership or common control;

(aa) for the purposes of section 58(2C); ...

(ab) for the purposes of section 70A(3);

(b) for the purpose of determining what activities are carried on by way of business by any one person so far as that question arises in connection with paragraph 13(2) of Schedule 8.

(2) Subsection (1) shall not exclude from section 26 any case which would otherwise fall within that section.

(3) A reference under section 22, 33, 45 , 62, 68B or 68C (whether or not made by virtue of this section) may be framed so as to exclude from consideration, either altogether or for a specified purpose or to a specified extent, any matter which, apart from this section, would not have been taken into account on that reference.

(4) For the purposes of this section—

(a) any individual and that individual’s spouse , civil partner or partner and any relative, or spouse or partner of a relative, of that individual or of that individual’s spouse , civil partner or partner;

(b) any person in his capacity as trustee of a settlement and the settlor or grantor and any person associated with the settlor or grantor;

(c) persons carrying on business in partnership and the spouse , civil partner or partner and relatives of any of them; or

(d) two or more persons acting together to secure or exercise control of a body of persons corporate or unincorporate or to secure control of any enterprise or assets,

shall be regarded as associated with one another.

(5) The reference in subsection (1) to bodies corporate which associated persons control shall be construed in accordance with section 26(3) and (4).

(6) In this section “relative” means a brother, sister, uncle, aunt, nephew, niece, lineal ancestor or descendant (the stepchild of any person, or anyone adopted by a person, whether legally or otherwise, as his child being regarded as a relative or taken into account to trace a relationship in the same way as that person’s child); and references to a spouse , civil partner or partner shall include a former spouse , civil partner or partner.

Supply of services and market for services etc.

128

(1) References in this Part to the supply of services shall be construed in accordance with this section; and references in this Part to a market for services and other related expressions shall be construed accordingly.

(2) The supply of services does not include the provision of services under a contract of service or of apprenticeship whether it is express or implied and (if it is express) whether it is oral or in writing.

(3) The supply of services includes—

(a) performing for gain or reward any activity other than the supply of goods;

(b) rendering services to order;

(4) The supply of services includes making arrangements for the use of computer software or for granting access to data stored in any form which is not readily accessible.

(5) The supply of services includes making arrangements by means of a relevant agreement (within the meaning of paragraph 17 of Schedule 3A to the Communications Act 2003 (the electronic communications code)) for sharing the use of electronic communications apparatus.

(6) The supply of services includes permitting or making arrangements to permit the use of land in such circumstances as the Secretary of State may by order specify.

Other interpretation provisions

129

(1) In this Part, unless the context otherwise requires—

“action” includes omission; and references to the taking of action include references to refraining from action;

“agreement” means any agreement or arrangement, in whatever way and whatever form it is made, and whether it is, or is intended to be, legally enforceable or not;

“business” includes a professional practice and includes any other undertaking which is carried on for gain or reward or which is an undertaking in the course of which goods or services are supplied otherwise than free of charge;

“change of circumstances” includes any discovery that information has been supplied which is false or misleading in a material respect;

“consumer” means any person who is— a person to whom goods are or are sought to be supplied (whether by way of sale or otherwise) in the course of a business carried on by the person supplying or seeking to supply them; or a person for whom services are or are sought to be supplied in the course of a business carried on by the person supplying or seeking to supply them; and who does not receive or seek to receive the goods or services in the course of a business carried on by him;

“customer” includes a customer who is not a consumer;

“enactment” includes an Act of the Scottish Parliament, Northern Ireland legislation and an enactment comprised in subordinate legislation, and includes an enactment whenever passed or made;

“enterprise” means the activities, or part of the activities, of a business;

“the European Merger Regulations” means Council Regulation (EEC) No. 4064/89 of 21st December 1989 on the control of concentrations between undertakings as amended by Council Regulation (EC) No. 1310/97 of 30th June 1997;

“foreign state intervention notice” means a notice under section 70A(1);

“foreign state newspaper merger situation” is to be interpreted in accordance with section 70A(3);

“goods” includes buildings and other structures, and also includes ships, aircraft and hovercraft;

“modify” includes amend or repeal;

“notice” means notice in writing;

“price” includes any charge or fee (however described);

“subordinate legislation” has the same meaning as in the Interpretation Act 1978 (c. 30) and also includes an instrument made under an Act of the Scottish Parliament and an instrument made under Northern Ireland legislation;

“subsidiary” has the meaning given by section 1159 of the Companies Act 2006 (c. 6);

“supply”, in relation to the supply of goods, includes supply by way of sale, lease, hire or hire-purchase, and, in relation to buildings or other structures, includes the construction of them by a person for another person;

“the UK financial system” means the financial system in the United Kingdom; and

“United Kingdom national” means an individual who is— a British citizen, a British overseas territories citizen, a British National (Overseas) or a British Overseas citizen; a person who under the British Nationality Act 1981 (c. 61) is a British subject; or a British protected person within the meaning of that Act.

“working day” means any day other than— a Saturday or Sunday, or a day that is a bank holiday in any part of the United Kingdom under the Banking and Financial Dealings Act 1971.

(2) For the purposes of this Part any two bodies corporate are interconnected if—

(a) one of them is a body corporate of which the other is a subsidiary; or

(b) both of them are subsidiaries of one and the same body corporate;

and in this Part “interconnected bodies corporate” shall be construed accordingly and “group of interconnected bodies corporate” means a group consisting of two or more bodies corporate all of whom are interconnected with each other.

(3) References in this Part to a person carrying on business include references to a person carrying on business in partnership with one or more other persons.

(4) Any duty to publish which is imposed on a person by this Part shall, unless the context otherwise requires, be construed as a duty on that person to publish in such manner as he considers appropriate for the purpose of bringing the matter concerned to the attention of those likely to be affected by it.

Index of defined expressions

130

In this Part, the expressions listed in the left-hand column have the meaning given by, or are to be interpreted in accordance with, the provisions listed in the right-hand column.

Part 4 — Market Studies and Market Investigations

Chapter 1 — Market Studies and market investigation references

Making of references

Power of OFT to make references

131

(1) The CMA may, subject to subsection (4), make a reference to its chair for the constitution of a group under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 if the CMA has reasonable grounds for suspecting that any feature, or combination of features, of a market in the United Kingdom for goods or services prevents, restricts or distorts competition in connection with the supply or acquisition of any goods or services in the United Kingdom or a part of the United Kingdom.

(2) For the purposes of this Part any reference to a feature of a market in the United Kingdom for goods or services shall be construed as a reference to—

(a) the structure of the market concerned or any aspect of that structure;

(b) any conduct (whether or not in the market concerned) of one or more than one person who supplies or acquires goods or services in the market concerned; or

(2A) In a case where the feature or each of the features concerned falls within subsection (2)(b) or (c), a reference under subsection (1) may be made in relation to more than one market in the United Kingdom for goods or services.

(3) In subsection (2) “conduct” includes any failure to act (whether or not intentional) and any other unintentional conduct.

(4) No reference shall be made under this section if—

(a) the making of the reference is prevented by section 156(A1) or (1); or

(b) a reference has been made under section 132 or 140A(6) in relation to the same matter but has not been finally determined.

(5) References in this Part to a market investigation reference being finally determined shall be construed in accordance with section 183(3) to (6).

(6) In this Part—

“cross-market reference” means a reference under this section which falls within subsection (2A) or a reference under section 132 which falls within subsection (3A) of that section (and see section 140A);

“market in the United Kingdom” includes— so far as it operates in the United Kingdom or a part of the United Kingdom, any market which operates there and in another country or territory or in a part of another country or territory; and any market which operates only in a part of the United Kingdom;

“market investigation reference” means a reference under this section or section 132 or 140A(6);

“ordinary reference” means a reference under this section or section 132 which is not a cross-market reference (and see section 140A);

and references to a market for goods or services include references to a market for goods and services.

Ministerial power to make references

132

(1) Subsection (3) applies where, in relation to any goods or services—

(a) the appropriate Minister is not satisfied with a decision of the CMA not to make a reference under section 131; and

(b) in a case in which the CMA has published a market study notice under section 130A, the period permitted by section 131B for the preparation and publication by the CMA of the market study report has expired.

(2) Subsection (3) also applies where, in relation to any goods or services, the appropriate Minister—

(a) has brought to the attention of the CMA information which the appropriate Minister considers to be relevant to the question of whether the CMA should make a reference under section 131; but

(b) is not satisfied that the CMA will decide, within such period as the appropriate Minister considers to be reasonable, whether to publish a market study notice in relation to the matter concerned.

(3) The appropriate Minister may, subject to subsection (4), make a reference to the chair of the CMA for the constitution of a group under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 if he has reasonable grounds for suspecting that any feature, or combination of features, of a market in the United Kingdom for goods or services prevents, restricts or distorts competition in connection with the supply or acquisition of any goods or services in the United Kingdom or a part of the United Kingdom.

(3A) In a case where the feature or each of the features concerned falls within section 131(2)(b) or (c), a reference under subsection (3) may be made in relation to more than one market in the United Kingdom for goods or services.

(4) No reference shall be made under this section if—

(a) the making of the reference is prevented by section 156(A1) or (1); or

(b) a reference has been made under section 140A(6) in relation to the same matter but has not been finally determined.

(5) In this Part “the appropriate Minister” means—

(a) the Secretary of State; ...

(b) the Secretary of State and one or more than one other Minister of the Crown acting jointly;

(d) the Scottish Ministers, the Secretary of State and one or more than one other Minister of the Crown, acting jointly.

Contents of references

133

(1) A market investigation reference shall, in particular, specify—

(a) the enactment under which it is made;

(b) the date on which it is made; ...

(c) in the case of an ordinary reference, the description of goods or services to which the feature or combination of features concerned relates; and

(d) in the case of a cross-market reference, the feature or features concerned and the descriptions of goods or services to which it or they relate.

(1A) A market investigation reference may be framed so as to require the group constituted by the chair of the CMA in respect of the reference to confine its investigation into the effects of features of markets in the United Kingdom for goods or services of a description specified in the reference to the effects of particular features of such markets.

(1B) For the purposes of subsection (1A), “particular features” means features specified in the reference.

(2) For the purposes of subsection (1A), a reference may (for example) specify or describe features that exist in connection with—

(a) a supply or, in the case of a cross-market reference, supplies, of a description specified in the reference, of the goods or services concerned; or

(b) an acquisition or, in the case of a cross-market reference, acquisitions, of a description specified in the reference, of the goods or services concerned.

(3) A description of the kind mentioned in subsection (2)(a) or (b) may, in particular, be by reference to—

(a) the place where the goods or services are supplied or acquired; or

(b) the persons by or to whom they are supplied or by or from whom they are acquired.

Determination of references

Questions to be decided on market investigation references

134

(1) The CMA shall, on an ordinary reference, decide whether any relevant feature of each relevant market prevents, restricts or distorts competition in connection with the supply or acquisition of any goods or services in the United Kingdom or a part of the United Kingdom.

(1A) The CMA shall, on a cross-market reference, decide in relation to each feature and each combination of the features specified in the reference, whether the feature or combination of features, as it relates to goods or services of one or more than one of the descriptions so specified, prevents, restricts or distorts competition in connection with the supply or acquisition of any goods or services in the United Kingdom or a part of the United Kingdom.

(2) For the purposes of this Part, in relation to an ordinary reference, there is an adverse effect on competition if any relevant feature of a relevant market prevents, restricts or distorts competition in connection with the supply or acquisition of any goods or services in the United Kingdom or a part of the United Kingdom.

(2A) For the purposes of this Part, in relation to a cross-market reference, there is an adverse effect on competition if a feature or a combination of the features specified in the reference, as that feature or combination of features relates to goods or services of one or more than one of the descriptions so specified, prevents, restricts or distorts competition in connection with the supply or acquisition of any goods or services in the United Kingdom or a part of the United Kingdom.

(2B) In subsections (1) and (2), “relevant feature” means—

(a) any feature of a relevant market which is not excluded from investigation by virtue of section 133(1A), or

(b) a combination of such features.

(3) In subsections (1) and (2) “relevant market” means—

(a) in the case of subsection (2) so far as it applies in connection with a possible reference, a market in the United Kingdom—

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