Commentary on Sections Complaints Handling – the new system Section 143: Reporting possible misconduct to approved regulators
363.In the course of consideration of a complaint, it may become apparent that there is a possibility that a respondent, or other person in relation to the matter concerned, has breached their regulator’s rules of conduct. Where the ombudsman is of such an opinion, this section allows the ombudsman to notify that person’s regulator, and to notify the complainant that they have done this. The regulator can be required to report to the ombudsman on the actions it takes. If the ombudsman, on studying the report, is of the opinion that the approved regulator is seriously or persistently failing to enforce its rules of conduct, the ombudsman may report this to the Board.