Commentary on Sections Complaints Handling – the new system Section 146: Reporting failures to co-operate with an investigation to approved regulators
366.Where an authorised person fails to co-operate with an ombudsman as stated in section 146 the ombudsman can notify that person’s approved regulator. The regulator may be required to report to the ombudsman on the action it takes; and if the ombudsman 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its rules of conduct, the ombudsman may report this to the Board (and may do so even if the complaint is subsequently withdrawn).