EN-1.3 EN-1.3 Publicity
EN-1.3.1
The Agency will not as a matter of general policy publicise individual cases when it uses the measures set out in chapters EN-2 to EN-7. However, in such cases the Agency may inform the licensee's external auditors and — in the case of licensees with overseas operations — relevant overseas regulators.
EN-1.3.2
In exceptional circumstances, the Agency may decide to publicise individual cases when the measures set out in chapters EN-2 to EN-7 are used, where there is a strong case that doing so would help achieve the Agency's supervisory objectives. In such instances, the Agency will usually allow the licensee or individual concerned the opportunity to make representations to the Agency before a public statement is issued.
EN-1.3.3
With respect to the financial penalties provided for in chapter EN-6, licensees are required to disclose in their annual reports the amount of any such penalties paid to the Agency, together with a factual description of the reason(s) given by the Agency for the penalty.
EN-1.3.4
Without prejudice to the above policy, the Agency may from time to time publish aggregate information on its use of measures set out in chapters EN-2 to EN-7, without identifying the licensees or individuals concerned, unless their identities have previously been disclosed as provided for in paragraphs EN-1.3.2 or EN-1.3.3.
