(1) The regulator may do anything it thinks necessary or expedient for the purpose of or in connection with the performance of a function of the regulator.
(2) In particular, the regulator may do anything it thinks appropriate for advancing its fundamental objectives.
(1) The regulator may carry out or commission studies designed to improve the economy, effectiveness and efficiency of registered providers.
(2) The regulator may publish a report on a study.
(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(1) The regulator may, where it thinks it advances a fundamental objective, give financial assistance to a person in connection with—
(a) undertaking research,
(b) preparing guidance,
(c) developing and publicising best practice, or
(d) facilitating the management of social housing by tenants.
(2) Financial assistance under subsection (1) may be given—
(a) by way of grant,
(b) by way of loan,
(c) by defraying expenditure on behalf of a person, or
(d) in any other way except purchasing loan or share capital of a body corporate or giving a guarantee or indemnity.
(3) The regulator may, where it thinks it advances a fundamental objective, give financial assistance to a private registered provider by—
(a) lending money to or in respect of the registered provider, or
(b) giving a guarantee or indemnity in respect of the registered provider.
(4) Financial assistance may be given under subsection (3) only with the consent of the Secretary of State (given with the approval of the Treasury).
(5) Financial assistance under subsection (1) or (3) may be given on conditions (which may include provision for repayment, with or without interest).
In considering whether to exercise a power under this Part the regulator may have regard to information or opinions from any source including, in particular, from—
(a) tenants,
(b) bodies representing tenants,
(c) local housing authorities, or
(d) the Commission for Local Administration in England or a housing ombudsman.
(1) The regulator must establish a panel of persons called “the Advisory Panel”.
(2) The Panel may provide information and advice to the regulator about, or on matters connected with, the regulator’s functions (whether or not it is requested to do so by the regulator).
(3) The reference in subsection (2) to matters connected with the regulator’s functions includes anything which could have a significant impact on registered providers or the provision of social housing.
(4) The regulator must appoint the following persons to the Panel—
(a) persons appearing to the regulator to represent the interests of—
(i) registered providers;
(ii) secured creditors of registered providers;
(iii) tenants of social housing;
(iv) local housing authorities,
(b) the Greater London Authority,
(c) the HCA, and
(d) the Secretary of State.
(5) The regulator may appoint such other persons to the Panel as it thinks fit to appoint.
(6) The regulator may make payments to persons who are members of the Panel in respect of any expenses they incur in connection with their appointment to the Panel.
(7) The regulator must make arrangements requiring any person who is a member of the Panel to declare any financial or other personal interest relevant to the regulator’s functions.
(1) The regulator may for the purpose of advancing its fundamental objectives—
(a) publish ideas or information;
(b) undertake research in relation to social housing;
(c) provide guidance, advice, education or training.
(2) The regulator may for that purpose—
(a) arrange for another person to do anything within subsection (1)(a) to (c);
(b) act jointly with, cooperate with or assist another person doing anything within subsection (1)(a) to (c).
(3) The persons to whom advice may be given under subsection (1) include—
(a) unregistered housing associations (as defined by section 2B of the Housing Associations Act 1985 (c. 69)), and
(b) persons who may be forming a housing association (within the meaning of section 1(1) of that Act).
(1) The regulator shall—
(a) promote awareness of the regulator's functions among tenants of social housing,
(b) where the regulator thinks it appropriate, consult them about the exercise of its functions (for example, by holding meetings), and
(c) where the regulator thinks it appropriate, involve them in the exercise of its functions (for example, by appointing them to committees or sub-committees).
(2) The regulator shall from time to time publish a statement about how it proposes to comply with subsection (1).
(3) Before publishing a statement the regulator must consult such persons as it thinks appropriate.
(1) The regulator may pay to or in respect of appointed members—
(a) remuneration, and
(b) travelling and other allowances.
(2) The Secretary of State must determine rates and eligibility criteria for payments under subsection (1).
(3) If the Secretary of State considers that there are special circumstances that justify the payment of compensation to a person on ceasing to be an appointed member, the regulator may pay such compensation as is determined by the Secretary of State.
(1) The Secretary of State may make payments to the regulator by way of grant or loan.
(2) A grant or loan may be subject to conditions (which may include provision for repayment, with or without interest).
(1) The regulator may borrow—
(a) by way of overdraft or otherwise, for the purpose of what it considers to be short-term management of its finances, or
(b) from the Secretary of State.
(2) The regulator may not borrow otherwise.
(1) The regulator must keep proper accounts (and proper records of its accounts).
(2) As soon as is reasonably practicable after the end of each financial year the regulator must prepare a statement of accounts in respect of that financial year.
(3) The statement must be in such form as the Secretary of State may direct.
(4) The regulator must, within such period as the Secretary of State may direct, send a copy of the statement to—
(a) the Secretary of State, and
(b) the Comptroller and Auditor General.
(5) The Comptroller and Auditor General must—
(a) examine, certify and report on the statement, and
(b) send a copy of the certified statement and the report to the Secretary of State as soon as possible.
(6) The Secretary of State must lay before Parliament a copy of each statement and report received under subsection (5).
(1) The regulator must, as soon as is reasonably practicable after the end of each financial year, prepare an annual report in relation to how it has exercised its functions during that financial year.
(2) The regulator must, within such period as the Secretary of State may direct, send a copy of the annual report to the Secretary of State.
(3) The Secretary of State must lay a copy of each annual report before Parliament.
(1) The regulator’s financial year is each period of 12 months beginning with 1st April.
(2) But the first financial year is the period—
(a) beginning with the day on which section 80A comes into force, and
(b) ending with the next 31st March.
(1) The regulator must, in the exercise of its functions, cooperate with the HCA.
(2) The regulator must, in particular, consult the HCA on matters related to the HCA’s social housing functions.
(1) The regulator may direct the HCA not to give financial assistance to a specified registered provider—
(a) under section 19, and
(b) in connection with social housing.
(2) A direction may be given if—
(a) the regulator has decided to hold an inquiry into the affairs of the registered provider under section 206 (and the inquiry is not concluded),
(b) an event mentioned in section 145(2) has occurred in relation to the registered provider, or
(c) the regulator has appointed an officer of the registered provider under section 269 (and the person appointed has not vacated office).
(3) A direction may prohibit the HCA from giving assistance of a specified kind (whether or not in pursuance of a decision already taken and communicated to the registered provider).
(4) A direction may not prohibit grants to a registered provider in respect of discounts given by the provider on disposals of dwellings to tenants.
(5) A direction has effect until withdrawn.
(1) The regulator and a housing ombudsman must each take such steps as it considers appropriate to co-operate in the exercise of their respective functions.
(2) The regulator and a housing ombudsman must prepare and maintain a memorandum describing how they intend to comply with subsection (1).
(3) The regulator and a housing ombudsman must ensure that the memorandum between them as currently in force is published in the way appearing to them to be best calculated to bring it to the attention of the public.
(1) The regulator, or a person authorised under subsection (4A), may for a purpose connected with the regulator’s functions require a person to provide documents or information which the regulator or person authorised (as the case may be) has reason to believe is or may be in the person’s possession.
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2A) A requirement under subsection (1) may also require the person to provide an explanation of any document or information required under that subsection.
(3) A requirement under subsection (1) may specify—
(a) the form and manner in which a document, information or an explanation is to be provided (which may include the provision of a legible copy of information stored electronically);
(b) when and where it is to be provided.
(4) The regulator may copy or record documents, information or explanations provided.
(4A) The regulator may in writing authorise a person to exercise any of its powers under this section.
(4B) An authorisation—
(a) must specify the extent to which the person is authorised to exercise the powers, and
(b) may provide that the person is to be authorised for a particular period.
(5) Failure to comply with a requirement under subsection (1) without reasonable excuse is an offence.
(6) Intentionally altering, suppressing or destroying a document or information required under subsection (1) is an offence.
(6A) Knowingly or recklessly providing the regulator, or a person authorised under subsection (4A), with a document, information or an explanation which is false or misleading in purported compliance with a requirement under subsection (1) is an offence.
(7) If a person fails to comply with a requirement under subsection (1) the High Court may, on an application by the regulator, make an order for the purpose of remedying the failure.
(1) A requirement under section 107(1) does not require a person to disclose anything which the person would be entitled to refuse to disclose on grounds of legal professional privilege in proceedings in the High Court.
(2) A requirement under section 107(1) does not require a banker to breach a duty of confidentiality owed to a person who is not—
(a) a registered provider,
(b) a subsidiary of a registered provider,
(c) an associate of a registered provider, or
(d) a person who is certified in writing by the regulator as being—
(i) a person who has applied to be entered in the register of providers of social housing, or
(ii) a local authority which the regulator thinks may be, or may become, a provider of social housing.
(3) A person guilty of an offence under section 107(5) is liable on summary conviction to a fine ....
(4) A person guilty of an offence under section 107(6) or (6A) is liable—
(a) on summary conviction, to a fine ...;
(b) on conviction on indictment, to—
(i) imprisonment for a term not exceeding two years,
(ii) a fine, or
(iii) both.
(5) Proceedings for an offence under section 107(5) , (6) or (6A) may be brought only by or with the consent of—
(a) the regulator, or
(b) the Director of Public Prosecutions.
(6) An order under section 107(7) may include provision about costs.
(1) A public authority may disclose information to the regulator if the authority thinks that the disclosure is necessary for a purpose connected with the regulator's functions.
(2) The regulator may disclose information to a public authority if the regulator thinks that the disclosure is necessary—
(a) for a purpose connected with the regulator's functions, or
(b) for a purpose connected with the authority's functions.
(3) The regulator may disclose information to a person acting on its behalf for a purpose connected with the regulator's functions.
(4) A disclosure may be subject to restrictions on further disclosure.
(5) The power to disclose information under this section is subject to any express restriction on disclosure imposed by another enactment (ignoring any restriction which allows disclosure if authorised by an enactment).
(6) Disclosure in contravention of a restriction under subsection (4) is an offence.
(7) A person guilty of an offence is liable on summary conviction to a fine not exceeding level 3 on the standard scale.
(8) “Public authority” means a person having functions of a public nature (whether or not in the United Kingdom).
(1) The regulator shall maintain a register of providers of social housing.
(2) The regulator shall make the register available for inspection by the public.
(1) A body is eligible for registration if—
(a) it is an English body, and
(b) it satisfies the following conditions.
(2) Condition 1 is that the body—
(a) is a provider of social housing in England, or
(b) intends to become a provider of social housing in England.
(3) Condition 2 is that the body satisfies any relevant criteria set by the regulator ...—
(a) as to its financial situation,
(b) as to its constitution, ...
(c) as to other arrangements for its management , and
(d) to secure that the body would meet, on registration, standards set by the regulator under sections 193, 194, 194A and 194C.
(4) Before setting criteria the regulator must consult—
(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(za) the HCA,
(aa) the Greater London Authority,
(b) one or more bodies appearing to it to represent the interests of private registered providers,
(ba) any body for the time being nominated under section 278A,
and
(c) one or more other bodies appearing to it to represent the interests of tenants.
(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2) The Secretary of State may by order require or permit the regulator to register—
(a) a specified local authority, or
(b) a specified class of local authority.
(3) Registration under subsection (2)—
(a) takes effect in accordance with any provision of the order about timing or other procedural or incidental matters, and
(b) does not require an application for registration, ...
(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4) If the Secretary of State thinks it necessary or desirable in connection with the registration of local authorities, the Secretary of State may by order—
(a) provide for a provision of this Part or any other enactment not to apply in relation to registered local authorities;
(b) provide for a provision of this Part or any other enactment to apply with specified modifications in relation to registered local authorities;
(c) amend a provision of this Part or any other enactment.
(5) In this section—
(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b) “registered local authorities” means authorities or persons who are registered, registrable or to be registered as a result of an order under subsection ... (2) above.
(6) Before making an order under this section the Secretary of State shall consult—
(a) any authority or person likely to be affected by it, and
(b) such other persons as the Secretary of State thinks fit.
(1) A local authority ... which is not subject to compulsory registration must notify the regulator as soon as it becomes subject to compulsory registration.
(2) For these purposes, an authority is subject to compulsory registration if—
(a) it is a provider of social housing, or
(b) it intends to become a provider of social housing.
(1) Each entry in the register shall designate the body registered as either—
(a) a non-profit organisation, or
(b) a profit-making organisation.
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) A body is a non-profit organisation if—
(a) it is a registered or non-registrable charity and satisfies Conditions 1 and 2, or
(b) otherwise, it satisfies Conditions 1 to 3.
(4) Condition 1 is that the body—
(a) does not trade for profit, ...
(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(5) Condition 2 is that a purpose of the body is the provision or management of housing.
(6) Condition 3 is that any other purposes of the body are connected with or incidental to the provision of housing.
(6A) The fact that a body is prohibited by its constitution from trading for profit does not, of itself, mean that it is a body which does not trade for profit for the purposes of subsection (4)(a).
(7) The Secretary of State may make regulations providing that a specified purpose is to be, or not to be, treated as connected with or incidental to the provision of housing.
(8) A body which is not a non-profit organisation under subsection ... (3) is a profit-making organisation.
(9) If the regulator thinks that what was a profit-making organisation has become a non-profit organisation or vice versa, the regulator must change the registered designation accordingly and notify the body it has done so.
(10) Subsection (1) does not apply to the entry of a local authority in the register (and, accordingly, references to “profit-making” and “non-profit” in connection with a registered provider do not refer to a local authority).
(1) The regulator shall register anyone who—
(a) is eligible for registration under section 112(1), and
(b) applies to be registered.
(2) The regulator may make provision about—
(a) the form of an application;
(b) the information to be contained in it or provided with it;
(c) the manner in which an application is to submitted;
(d) the consequences of failure to comply with provision under paragraphs (a) to (c).
(2A) The regulator must notify a body of the outcome of its application.
(3) This section is subject to section 117 (fees).
(4) Once entered in the register under this section a body remains registered unless and until removed under section 118 or 119.
(5) It shall be presumed for all purposes that a person entered in the register under this section is eligible for registration while the registration lasts (irrespective of whether and why the person is later removed from the register).
(6) This section deals with voluntary registration; for the registration of local authorities, see section 114.
(1) The regulator may charge—
(a) a fee for dealing with an application for initial registration, and
(b) an annual fee for continued registration.
(1A) The regulator may make dealing with an application for initial registration conditional upon the payment of the fee.
(2) Except in the case of a local authority, the regulator may make ... continued registration conditional upon payment of the fee.
(3) The regulator shall—
(a) prescribe the amount of a fee, and
(b) make provision about the periods during which and in respect of which annual fees are payable.
(4) The regulator may set different fees, and make different provision, for different cases or circumstances.
(4A) The amount of a fee payable under this section may be calculated by reference to costs incurred, or likely to be incurred, by the regulator in the performance of any of its functions, including costs unconnected with the fee-payer and costs unconnected with registration or regulation under this Part.
(5) Fees must be set in accordance with principles which the regulator prepares and publishes and which are designed to ensure that so far as is reasonably practicable—
(a) fee income matches the costs incurred in the performance of the regulator's functions,
(b) ... and
(c) actual or potential registered providers can see the relationship between the amount of a fee and the costs incurred, or likely to be incurred, in the performance of the regulator’s functions.
(6) The principles—
(a) shall provide for section 95(3) to be disregarded for the purpose of subsection (5)(a), and
(b) may provide for specified expenditure or potential expenditure under section 95 or otherwise to be disregarded for the purpose of subsection (5)(a).
(7) Principles do not have effect until approved by the Secretary of State.
(8) In preparing (or revising) the principles the regulator shall consult persons appearing to the regulator to represent the interests of fee-payers.
(9) The regulator’s accounts shall show—
(a) fees received, and
(b) fees outstanding.
(10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(1) The regulator may remove from the register a private registered provider which the regulator thinks—
(a) is no longer eligible for registration,
(aa) has failed to meet a standard under section 193, 194 or 194C,
(b) has ceased to carry out activities, or
(c) has ceased to exist.
(2) Before acting under subsection (1)(a), (aa) or (b) the regulator must—
(a) give the private registered provider a notice—
(i) warning the provider that the regulator is considering action under the provision concerned, and
(ii) specifying a period (which must be at least 14 days beginning with the day the provider receives the notice) within which the provider may make representations, and
(b) consider any representations made during that period.
(3) The regulator must notify a private registered provider of a decision to remove it from the register under subsection (1)(a), (aa) or (b).
(4) The regulator shall remove a local authority from the register if the regulator becomes aware that the authority—
(a) is no longer a provider of social housing, or
(b) no longer intends to become a provider of social housing (in the case of an authority which intended to become one but did not in fact do so).
(1) A private registered provider may ask the regulator to remove it from the register.
(2) The regulator may comply with a request—
(a) on the grounds that the registered provider no longer is or intends to be a provider of social housing in England,
(b) on the grounds that the registered provider is subject to regulation by another authority whose control is likely to be sufficient, or
(c) on the grounds that the registered provider meets any relevant criteria for de-registration set by the regulator.
(3) Before deciding whether or not to comply, the regulator must consult such local authorities in whose area the registered provider acts as it thinks appropriate.
(4) The regulator shall not comply with a request by a non-profit registered provider if it thinks that removal is sought with a view to enabling the registered provider to distribute assets to members.
(5) In deciding whether or not to comply, the regulator must (in particular) have regard to—
(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b) any conditions imposed in connection with financial assistance given to the registered provider under any enactment.
(6) Having decided whether or not to remove the registered provider the regulator must notify—
(a) the provider, and
(b) any authority consulted.
(7) The regulator shall publish criteria set for the purposes of subsection (2)(c).
(1) As soon as is reasonably practicable after registering or de-registering a body the regulator shall notify—
(a) in the case of a registered charity, the Charity Commission,
(b) in the case of a registered society, the Financial Conduct Authority, ...
(c) in the case of a registered company (whether or not also a registered charity) or a limited liability partnership, the registrar of companies for England and Wales , and
(d) in the case of a local authority, the Secretary of State.
(2) Except in the case of a local authority, a notice of registration shall specify whether the person registered is designated as a non-profit or profit-making organisation.
(3) If the designation changes, the regulator shall notify any person notified of the registration.
(4) A person to whom notice is given under this section must keep a record of it.