141Disciplinary powers of NICC

#### 141 Disciplinary powers of NICC 141 Disciplinary powers of NICC > > (1) The NICC may deal with and determine a complaint that is made to it under this Part. > > > (2) If the NICC is satisfied that any of the grounds on which the complaint was made apply in relation to the licensee, manager or close associate, the NICC may decide not to take any action or may do any one or more of the following— > > > > > (a) cancel the licence, > > > > > (b) suspend the licence for such period not exceeding 12 months (or, if circumstances of aggravation exist in relation to the complaint, not exceeding 24 months) as the NICC thinks fit, > > > > > (c) order the licensee or manager to pay, within such time as is specified in the order— > > > > > > > (i) a monetary penalty not exceeding 500 penalty units, or > > > > > > > (ii) if circumstances of aggravation exist in relation to the complaint—a monetary penalty not exceeding 1,000 penalty units, > > > > > (d) suspend or cancel any authorisation or other approval (other than the licence itself) held by the licensee under this Act, > > > > > (e) impose a condition to which the licence, or any authorisation or approval held by the licensee under this Act, is to be subject or revoke or vary a condition to which the licence or any such authorisation or approval is subject, > > > > > (f) disqualify the licensee from holding a licence, or from being the manager of licensed premises or the close associate of a licensee, for such period as the NICC thinks fit, > > > > > (g) withdraw the manager’s approval to manage licensed premises, > > > > > (h) disqualify the manager from being the manager of licensed premises, or from holding a licence or being the close associate of a licensee, for such period as the NICC thinks fit, > > > > > (i) \[not applied\] > > > > > (j) disqualify the close associate from being a close associate of a licensee or the manager of licensed premises for such period as the NICC thinks fit, > > > > > (k) disqualify the close associate from holding a licence for such period as the NICC thinks fit, > > > > > (l) order the licensee, manager or close associate to pay the amount of any costs incurred by— > > > > > > > (i) the Secretary in carrying out any investigation or inquiry under section 138 in relation to the licensee, manager or close associate, or > > > > > > > (ii) the NICC in connection with the taking of disciplinary action against the licensee, manager or close associate under this section, > > > > > (m) reprimand the licensee, manager or close associate. > > > (3) If the NICC orders a licensee or manager to pay a monetary penalty under this section and the penalty is not paid within the time specified in the order, the NICC may— > > > > > (a) cancel the licence, or > > > > > (b) suspend the licence until such time as the penalty is paid (or for such other period as the NICC thinks fit). > > > (4) While a person is disqualified by the NICC from being a close associate of a licensee, the person is conclusively presumed for the purposes of this Act to be a person who is not a fit and proper person to be a close associate of a licensee. > > > (5) Action against other interested persons In deciding whether to take disciplinary action under this section against a licensee in relation to a complaint, the NICC may take disciplinary action against a person who is interested in the business, or in the conduct or profits of the business, carried on under the licence (regardless of whether the NICC takes any disciplinary action under this section against the licensee concerned). > > > (6) If the NICC decides to take disciplinary action against any such interested person, the NICC may do any one or more of the following— > > > > > (a) disqualify the person, for a period commencing on a specified day, from being a person interested in the business, or in the conduct or profits of the business, carried on under a licence, > > > > > (b) reprimand the person. > > > (7) Circumstances of aggravation For the purposes of this section, circumstances of aggravation exist in relation to a complaint if (and only if) each of the following paragraphs applies— > > > > > (a) the complaint concerns a contravention or alleged contravention of section 73 or 74, > > > > > (b) the complaint alleges that for the reasons specified in the complaint the matter of the complaint is so serious as to warrant the taking of action that is available to the NICC when circumstances of aggravation exist, > > > > > (c) the NICC, in finding that the matter of the complaint has been made out, is of the opinion (having regard to any matter such as the number of contraventions of the Act involved, the seriousness of the contravention involved, the number of people involved in the contravention or the seriousness of the outcome of the contravention, or any other relevant consideration) that the matter of the complaint is so serious as to warrant the taking of action that is available to the NICC when circumstances of aggravation exist.