128Provision of information, documents and evidence

#### 128 Provision of information, documents and evidence 128 Provision of information, documents and evidence > > (1) For the purposes of exercising its functions under this Part, the Scheme Regulator or Scheme Administrator may, by written notice served on a relevant person, require the person to do one or more of the following— > > > > > (a) to send to the Scheme Regulator or Scheme Administrator, on or before a day specified in the notice, a statement setting out the information specified in the notice, > > > > > (b) to send to the Scheme Regulator or Scheme Administrator, on or before a day specified in the notice, a document or type of document specified in the notice. > > > (2) If the Tribunal is the Scheme Regulator or Scheme Administrator, the Tribunal may, in the notice, in addition to or instead of requiring a relevant person to do something specified in subclause (1), require the relevant person to attend a meeting of the Tribunal to give evidence. > > > (3) A person must not, without reasonable excuse— > > > > > (a) refuse or fail to comply with a notice served under this clause, or > > > > > (b) refuse or fail to answer a question the person is required to answer at a meeting of the Tribunal the person is required to attend under this clause. > > > > Maximum penalty (subclause (3))—250 penalty units for a corporation or 100 penalty units for an individual. > > > (4) An individual has a reasonable excuse for the purposes of subclause (3) if complying with the notice or answering the question might tend to incriminate the individual or make the individual liable to any forfeiture or penalty. > > > (5) If documents are given to the Scheme Regulator or Scheme Administrator under this clause, the Scheme Regulator or Scheme Administrator— > > > > > (a) may take possession of, and make copies of or take extracts from, the documents, and > > > > > (b) may keep possession of the documents for the period necessary for those purposes, and > > > > > (c) during that period must permit the documents to be inspected at all reasonable times by persons who would be entitled to inspect them if the documents were not in the possession of the Scheme Regulator or Scheme Administrator. > > > (6) This clause does not affect the law relating to client legal privilege or other legal professional privilege. > > > (7) In this clause— > > > > relevant person means— > > > > > (a) an officer of a scheme participant or former scheme participant, or > > > > > (b) an officer of an accredited certificate provider or former accredited certificate provider, or > > > > > (c) another person whom the Scheme Regulator or Scheme Administrator, as the case requires, reasonably believes is able to provide information relevant to its functions as Scheme Regulator or Scheme Administrator.