Appeal Tribunal

General Rights of appeal from decisions of the Council

General

1. There shall be an Appeal Tribunal to determine appeals relating to –

(a) enforcement proceedings;

(b) intervention orders; 

(ba) administrative fines; and

(c) decisions of the Council as set out in [Consolidated Requirements Part 2 > General Operational Matters > Enforcement > Appeal Tribunal > Rights of appeal from decisions of the Council].

2. The Council shall appoint the members of the Appeal Tribunal and may from time to time prescribe requirements –

(a) to govern the membership of the Appeal Tribunal;

(b) to govern the commencement, procedure and conduct of proceedings before the Appeal Tribunal; and

(c) relating to the admissibility of evidence in proceedings before the Appeal Tribunal.

Rights of appeal relating to enforcement proceedings

3. Subject to [4. and 6. below], a defendant shall have a right of appeal from a decision of an Enforcement Tribunal made against it as to any –

(a)    finding of misconduct;

(b)    sanction imposed;

(c)    order as to costs.

4. The Council shall have a right of appeal from a decision of the Enforcement Tribunal as to any –

(a) sanction imposed;

(b) order as to costs.

5. A defendant or the Council shall have no right of appeal from a decision of an Enforcement Committee approving terms of settlement agreed to by the defendant and the Council.

6. An appeal from a decision as to misconduct, sanction or costs made in default of service of a defence or where the defendant did not attend an oral hearing shall only be made with the permission of the Appeal Tribunal.

Rights of appeal relating to intervention orders

7. Any person against whom an intervention order has been made shall have a right of appeal against the order or any of the terms of the order.

Right of appeal relating to administrative fines

8. Any person upon whom an administrative fine is imposed shall have a right of appeal against the administrative fine or the amount or any term of the administrative fine.

Rights of appeal relating to decisions of the Council

9. The persons referred to in [2. in Consolidated Requirements Part 2 > General Operational Matters > Enforcement > Appeal Tribunal > Rights of appeal from decisions of the Council] shall have a right of appeal in respect of the decisions of the Council as set in [1. in Consolidated Requirements Part 2 > General Operational Matters > Enforcement > Appeal Tribunal > Rights of appeal from decisions of the Council].

Powers of the Appeal Tribunal

10. The grounds on which the Appeal Tribunal may allow an appeal (save in respect of the right to appeal a decision of the Administrative Sanctions Panel) are where it is satisfied that the body being appealed against –

(a) made an error of law;

(b) took into account irrelevant matters or failed to take into account relevant matters or otherwise reached a decision so unreasonable that no reasonable body could have so decided;

(c) failed to adopt a fair procedure in reaching its decision;

provided that the Appeal Tribunal shall not allow an appeal unless it is of the opinion that substantial injustice has occurred.

11. The grounds on which the Appeal Tribunal may allow an appeal against a decision of the Administrative Sanctions Panel are where it is satisfied that the Administrative Sanctions Panel:

(a) made an error of law; and/or

(b) took into account irrelevant matters or failed to take into account relevant matters or otherwise reached a decision so unreasonable that no reasonable body could have so decided.

12. Where the Appeal Tribunal allows an appeal on one or more of the grounds set out in [10. or 11. above], then unless it exercises its power under [13. or 14. below], it shall order that the matter be re-determined by the body appealed from (and may order, if appropriate, that it shall be determined by a differently constituted body) and it may –

(a) order that the original decision be stayed;

(b) give such directions for the re-determination of the matter as it thinks fit.

13. Where the Appeal Tribunal allows an appeal in enforcement proceedings on one or more of the grounds set out in [10. above], it may, if it considers appropriate and just in all the circumstances, substitute its own decision for that of the Enforcement Tribunal and shall, issue its own decision as to misconduct, sanction or costs.

14. Where the Appeal Tribunal allows an appeal against an administrative fine on one or more of the grounds set out in [11. above], it may, if it considers it appropriate and just in all the circumstances, substitute its own decision for that of the Administrative Sanctions Panel and shall issue its own decision as to the administrative fine to be imposed.

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Appeals under [1. above] may be brought by a person who 

(a) in respect of an appeal under sub-paragraph [(b)(iv)] of [1. above], has obtained the permission of the Council to do so;

(b) has made an application which has been refused (refusals including for the purposes of this paragraph the refusal to grant a clearance notice or give or vary an agreement);

(c) has had any approval, consent or permission granted to him revoked, suspended or withdrawn;

(d) has had any condition, requirement or direction imposed upon or given to him;

(e) has been removed from a list or register;

(f) has had his removal from a list or register postponed or who has been made the subject of a direction in connection with such postponement;

(g) in the case of a grant of or refusal to grant permission for a minority buy¬out by the managing agent who made the application or by any member of any relevant syndicate;

(h) in the case of the Intermediaries Byelaw (No 3 of 2007) had its approval as an approved coverholder or approved delegated claims administrator revoked;

(i) in the case of paragraph 42A of the Underwriting Byelaw (No. 3 of 2003), is a person who the Council has decided may not act as a director of an underwriting agent, as a director or partner of an approved run-off company, as an active underwriter or as a run-off manager in accordance with paragraph 42A;

(j) in the case of the grant of or refusal to grant consent to effect a syndicate merger, is the managing agent who made the application or is a member of the ceasing syndicate or is a member of the successor syndicate.

Appeals under Membership Byelaw (No. 5 of 2005) or paragraph 42A of the Underwriting Byelaw (No. 3 of 2003) may also be brought by an individual where any of the decisions under those byelaws, have been based, in whole or in part, on an adverse conclusion as to the character of that individual.

Rights of appeal from decisions of the Council

15.

Byelaw

Decision of the Council 
(a)Membership Byelaw (No. 5 of 2005) as to(i)the imposition of a condition or requirement or the giving of a direction other than a condition, requirement or direction which is applicable to all members (under paras. 10 or 40).


(ii)the cessation or revocation of membership of the Society (under para. 47).


(iii)the refusal of an application for any consent, or the grant of any consent subject to a condition or requirement (under paras. 12 and 27).


(iv)the grant of permission to any underwriting member to underwrite insurance business at Lloyd’s subject to any condition, requirement or direction (under para. 21).
(b)Underwriting Byelaw (No. 2 of 2003) as to




(i)the withdrawal of an underwriting agent or approved run-off company’s permission to act as such (under para. 66).


(ii)the withdrawal of a managing agent’spermission to manage a syndicate (under para. 67).


(iii)The decision of the Council that a person is not fit and proper or otherwise suitable to act as a director of an underwriting agent, as a director or partner of an approved run-off company, as an active underwriter or as a
(h)[Deleted] 

(i)Annual Subscribers Byelaw (No. 15 of 2000) as to



(i)the refusal of an application for entry in the register of annual subscribers (under para. 3).


(ii)the removal of the name of an annual subscriber from the register of annual subscribers (under para. 8).
(j)[Deleed]

(k)Major Syndicate Transactions Byelaw (No. 18 of 1997) as to



(i)the grant of or refusal to grant consent to a syndicate merger.


(ii)the imposition on the managing agent of any condition or the requirement of any undertaking in relation to a syndicate merger.


(iii)the grant of or refusal to grant permission for a minority buy-out.


(iv)the imposition of any condition or the requirement of any undertaking in relation to a minority buy-out.
(l)Central Accounting Byelaw (No. 20 of 1998) as to
(i)the exclusion from participation in the Central Accounting System of a participant referred to in paragraph 2(4)(c) to (h) of that byelaw (under para. 19(1)(a), (c) or (e)).
(m)Assignment of Syndicate Participations (Second Nomination) Byelaw (No. 6 of 2000) as to




(i)the decision to grant a waiver or make a variation under paragraph 3(3) of that byelaw, by either or both of the members’ agent or managing agent affected by such waiver or variation.


(ii)the decision to refuse a direction under paragraph (4) of that byelaw, by the managing agent which has applied for the direction;


(iii)the decision to grant a direction under paragraph (4) of that byelaw, by either or both of the person who has made the second nomination to which the direction relates or the person in whose favour the second nomination has been made.


16. Appeals under [1. above] may be brought by a person who 

(a) in respect of an appeal under sub-paragraph [(b)(iv)] of [1. above], has obtained the permission of the Council to do so;

(b) has made an application which has been refused (refusals including for the purposes of this paragraph the refusal to grant a clearance notice or give or vary an agreement);

(c) has had any approval, consent or permission granted to him revoked, suspended or withdrawn;

(d) has had any condition, requirement or direction imposed upon or given to him;

(e) has been removed from a list or register;

(f) has had his removal from a list or register postponed or who has been made the subject of a direction in connection with such postponement;

(g) in the case of a grant of or refusal to grant permission for a minority buy¬out by the managing agent who made the application or by any member of any relevant syndicate;

(h) in the case of the Intermediaries Byelaw (No 3 of 2007) had its approval as an approved coverholder or approved delegated claims administrator revoked;

(i) in the case of paragraph 42A of the Underwriting Byelaw (No. 3 of 2003), is a person who the Council has decided may not act as a director of an underwriting agent, as a director or partner of an approved run-off company, as an active underwriter or as a run-off manager in accordance with paragraph 42A;

(j) in the case of the grant of or refusal to grant consent to effect a syndicate merger, is the managing agent who made the application or is a member of the ceasing syndicate or is a member of the successor syndicate.

17. Appeals under Membership Byelaw (No. 5 of 2005) or paragraph 42A of the Underwriting Byelaw (No. 3 of 2003) may also be brought by an individual where any of the decisions under those byelaws, have been based, in whole or in part, on an adverse conclusion as to the character of that individual.