Complaints and investigations

This page explains how Ofcom handles complaints and investigations in the UK telecoms sector, including its powers under the Communications Act 2003 and its concurrent jurisdiction under the Competition Act 1998. It also describes Ofcom’s enforcement approach and how Bratby Law supports providers through every stage of complaints and investigations.

Legal basis for Complaints and investigations

Ofcom’s complaints and investigations and enforcement responsibilities arise primarily under the Communications Act 2003 and the General Conditions of Entitlement. The regulator also exercises competition powers in parallel with the Competition and Markets Authority under the Competition Act 1998. These statutory regimes give Ofcom extensive authority to gather information, examine conduct and impose penalties where appropriate.

Communications Act investigation powers

Key statutory powers include:

• sections 94 to 104 and Schedule 8 of the Communications Act, governing investigations, directions and penalties
• General Conditions of Entitlement, setting obligations for providers of public networks and services
• specific regulatory conditions, including SMP conditions, numbering conditions and security requirements
• information gathering powers under sections 135 to 138
• formal directions and penalties to secure compliance

Competition Act powers

Ofcom holds concurrent jurisdiction with the Competition and Markets Authority under:

• the Competition Act 1998
• the Enterprise Act 2002

This permits Ofcom to investigate:

• suspected anti-competitive agreements under the Chapter I prohibition
• potential abuse of dominance under the Chapter II prohibition
• market features harmful to competition through market studies or market investigation references

Ofcom decides whether to use competition powers or sector-specific powers based on which is most effective and proportionate. Coordination with the CMA is common where conduct crosses sector boundaries.

Enforcement principles following complaints and investigations

Ofcom’s enforcement guidelines describe the regulator’s overarching principles, including proportionality, transparency, accountability and consistency. While enforcement is discretionary, Ofcom prioritises cases capable of delivering the greatest benefits for consumers and competition.

How complaints reach Ofcom

Ofcom receives complaints and intelligence from multiple channels, including:

• consumers and business users
• communications providers
• public bodies and other regulators
• Ofcom’s own monitoring and market data
• whistleblowers or self-reported breaches

Not every complaint leads to an investigation. Ofcom first assesses jurisdiction, relevance, likely consumer impact and strategic importance.

Information gathering in complaints and investigations

Information requests

Before opening an investigation, Ofcom may issue information requests under sections 135 and 136 of the Act. These notices require the recipient to produce specified data, explanations or documents.

Failure to respond accurately or within the deadline can itself constitute a contravention.

Interviews and inspections

Ofcom may also:

• interview employees or officers
• request technical demonstrations
• inspect business premises
• obtain additional information through voluntary engagement

Bratby Law assists clients in preparing responses, managing privilege, ensuring consistent submissions and reducing risk across parallel inquiries.

How Ofcom prioritises complaints and investigations

Ofcom considers three main criteria:

• impact, including the scale and seriousness of potential harm
• strategic significance, including alignment with Ofcom’s objectives
• resource efficiency, including likelihood of securing meaningful outcomes

Cases involving systemic breaches of the General Conditions, consumer harm or market integrity are usually prioritised.

Investigation stages

Opening stage

Ofcom opens a case by publishing a notice identifying the suspected contravention, relevant statutory provisions and the scope of the investigation. Providers are invited to provide initial representations.

Information gathering

Ofcom gathers evidence through formal notices, interviews and requests for explanations. Providers must cooperate fully.

Evidence assessment and provisional findings

If Ofcom considers there may have been a breach, it issues a provisional decision or notice of intent. This sets out:

• the provisional findings
• the evidence relied upon
• the legal basis for the alleged contravention
• proposed directions or financial penalties

Representations

The provider may submit written and oral representations. Ofcom must consider these before reaching a final decision.

Final decision

Ofcom then issues a final decision notice. This confirms:

• whether a contravention has been established
• any directions to secure compliance
• any financial penalties

Publication and appeal

Decisions are published on Ofcom’s website unless confidentiality or market sensitivity requires redaction. Providers may appeal decisions to the Competition Appeal Tribunal. Appeals may concern both the finding and the penalty.

Enforcement of complaints and investigations

Directions

Where Ofcom identifies a contravention, it may issue directions requiring providers to take or refrain from specific actions to secure compliance.

Financial penalties

Under section 96 of the Communications Act, Ofcom may impose penalties of up to 10 per cent of relevant turnover. Penalties are assessed by reference to:

• seriousness of the breach
• duration and extent of harm
• compliance history
• cooperation with the investigation
• remedial actions undertaken

Serious or repeated contraventions

In exceptional circumstances, Ofcom may:

• suspend a provider’s entitlement to operate
• restrict activities or require structural changes
• require redress to affected customers

Competition Act penalties

Where Ofcom uses its competition powers:

• fines may reach up to 10 per cent of global turnover
• leniency applications may reduce penalties
• interim measures may be imposed during investigations

These penalties operate alongside, and sometimes in addition to, sector-specific sanctions.

Common telecoms enforcement areas

Ofcom frequently investigates:

• breaches of consumer protection rules under Part C of the General Conditions
• failures relating to network integrity and emergency services access
• porting, switching and number management breaches
• non-compliance with specific SMP conditions
• failure to provide accurate information under statutory notices
• misuse of numbering or CLI
• unfair contract terms or misleading sales practices

Proactive compliance

Providers can reduce enforcement risk through effective governance and internal controls, including:

• contract templates aligned with General Conditions
• transparent sales, switching and billing processes
• accurate tariff and customer information practices
• processes for handling Ofcom information requests
• internal monitoring and reporting frameworks
• periodic compliance reviews or mock investigations

Bratby Law assists with proactive audits and training to identify and address risks early.

Acting as project counsel for complaints and investigations

In a significant investigation, coordinated project management is essential. Bratby Law acts as project counsel, managing the legal and operational response. This includes:

• coordinating internal teams and external advisers
• engaging with Ofcom and other authorities
• preparing responses, submissions and representations
• overseeing remedial actions
• managing settlement discussions or early resolution

This structured approach supports consistent messaging, reduces duplication and mitigates reputational risk.

Acting as co-counsel for complaints and investigations

We frequently work alongside major law firms on complex contentious or transactional mandates, providing specialist regulatory insight for:

• Ofcom enforcement issues within wider disputes
• due diligence on active investigations or regulatory risks
• regulatory strategy in M&A and financing transactions

Why clients choose Bratby Law for complaints and investigations

• extensive experience in UK telecoms regulation and enforcement
• insight into Ofcom’s legal, economic and operational approach
• ability to manage complex information requests and investigations
• clear and commercially relevant advice at every stage
• discreet, strategic handling of sensitive regulatory matters

Independent directory rankings

Our specialist expertise is recognised in major independent legal directories:

• Chambers & Partners: Rob Bratby is ranked in the UK Guide 2026 in the “Telecommunications” category: Chambers
• The Legal 500: Rob Bratby is listed as a “Leading Partner – Telecoms” in London (TMT – IT & Telecoms): The Legal 500
• Lexology: Rob Bratby is featured on Lexology’s expert profiles (Global Elite Thought Leader): Lexology

What clients say

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