(3) Where a tenant, permanent tenant or hotel occupant is not furnished, as required by the above provision, with a copy of the lease rider pursuant to paragraph (1), the notice pursuant to paragraph (2), or the documentation required on demand by paragraph (1)(ii) of this subdivision, the owner shall not be entitled to collect any adjustments in excess of the rent set forth in the prior lease unless the owner can establish that the rent collected was otherwise legal. In addition to issuing an order with respect to applicable overcharges, DHCR shall order the owner to furnish the missing rider, notice, or documentation. The furnishing of the rider, notice, or documentation by the owner to the tenant or hotel occupant shall result in the elimination, prospectively, of such penalty. With respect to housing accommodations in hotels, noncompliance by the owner shall not prevent the hotel occupant from becoming a permanent tenant.
(d) Limitations.
No provision may be made in any vacancy or renewal lease for adjustment of the legal regulated rent reserved in the lease except as follows:
(1) if the applicable rent guidelines rate has not been fixed by the execution date of the vacancy lease or the renewal offer, the lease may make provision for the rent increase, if any, pursuant to the said rate when filed, to become effective as of the commencement date of the lease term, unless the rent guidelines board shall have fixed a later effective date for the said rate, in which event the adjustment may only be effective as of the later date;
(2) where such lease provides that the rental reserved therein may be increased pursuant to an order issued by the DHCR; or