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Part XN.I. Investigations: the Pensions Ombudsman

Modifications etc. (not altering text)

145 Procedure on an investigation.N.I.

F1(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F2(1A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F3(1B). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2)The Department may make rules with respect to the procedure which is to be adopted in connection with the making of complaints, the reference of disputes, and the investigation of complaints made and disputes referred, under this Part.

(3)The rules may include provision—

(a)requiring any oral hearing held in connection with such an investigation to take place in public, except in such cases as may be specified in the rules; F4. . .

(b)as to the persons entitled to appear and be heard on behalf of parties to an investigation, as defined in section 144(4)

F5(ba). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F6(c)for the payment by the Pensions Ombudsman of such travelling and other allowances (including compensation for loss of remunerative time) as the Department may determine, to—

(i)actual or potential beneficiaries of a scheme to which a complaint or reference relates, or

(ii)persons appearing and being heard on behalf of such actual or potential beneficiaries, who attend at the request of the Pensions Ombudsman any oral hearing held in connection with an investigation into the complaint or dispute][F7and

F8(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

(4)Subject to any provision made by the rules, the procedure for conducting such an investigation shall be such as the Pensions Ombudsman considers appropriate in the circumstances of the case; and he may in particular obtain information from such persons and in such manner, and make such inquiries, as he thinks fit.

[F9(5)The Pensions Ombudsman may disclose any information which he obtains for the purposes of an investigation under this Part to any person to whom subsection (6) applies, if the Ombudsman considers that the disclosure would enable or assist that person to discharge any of his functions.

(6)This subsection applies to the following—

(a)the Regulatory Authority,

[F10(b)the Board of the Pension Protection Fund,

(ba)the Ombudsman for the Board of the Pension Protection Fund,]

F11(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)any Northern Ireland department or department of the Government of the United Kingdom,

[F12(e)the Financial Conduct Authority,

(ea)the Prudential Regulation Authority,

(eb)the Bank of England (acting otherwise than in its capacity as the Prudential Regulation Authority),]

F13(f). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F13(g). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F14(h). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F15(i)a person appointed under—

(i)Part 14 of the Companies Act 1985,

(ii)section 167 of the Financial Services and Markets Act 2000,

(iii)subsection (3) or (5) of section 168 of that Act, or

(iv)section 284 of that Act,

to conduct an investigation;

(j)a body designated under section 326(1) of the Financial Services and Markets Act 2000; and

(k)a recognised investment exchange [F16, recognised clearing houseF17... [F18, third country central counterparty, recognised CSD F19... or third country CSD]] (as defined by section 285 of that Act).]

(m)[F20a person who, in a member State F21..., has functions corresponding to functions of the Pensions Ombudsman.]

[F22(n)a body corporate established in accordance with paragraph 2(1) of Schedule 17 to the Financial Services and Markets Act 2000 (the scheme operator of the ombudsman scheme),

(o)an ombudsman as defined in paragraph 1 of that Schedule (interpretation).]

(7)The Department may by order—

(a)amend subsection (6) by adding any person or removing any person for the time being specified in that subsection, or

(b)restrict the circumstances in which, or impose conditions subject to which, disclosure may be made to any person for the time being specified in that subsection.]

F23(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F4Word in s. 145(3)(a) omitted (23.7.1996 for certain purposes otherwise 6.4.1997) and repealed (6.4.1997) by S.I. 1995/3213 (NI 22), arts. 1(2), 154(b), 168, Sch. 5 Pt. IV: S.R. 1996/307, art. 2(b), Sch. Pt. II; S.R. 1997/192, art. 2(b)

F6S. 145(3)(c) and the preceding word “and” inserted (23.7.1996 for certain purposes only otherwise 6.4.1997) by S.I. 1995/3213 (NI 22), art. 154(a); S.R. 1996/307, art. 2(b), Sch. Pt. II; S.R. 1997/192, art. 2(b)

F7S. 145(3)(d) and preceding word added (1.3.2002 for the purpose only of authorising the making of rules) by 2000 c. 4 (N.I.), ss. 50(5), 68(2) (with ss. 50(9), 66(6)); S.R. 2002/68, art. 2(2)

F9S. 145(5)-(7) added (6.4.1997) by S.I. 1995/3213 (NI 22), art. 155(1); S.R. 1997/192, art. 2(b)

F13S. 145(6)(f)(g) repealed (1.12.2001) by S.I. 2001/3649, arts. 1, 135(a)

F15S. 145(6)(i)-(k) substituted (1.12.2001) for s. 145(6)(i)-(l) by S.I. 2001/3649, arts. 1, 135(b)

Modifications etc. (not altering text)