Part 1 U.K.The Pensions Regulator

Modifications etc. (not altering text)

C1 Pt. 1 applied in part (with modifications) (20.7.2005 for specified purposes, 1.9.2005 for specified purposes, 5.12.2005 for specified purposes) by The Financial Assistance Scheme Regulations 2005 (S.I. 2005/1986), regs. 1(1), 4, Sch. 1 Pt. 1 (as amended (17.7.2008) by The Financial Assistance Scheme (Miscellaneous Amendments) Regulations 2008 (S.I. 2008/1903), regs. 1, 5(2), 13; (10.7.2009) by The Financial Assistance Scheme (Miscellaneous Provisions) Regulations 2009 (S.I. 2009/1851), regs. 1, 5, 18; (2.4.2010) by The Financial Assistance Scheme (Miscellaneous Amendments) Regulations 2010 (S.I. 2010/1149), regs. 1, 5, 15)

[F1 References to a tribunal] U.K.

Textual Amendments

F1 S. 102 cross-heading substituted (6.4.2010): (E.W.S.) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 77 (with Sch. 5) and (N.I.) by Pensions Regulator Tribunal (Transfer of Functions) Act (Northern Ireland) 2010 (c. 4), s. 5(2), Sch. 1 para. 6 (with Sch. 2); S.R. 2010/101, art. 2

F2 102The Pensions Regulator Tribunal U.K.

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Textual Amendments

F2 S. 102 omitted (E.W.S.) (6.4.2010) by virtue of The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 78 (with Sch. 5) and repealed (N.I.) (6.4.2010) by Pensions Regulator Tribunal (Transfer of Functions) Act (Northern Ireland) 2010 (c. 4), s. 5(2), Sch. 1 para. 7, Sch. 3 (with Sch. 2); S.R. 2010/101, art. 2

[F3 102AOffences E+W+S

(1) This section applies in respect of proceedings before a tribunal in relation to a decision of the Regulator.

(2) A person is guilty of an offence if that person, without reasonable excuse, refuses or fails—

(a) to attend following the issue of a summons by the tribunal; or

(b) to give evidence.

(3) A person guilty of an offence under subsection (2) is liable on summary conviction to a fine not exceeding level 5 on the standard scale.

(4) A person is guilty of an offence if that person, without reasonable excuse—

(a) alters, suppresses, conceals or destroys a document which that person is or is liable to be required to produce for the purposes of proceedings before the tribunal; or

(b) refuses to produce a document when so required.

(5) A person guilty of an offence under subsection (4) is liable—

(a) on summary conviction, to a fine not exceeding the statutory maximum;

(b) on conviction on indictment, to imprisonment for a term not exceeding two years or a fine or both.

(6) In this section “document” includes information recorded in any form and, in relation to information recorded otherwise than in a legible form, references to its production include references to producing a copy of the information in a legible form, or in a form from which it can readily be produced in a legible form.]

Textual Amendments

F3 S. 102A inserted (E.W.S.) (6.4.2010) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 79 (with Sch. 5)

103 References [F4 in relation to decisions of Regulator] E+W+S

F5 (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F5 (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F6 (2A) This section applies to references to a tribunal in relation to a decision of the Regulator.]

(3) On a reference, [F7 the tribunal concerned] may consider any evidence relating to the subject-matter of the reference, whether or not it was available to the Regulator at the material time.

(4) On a reference, [F8 the tribunal concerned] must determine what (if any) is the appropriate action for the Regulator to take in relation to the matter referred to [F9 it] .

(5) On determining a reference, [F10 the tribunal concerned] must remit the matter to the Regulator with such directions (if any) as [F11 it] considers appropriate for giving effect to its determination.

(6) Those directions may include directions to the Regulator—

(a) confirming the Regulator’s determination and any order, notice or direction made, issued or given as a result of it;

(b) to vary or revoke the Regulator’s determination, and any order, notice or direction made, issued or given as a result of it;

(c) to substitute a different determination, order, notice or direction;

(d) to make such savings and transitional provision as the [F12 tribunal concerned] considers appropriate.

(7) The Regulator must act in accordance with the determination of, and any direction given by, the [F13 tribunal concerned] (and accordingly sections 96 to 99 (standard and special procedure) do not apply).

(8) The [F13 tribunal concerned] may, on determining a reference, make recommendations as to the procedure followed by the Regulator or the Determinations Panel.

(9) An order of the [F13 tribunal concerned] may be enforced—

(a) as if it were an order of [F14 the county court], or

(b) in Scotland, as if it were an order of the Court of Session.

Textual Amendments

F4 Words in s. 103 heading substituted (6.4.2010) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 80(a) (with Sch. 5)

F5 S. 103(1)(2) omitted (6.4.2010) by virtue of The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 80(b) (with Sch. 5)

F6 S. 103(2A) inserted (6.4.2010) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 80(c) (with Sch. 5)

F7 Words in s. 103(3) substituted (6.4.2010) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 80(d) (with Sch. 5)

F8 Words in s. 103(4) substituted (6.4.2010) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 80(e)(i) (with Sch. 5)

F9 Word in s. 103(4) substituted (6.4.2010) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 80(e)(ii) (with Sch. 5)

F10 Words in s. 103(5) substituted (6.4.2010) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 80(e)(i) (with Sch. 5)

F11 Word in s. 103(5) substituted (6.4.2010) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 80(e)(ii) (with Sch. 5)

F12 Words in s. 103(6)(d) substituted (6.4.2010) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 80(f) (with Sch. 5)

F13 Words in s. 103(7)-(9) substituted (6.4.2010) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 80(f) (with Sch. 5)

F14 Words in s. 103(9)(a) substituted (22.4.2014) by Crime and Courts Act 2013 (c. 22), s. 61(3), Sch. 9 para. 52; S.I. 2014/954, art. 2(c) (with art. 3) (with transitional provisions and savings in S.I. 2014/956, arts. 3-11)

Commencement Information

I1 S. 103(1)(a)(b)(2)-(9) in force at 6.4.2005 by S.I. 2005/275, art. 2(7), Sch. Pt. 7

F15 104Appeal on a point of law E+W+S

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Textual Amendments

F15 S. 104 omitted (6.4.2010) by virtue of The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 81 (with Sch. 5)

F16 105Redetermination etc by the Tribunal E+W+S

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Textual Amendments

F16 S. 105 omitted (6.4.2010) by virtue of The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 82 (with Sch. 5)

106 Legal assistance scheme E+W+N.I.

(1) The Lord Chancellor may by regulations establish a scheme governing the provision of legal assistance in connection with proceedings before [F17 a tribunal in relation to a decision of the Regulator].

(2) The legal assistance scheme may, in particular, make provision as to—

(a) the kinds of legal assistance that may be provided;

(b) the persons by whom legal assistance may be provided;

(c) the manner in which applications for legal assistance are to be made;

(d) the criteria on which eligibility for legal assistance is to be determined;

(e) the persons or bodies by whom applications are to be determined;

(f) appeals against refusals of applications;

(g) the revocation or variation of decisions;

(h) its administration and the enforcement of its provisions.

(3) Legal assistance under the scheme may be provided subject to conditions or restrictions.

(4) Those conditions may include conditions as to the making of contributions by the person to whom the assistance is provided.

(5) The Lord Chancellor must fund, out of money provided by Parliament, the costs of the scheme including the costs of legal assistance provided under it.

(6) In this Part “the legal assistance scheme” means any scheme in force by virtue of subsection (1).

Textual Amendments

F17 Words in s. 106(1) substituted (6.4.2010): (E.W.S.) by The Transfer of Tribunal Functions Order 2010 (S.I. 2010/22), art. 1(2)(e), Sch. 2 para. 83 (with Sch. 5) and (N.I.) by Pensions Regulator Tribunal (Transfer of Functions) Act (Northern Ireland) 2010 (c. 4), s. 5(2), Sch. 1 para. 8 (with Sch. 2); S.R. 2010/101, art. 2

Commencement Information

I2 S. 106(1)-(4) in force for the purpose only of conferring power to make regulations, orders or rules, as the case may be, 10.2.2005; and for all other purposes at 6.4.2005 in so far as not already in force by S.I. 2005/275, art. 2(3), Sch. Pt. 3

I3 S. 106(5)(6) in force in so far as not already in force (6.4.2005) by S.I. 2005/275, art. 2(7), Sch. Pt. 7