The Employers’ Duties (Registration and Compliance) Regulations 2010

Records: Trustees, managers and providers

7.—(1) A person falling within paragraph (2)(b) or (c) of regulation 5 must keep the following records—

(a) the employer pension scheme reference;

(b) (i) the date on which every jobholder became an active member of a pension scheme, by virtue of arrangements made under section 3 of the Act, and

(ii) the date with effect from which every worker became an active member of a pension scheme that satisfies the requirements of section 9 of the Act, by virtue of arrangements made under that section;

(c) where–

(i) a jobholder gives an opt out notice to an employer, and

(ii) any regulations under section 8(5)(e) of the Act require that employer to inform a pension scheme that such a notice has been received by it,

the name of the jobholder mentioned in the opt out notice and the date on which that scheme was informed by virtue of that requirement; and

(d) where a jobholder had been an active member of a qualifying scheme, the date on which the jobholder ceased active membership of that scheme.

(2) A person falling within paragraph (2)(b) or (c) of regulation 5 must also keep the following records in relation to all persons who are members of a qualifying scheme—

(a) their full name, date of birth, gender and national insurance number (as received by the trustee or manager of an occupational pension scheme or provider of a personal pension scheme);

(b) (i) their postal residential address, and

(ii) where that address is in the United Kingdom, the postcode,

last known by or notified to that scheme or employer; and

(c) whether–

(i) a member is an active member of a scheme, or

(ii) a member is no longer an active member of a scheme.