Pension Schemes Act 1993

149 Procedure on an investigation.E+W+S

(1)Where the Pensions Ombudsman proposes to conduct an investigation into a complaint made or dispute referred under this Part, he shall give—

(a)[F1any person (other than the person by whom, or on whose behalf, the complaint or reference was made) responsible for the management of the scheme to which the complaint or reference relates], and

(b)any other person against whom allegations are made in the complaint or reference,

an opportunity to comment on any allegations contained in the complaint or reference.

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

F3(1A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F4(1B). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2)The Secretary of State 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; F5...

(b)as to the persons entitled to appear and be heard on behalf of parties to an investigation, as defined in section 148(5); [F6[F7and]

F8(ba). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)for the payment by the Ombudsman of such travelling and other allowances (including compensation for loss of remunerative time) as the Secretary of State 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 Ombudsman any oral hearing held in connection with an investigation into the complaint or dispute.]F9...

F9(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.

[F10(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,

[F11(b)the Board of the Pension Protection Fund,

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

F12(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)any department of the Government (including the government of Northern Ireland),

[F13(e)the Financial Conduct Authority,

(ea)the Prudential Regulation Authority,

(eb)the Bank of England [F14(acting otherwise than in its capacity as the Prudential Regulation Authority)],]

F15(f). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F15(g). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F16(h)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;]

F17(j). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F18(k)a body designated under section 326(1) of the Financial Services and Markets Act 2000; F19...

(l)a recognised investment exchange [F20, recognised clearing house, EEA central counterparty] [F21, third country central counterparty, recognised CSD, EEA CSD or third country CSD] (as defined by section 285 of that Act).]

[F22(n)a person who, in a member State other than the United Kingdom, has functions corresponding to functions of the Pensions Ombudsman.]

[F23(o)[F24the body corporate mentioned in paragraph 2] of Schedule 17 to the Financial Services and Markets Act 2000 (the scheme operator of the ombudsman scheme);

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

(7)The Secretary of State 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.]

F25(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F1Words in s. 149(1)(a) substituted (6.4.1997) by Pensions Act 1995 (c. 26), ss. 157(7), 180(1); S.I. 1997/664, art. 2(3), Sch. Pt. 2

F2S. 149(1) repealed (6.4.2005) by Pensions Act 2004 (c. 35), ss. 276(2)(b), 322(1), Sch. 13 Note; S.I. 2005/275, art. 2(7), Sch. Pt. 7

F3S. 149(1A) repealed (6.4.2005) by Pensions Act 2004 (c. 35), ss. 276(2)(b), 322(1), Sch. 13 Note; S.I. 2005/275, art. 2(7), Sch. Pt. 7

F4S. 149(1B) repealed (6.4.2005) by Pensions Act 2004 (c. 35), ss. 276(2)(b), 322(1), Sch. 13 Note; S.I. 2005/275, art. 2(7), Sch. Pt. 7

F5Word in s. 149(3)(a) repealed (1.6.1996 for specified purposes, 16.10.1996 for specified purposes, 6.4.1997 in so far as not already in force) by Pensions Act 1995 (c. 26), ss. 158(b), 180(1), Sch. 7 Pt. IV; S.I. 1996/1412, art. 2(2), Sch. Pt. 2; S.I. 1996/2637, art. 4; S.I. 1997/664, art. 2(3), Sch. Pt. 2

F6S. 149(3)(c) and word inserted (1.6.1996 for specified purposes, 16.10.1996 for specified purposes, 6.4.1997 in so far as not already in force) by Pensions Act 1995 (c. 26), ss. 158(a), 180(1); S.I. 1996/1412, art. 2(2), Sch. Pt. 2; S.I. 1996/2637, art. 4; S.I. 1997/664, art. 2(3), Sch. Pt. 2

F7S. 149(3)(ba) substituted for word (1.3.2002 for specified purposes) by Child Support, Pensions and Social Security Act 2000 (c. 19), ss. 54(4), 86(1)(b)(2) (with ss. 54(9), 83(6)); S.I. 2002/437, art. 3(1)(g)

F8S. 149(3)(ba) repealed (6.4.2005) by Pensions Act 2004 (c. 35), ss. 276(2)(c), 322(1), Sch. 13 Note; S.I. 2005/275, art. 2(7), Sch. Pt. 7

F9S. 149(3)(d) and word repealed (6.4.2005) by Pensions Act 2004 (c. 35), ss. 276(2)(d), 322(1), Sch. 13 Note; S.I. 2005/275, art. 2(7), Sch. Pt. 7

F10S. 149(5)-(7) added (6.4.1997) by Pensions Act 1995 (c. 26), ss. 159(1), 180(1); S.I. 1997/664, art. 2(3), Sch. Pt. 2

F11S. 149(6)(b)(ba) substituted for s. 149(6)(b) (6.4.2005) by Pensions Act 2004 (c. 35), s. 322(1), Sch. 12 para. 25(a); S.I. 2005/275, art. 2(7), Sch. Pt. 7 (with art. 3(1))