PART 1PENSION SCHEME MEMBERSHIP FOR JOBHOLDERS
CHAPTER 2COMPLIANCE
Compliance notices and unpaid contributions notices
Third party compliance notices36
(1)
The Regulator may issue a third party compliance notice if it is of the opinion that—
(a)
a person has contravened one or more of the employer duty provisions,
(b)
the contravention is or was, wholly or partly, a result of a failure of another person (the “third party”) to do any thing, and
(c)
that failure is not itself a contravention of any of the employer duty provisions.
(2)
A third party compliance notice is a notice directing the third party to take, or refrain from taking, the steps specified in the notice in order to remedy or prevent a recurrence of the failure.
(3)
A third party notice may, in particular—
(a)
state the period within which any step must be taken or must cease to be taken;
(b)
require the third party to inform the Regulator, within a specified period, how the third party has complied or is complying with the notice;
(c)
state that, if the third party fails to comply with the requirements of the notice, the Regulator may issue a fixed penalty notice under section 40.
(4)
A third party notice may give the third party a choice between different ways of remedying or preventing the recurrence of the third party's failure.