Part 1

Pension scheme membership for jobholders
Chapter 2

Compliance

Compliance notices and unpaid contributions notices

Compliance notices
35
1
The Regulator may issue a compliance notice to a person if the Regulator is of the opinion that the person has contravened one or more of the employer duty provisions.
2
A compliance notice is a notice directing the person to whom it is issued to take, or refrain from taking, the steps specified in the notice in order to remedy the contravention.
3
A compliance notice may, in particular—
a
state the period within which any step must be taken or must cease to be taken;
b
require the person to whom it is issued to provide within a specified period specified information relating to the contravention;
c
require the person to inform the Regulator, within a specified period, how the person has complied or is complying with the notice;
d
state that, if the person fails to comply with the requirements of the notice, the Regulator may issue a fixed penalty notice under section 40.
4
The steps specified in the notice may, in particular, include such steps as the Regulator thinks appropriate for placing the worker in the same position (as nearly as possible) as if the contravention had not occurred.
5
If the compliance notice is issued in respect of a failure to comply with an enrolment duty and the specified steps relate to membership of a defined benefits scheme or a hybrid scheme, the notice may, in particular, require the employer to ensure that the worker is entitled to the same benefits under the scheme as if the employer had complied with that duty.
Pt. 1 applied (with modifications) (temp. 1.7.2012 to 30.6.2020) by The Automatic Enrolment (Offshore Employment) Order 2012 (S.I. 2012/1388), art. 2 (with saving in art. 5)