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Regulatory and enforcement strategies and policies

Our strategies and policies relating to regulation, supervision, compliance and enforcement.

Automatic enrolment compliance and enforcement

If employers fail to comply, we have various powers available to us, such as issuing a compliance or penalty notice. Employers can ask for a review of these notices.

For more information go to appealing an enforcement notice.

Defined benefit schemes

Defined contribution schemes

Master trust schemes

Public service pension schemes

Prosecution and penalties

Criminal offences policy: sections 58A and 58B of the Pensions Act 2004
Our approach to the investigation and prosecution of the criminal offences in sections 58A and 58B of the Pensions Act 2004.

Settlement policy
Our approach for negotiation and concluding settlements of our regulatory or civil enforcement action.

Monetary penalties policy
How we use our powers to impose monetary penalties.

High fines policy (avoidance)
Our approach to avoidance, dealing with avoidance-type penalties and failure to pay a contribution notice issued under section 38 of the Pensions Act 2004.

High fines policy (information requirements)
Our approach to information requirements, dealing with penalties for breaches of the notifiable events regime and penalties for providing us or a trustee with false and misleading information.