Skip to main content

FOI reference - FOI 2017-10-05(a)
Date - 05/10/2017

Request

Please find below a Freedom of Information request relating to The Pensions Regulator’s (TPR) use of its section 72 powers for information gathering:

1) Please provide a month-by-month breakdown for each financial year from 2012-13 to end of June 2017 of the number of times TPR has used its section 72 powers to require:

a) a company to provide information

b) an individual to provide information

2) Please provide a breakdown of the type of investigation, or other reason named, for using the section 72 power to request information:

a) annually, for each financial year from 2012-13 to 2016-17

b) monthly, for the months in 2017-18 up to the end of June

Should you not have the exact section 72 data requested above, please could you provide me with any other data you have on the issuance of section 72 notices to trustees over recent time periods?

Response

I can confirm that we hold the information you have requested. However, we are unable to supply some of the information requested for the reasons set out below.

Information we are not able to supply

It has not been possible to supply accurate information prior to 2015-16 for “the number of times TPR has used its section 72 powers to require an individual or company to provide information.” This is because when recording the use of this power, we did not break it down in terms of use against companies or individuals prior to 2015-16. The details being supplied are a complete record of the information we do currently hold. Please note that some of the instances when the power is used may be part of the same case.

Information we are able to supply

Please find the following information as requested by you.

1 a/b) The monthly breakdown for each financial year for the number of times TPR has used section 72 powers, for companies / individuals to provide information from 2012-13 to the end of June 2017 is as follows:

Financial Year 2012-13
Month / Year Individual Company Not broken down by company / individual
April 2012 0 0 2
May 2012 0 0 9
June 2012 0 0 9
July 2012 0 0 7
August 2012 0 0 3
September 2012 0 0 1
October 2012 0 0 5
November 2012 0 0 3
December 2012 0 0 8
January 2013 0 0 7
February 2013 0 0 4
March 2013 0 0 5

 

Financial Year 2013-14
Month / Year Individual Company Not broken down by company / individual
April 2013 0 0 1
May 2013 0 0 10
June 2013 0 0 16
July 2013 0 0 18
August 2013 0 0 19
September 2013 0 0 6
October 2013 0 0 16
November 2013 0 0 19
December 2013 0 0 11
January 2014 0 0 35
February 2014 0 0 10
March 2014 0 0 8

 

Financial Year 2014-15
Month / Year Individual Company Not broken down by company / individual
April 2014 0 0 5
May 2014 0 0 4
June 2014 0 0 1
July 2014 0 0 0
August 2014 0 0 0
September 2014 0 0 12
October 2014 0 0 4
November 2014 0 1 2
December 2014 0 3 0
January 2015 0 1 0
February 2015 0 9 0
March 2015 1 20 2

 

Financial Year 2015-16
Month / Year Individual Company Not broken down by company / individual
April 2015 2 19 3
May 2015 1 17 1
June 2015 0 12 2
July 2015 0 14 0
August 2015 5 4 0
September 2015 3 3 0
October 2015 3 12 1
November 2015 0 3 1
December 2015 0 5 0
January 2016 0 6 0
February 2016 0 3 0
March 2016 1 8 1

 

Financial Year 2016-17
Month / Year Individual Company Not broken down by company / individual
April 2016 4 25 0
May 2016 12 22 0
June 2016 2 20 0
July 2016 3 11 0
August 2016 5 4 0
September 2016 10 5 0
October 2016 1 4 0
November 2016 1 2 0
December 2016 1 7 0
January 2017 0 7 0
February 2017 8 7 0
March 2017 1 2 0

 

Financial Year 2017-18
Month / Year Individual Company Not broken down by company / individual
April 2017 2 8 0
May 2017 0 7 0
June 2017 3 14 0

2 a) The yearly breakdown for each type of investigation or other reason that a section 72 would be required to request information for the period 2012-13 to 2016-17 is as follows:

Cases investigated in Financial Year 2012-13
Case type Total instances
Suspected scams 23
Avoidance 28
Governance 12
DB scheme funding 0
Master trusts 0
Scheme return breach 0

 

Cases investigated in Financial Year 2013-14
Case type Total instances
Suspected scams 87
Avoidance 56
Governance 8
DB scheme funding 18
Master trusts 0
Scheme return breach 0

 

Cases investigated in Financial Year 2014-15
Case type Total instances
Suspected scams 39
Avoidance 22
Governance 3
DB scheme funding 1
Master trusts 0
Scheme return breach 0

 

Cases investigated in Financial Year 2015-16
Case type Total instances
Suspected scams 82
Avoidance 41
Governance 2
DB scheme funding 5
Master trusts 0
Scheme return breach 0

 

Cases investigated in Financial Year 2016-17
Case type Total instances
Suspected scams 34
Avoidance 121
Governance 7
DB scheme funding 1
Master trusts 1
Scheme return breach 0

Cases investigated in Financial Year 2017-18
Case type Total instances
Suspected scams 16
Avoidance 7
Governance 1
DB scheme funding 3
Master trusts 3
Scheme return breach 2
Applications 1
Charge control 1

b) The monthly breakdown for each type of investigation or other reason that a section 72 would be required to request information for the period 2016-17 up to the end of June is as follows:

April 2017-18
Case type Total instances
Suspected scams 3
Avoidance 1
Governance 1
DB scheme funding 3
Master trusts 1
Scheme return breach 0
Applications 1

May 2017-18
Case type Total instances
Suspected scams 5
Avoidance 2
Governance 0
DB scheme funding 0
Master trusts 0
Scheme return breach 0

June 2017-18
Case type Total instances
Suspected scams 8
Avoidance 4
Governance 0
DB scheme funding 0
Master trusts 2
Scheme return breach 2
Charge control 1
home.freedom_of_information_(foi).recently_released_information.tprs_use_of_section_72_powers.page