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Regulator sets out approach to publishing information about cases

Ref: PN15-03
Thursday 15 January 2015

The Pensions Regulator has released a guide setting out its approach to publishing information on its regulatory and enforcement decisions using its powers under Section 89 of the Pensions Act 2004.

You can find the essential guide to how we publish information about cases in section 89 reports.

The regulator has published an increasing number of case reports in recent years in order to improve understanding of its decisions and actions. Decisions of the regulator’s Determinations Panel (known as ‘determinations’) are also published under Section 89.

Interim chief executive Stephen Soper said:

“We feel it is important that our key casework decisions are clearly understood, particularly those which have wider implications for the industry. Publication of information on regulatory and enforcement cases is an important regulatory tool for increasing transparency and encouraging higher standards and good practice within the pensions sector.”

The guide explains that when considering publishing reports on certain cases the regulator will take into account one or more of the following aims, together with the public interest:

  • transparency
  • education and guidance
  • deterrence

It also explains that, where one or more of these aims are met, the regulator will also take into account factors which may weigh against publication in whole or in part - for example, any adverse impact on market behaviours, or prejudice to our investigations or investigations by other bodies.

Information published will include ‘restricted information’ under Section 82 of the Pensions Act 2004, which is normally subject to restrictions on its further use and disclosure.

Editor's notes

The Pensions Regulator is the regulator of work-based pension schemes in the UK. Our statutory objectives are: to protect members’ benefits; to reduce the risk of calls on the Pension Protection Fund (PPF); to promote, and to improve understanding of, the good administration of work-based pension schemes; to maximise employer compliance with automatic enrolment duties; and to minimise any adverse impact on the sustainable growth of an employer (in relation to the exercise of the regulator’s functions under Part 3 of the Pensions Act 2004 only).

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