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Carrying out determinations

A determination may take place when:

  • the regulator has investigated a case and has grounds for believing that a breach may have occurred which is within its power to sanction or prosecute;
  • a problem has arisen in a scheme that the regulator considers can be put right with the use of one of its powers; or
  • an application has been made by trustees, managers, members or employer of a scheme for the regulator to use one of its powers.

The regulator's staff have the discretion to use some of the powers - for example, clearance statements and improvement notices - but a range of major powers can only be exercised by the regulator's Determinations Panel.