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Chair statement penalty notice TPR actions

FOI reference - FOI-3547

Date - 15 January 2019

Request

1. Please confirm whether The Pensions Regulator (TPR) has on any occasion applied the internal criteria referred to in your previous Freedom of Information response of 26 October 2018 in respect of a chair's statement before, rather than after, the relevant penalty notice was:

a. imposed;
b. issued and/or
c. sent to the affected trustee.

2. Please confirm whether TPR has on any occasion purported to conduct a review pursuant to Regulation 31 of the Charges Regulations in respect of a chair's statement before, rather than after, the relevant penalty notice was:

a. imposed;
b. issued and/or
c. sent to the affected trustee.

3. Please confirm whether TPR has on any occasion decided to revoke a penalty notice issued under Regulation 28 of the Charges Regulations in respect of a chair's statement before, rather than after, the penalty notice was:

a. imposed;
b. issued and/or
c. sent to the affected trustee.

Response

I can confirm that we hold information falling within scope of your request.

Information we are able to supply

Q1. Yes, in the sense that (a) in a number of cases, TPR issued and reviewed, but revoked and did not send, penalty notices; and (b) the decision whether to revoke those penalty notices included a consideration of the criteria, along with a review of the facts of the case, which pre-dated the issued and/or final draft of the penalty notice and the revocation letter.

Q2. See response to Q1 above.

Q3. See response to Q1 above.