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Top reasons for TPR issuing fines

FOI reference - FOI-4332
Date - 19 December 2019

Request

Please can you let me know the top 5 categories (for each) under which fixed penalty notices (FPNs) and escalating penalty notices (EPNs) are levied by The Pensions Regulator over the last 2 years.

Response

I can confirm that we hold the information you have requested. 

Information we are able to supply

The top 5 categories under which we have issued penalties over the last 2 years (1 November 2017 to 31 October 2019) are the same for both FPNs and EPNs:

  1. Failure to declare automatic enrolment compliance with TPR
  2. Failure to maintain timely pension scheme contributions
  3. Complete failure to carry out automatic enrolment
  4. Failure to carry out a particular component of automatic enrolment (other than declaring compliance)
  5. Failure to respond to a request for information under Section 72 of the Pensions Act 2008