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TPR's use of section 72 powers

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
May 2012
June 2012  
July 2012  
August 2012  
September 2012  
October 2012
November 2012  
December 2012  
January 2013  
February 2013  
March 2013  

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

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

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

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

Financial Year 2017-18
Month / Year   Individual   Company   Not broken down by company / individual
April 2017  
May 2017  
June 2017   14 

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  
Master trusts  
Scheme return breach  

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

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

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

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   
Governance   
DB scheme funding
Master trusts
Scheme return breach
Applications 
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  
Avoidance
Governance    
DB scheme funding  
Master trusts  
Scheme return breach  
Applications  

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

June 2017-18
Case type   Total instances
Suspected scams 
Avoidance   
Governance
DB scheme funding
Master trusts     
Scheme return breach
Charge control