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Penalty notices

Section 89 of the Pensions Act 2004 gives us the power to publish information on cases where we have exercised or considered exercising our powers.

Our ability to publish information – including details of our enforcement cases – plays an important part in enabling our commitment to transparency, and increases awareness and understanding of our decisions and actions.

The following tables name employers who have received an Escalating Penalty Notice (EPN) for breaches relating to automatic enrolment under the Pensions Act 2008. We will publish the names of those who have paid their EPN and remain non-compliant, as well as those who have failed to pay their EPN and as a result have been made subject to a court order.

We also publish information about failures to complete a scheme return or prepare a compliant chair’s statement. Trustees have a legal obligation to give us information about their pension scheme by completing a scheme return when required, and can be fined under section 10 of the Pensions Act 1995. The Occupational Pension Schemes (Charges and Governance) Regulations 2015 also require us to issue a mandatory penalty where there has been a failure to prepare a chair’s statement. The list includes the name of the scheme, type of breach, and the fine amount, and names any professional trustee related to that scheme.

We will publish this information on a quarterly basis. Penalties are listed when they become payable but may relate to an historical breach.

Employer non-compliant, subject to further action (EPN paid)

1 July to 30 September 2020

Employer name City / town Amount paid 
Bancroft Cruisers Limited Worcester £5,000 
Fosters for Flowers Stockport £5,000 
G & M Cars (Rothwell) Leeds £5,000 
Glasgow Performers College Ltd Glasgow  £5,000 

Please note that the values shown as paid are the values for the Escalating Penalty Notice only and may not be the value of the payment made. The payment value will include the Fixed Penalty Notice value if that remained unpaid as well as the associated court fees.

Unpaid EPNs subject to a Court Order

1 July to 30 September 2020

Employer name City / town Amount paid
Artisan Roofing Limited Edinburgh £5,000
Custombuilt Joinery Limited Glasgow £5,000
GMB Removals & Storage Limited Glasgow £5,000
Manini Belardo Limited Glasgow £2,000
McLeans Funeral Services Limited Glasgow £1,400
New Town Cellars Limited Edinburgh £5,000
PSI Home Improvements Limited Glasgow £5,000
The Brew Store Limited Edinburgh £5,000
WCS Scotland Limited Aberdeen £5,000

Chair's statement fines – failing to produce

Total fine value 1 July to 30 September 2020
£5,521.40

Chair's statement fines – not compliant

Total fine value 1 July to 30 September 2020
£2,000

Scheme return fine – failing to submit to us on time

1 July to 30 September 2020

No scheme return fines were issued during this period.