Regulatory and enforcement policies

Our policies relating to regulation, supervision, compliance and enforcement of employers and pension schemes.

Automatic enrolment compliance and enforcement
How we maximise employer compliance with their automatic enrolment duties, including our enforcement options.
Pensions dashboards compliance and enforcement policy
Our policy for compliance and enforcement of governing body duties under the pensions dashboards regulations.
Scheme management enforcement policy
Our approach to enforcement relating to defined benefit, defined contribution, mixed benefit and public service pension schemes.
Master trust supervision and enforcement policy
Sets out our supervision and enforcement approach for master trusts once we have authorised a scheme.
CDC schemes supervision and enforcement policy
Sets out our supervision and enforcement approach for collective defined contribution (CDC) schemes once we have authorised them.
Monetary penalties policy
How we use our powers to impose monetary penalties under pensions legislation.
High fines policy: avoidance
Our approach to avoidance, dealing with avoidance-type penalties and failure to pay a contribution notice issued under section 38 of the Pensions Act 2004.
High fines policy: information requirements
Our approach to information requirements and dealing with penalties for notifiable events breaches and providing false and misleading information.
Prosecution policy
How we will approach the prosecution of workplace pension criminal offences and other types of related offences.
Criminal offences policy sections 58A and 58B of the Pensions Act 2004
Our approach to the investigation and prosecution of the criminal offences of avoidance of employer debt and conduct risking accrued scheme benefits.
Enforcement procedures
The procedures that our case teams, the Determinations Panel and our staff follow when using our powers.
How we publish information about cases
Our approach to publishing information about regulatory and enforcement decisions under section 89 of the Pensions Act 2004.

Regulatory and enforcement policies

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Regulatory and enforcement policies

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