Our strategies and policies relating to regulation, supervision, compliance and enforcement.
Automatic enrolment compliance and enforcement
Automatic enrolment compliance and enforcement strategy
PDF
153KB
, 27 pages
Provides a framework for our regulatory approach, and explains the various options available to us to maximise employer compliance.
Compliance and enforcement policy
PDF
725KB
, 62 pages
Explains our approach to minimising non-compliance with the duties and safeguards, and associated legislation.
If employers fail to comply, we have various powers available to us, such as issuing a compliance or penalty notice. Employers can ask for a review of these notices.
For more information go to appealing an enforcement notice.
Defined benefit schemes
Defined benefit regulatory strategy
PDF
170KB
, 13 pages
Sets our our approach to regulating trust-based defined benefit (DB) occupational pension schemes
Defined benefit funding regulatory and enforcement policy
PDF
428KB
, 34 pages
Our approach to regulating the statutory funding requirements as set out by, and under, Part 3 of the Pensions Act 2004 for trust-based DB occupational pension schemes.
Defined contribution schemes
DC compliance and enforcement policy
PDF
140KB
, 20 pages
In relation to occupational defined contribution trust-based pension schemes.
FCA and TPR joint strategy
FCA and TPR: joint regulatory strategy
PDF
860KB
, 25 pages
Our joint regulatory strategy for the pensions and retirement income sector.
Master trust schemes
Master trust schemes supervision and enforcement policy
PDF
225KB
, 23 pages
Sets out our supervision and enforcement approach for master trusts once they are authorised.
Public service pension schemes
Public service pension schemes regulatory strategy
PDF
103KB
, 13 pages
Regulating governance and administration in public service pension schemes.
Public service pension schemes compliance and enforcement policy
PDF
209KB
, 23 pages
Describes our expectations for compliance with relevant legal requirements and how we will proceed in cases of non-compliance, including when we may use our enforcement powers.
Prosecution and penalties
Settlement policy
Our approach for negotiation and concluding settlements of our regulatory or civil enforcement action.