Auto-enrolment—compliance and enforcement
Auto-enrolment—compliance and enforcement

The following Pensions guidance note provides comprehensive and up to date legal information covering:

  • Auto-enrolment—compliance and enforcement
  • The Pensions Regulator's compliance and enforcement strategy and policy
  • Enforcement options
  • Recruitment and employment protection
  • Penalties for non-compliance
  • Reviews and appeals
  • Enforcement action in practice
  • Regulatory intervention reports relating to auto-enrolment
  • Freedom of information requests before April 2014

The Pensions Regulator's compliance and enforcement strategy and policy

The Pensions Regulator's statutory objectives under the Pensions Act 2004 (PeA 2004) include:

  1. maximising compliance with the employer duties and employment safeguards under the auto-enrolment regime in Chapter 1 of Part 1 of the Pensions Act 2008 (PenA 2008), and

  2. protecting the benefits of members of work-based pension schemes

The Pensions Regulator sets out its objectives and regulatory approach to auto-enrolment compliance and enforcement in its:

  1. auto-enrolment compliance and enforcement strategy, and

  2. auto-enrolment compliance and enforcement policy

The Pensions Regulator's auto-enrolment compliance and enforcement strategy sets out:

  1. the Pensions Regulator’s statutory functions

  2. the Pensions Regulator's aims and objectives to tackle non-compliance with the employer duties and safeguards prescribed in the auto-enrolment legislation

  3. a set of principles which govern the Pensions Regulator's regulatory approach

  4. the Pensions Regulator's regulatory approach to maximising compliance with the employer duties and safeguards, and

  5. the enforcement options available by which the Pensions Regulator's objectives and priorities with respect to the employer duties and safeguards are pursued and achieved over time

The Pension Regulator's auto-enrolment compliance and enforcement policy supplements and expands upon its strategy by:

  1. setting out how the Pensions Regulator aims to deter and prevent non-compliance risks and identify, assess and tackle instances of non-compliance

  2. explaining how the Pensions Regulator's powers are to be considered and applied, and