|
| |
|
(c) | an unincorporated body or association with offices outside the United |
| |
| |
the references in subsection (6) to its principal office include references to its |
| |
principal office within the United Kingdom (if any). |
| |
(8) | In this section “notification” includes notice; and references in this section to |
| 5 |
sending a document to a person include references to making an application to |
| |
| |
(9) | This section has effect subject to section 228. |
| |
228 | Notification and documents in electronic form |
| |
(1) | This section applies where— |
| 10 |
(a) | section 227 authorises the giving or sending of a notification or other |
| |
document by its delivery to a particular person (“the recipient”), and |
| |
(b) | the notification or other document is transmitted to the recipient— |
| |
(i) | by means of an electronic communications network, or |
| |
(ii) | by other means but in a form that nevertheless requires the use |
| 15 |
of apparatus by the recipient to render it intelligible. |
| |
(2) | The transmission has effect for the purposes of this Act as a delivery of the |
| |
notification or other document to the recipient, but only if the requirements |
| |
imposed by or under this section are complied with. |
| |
(3) | Where the recipient is a relevant authority— |
| 20 |
(a) | it must have indicated its willingness to receive the notification or other |
| |
document in a manner mentioned in subsection (1)(b), |
| |
(b) | the transmission must be made in such manner, and satisfy such other |
| |
conditions, as it may require, and |
| |
(c) | the notification or other document must take such form as it may |
| 25 |
| |
(4) | Where the person making the transmission is a relevant authority, it may |
| |
(subject to subsection (5)) determine— |
| |
(a) | the manner in which the transmission is made, and |
| |
(b) | the form in which the notification or other document is transmitted. |
| 30 |
(5) | Where the recipient is a person other than a relevant authority— |
| |
| |
(b) | the person on whose behalf the recipient receives the notification or |
| |
| |
| must have indicated to the person making the transmission the recipient’s |
| 35 |
willingness to receive notifications or documents transmitted in the form and |
| |
| |
(6) | An indication given to any person for the purposes of subsection (5)— |
| |
(a) | must be given to that person in such manner as he may require, |
| |
(b) | may be a general indication or one that is limited to notifications or |
| 40 |
documents of a particular description, |
| |
(c) | must state the address to be used and must be accompanied by such |
| |
other information as that person requires for the making of the |
| |
| |
|
| |
|
| |
|
(d) | may be modified or withdrawn at any time by a notice given to that |
| |
person in such manner as he may require. |
| |
(7) | An indication, requirement or determination given, imposed or made by a |
| |
relevant authority for the purposes of this section is to be given, imposed or |
| |
made by being published in such manner as it considers appropriate for |
| 5 |
bringing it to the attention of the persons who, in its opinion, are likely to be |
| |
| |
(8) | Where both the recipient and the person making the transmission are relevant |
| |
| |
(a) | subsections (3) and (4) do not apply, and |
| 10 |
(b) | the recipient must have indicated to the person making the |
| |
transmission the recipient’s willingness to receive notifications or |
| |
documents transmitted in the form and manner used. |
| |
(9) | Subsection (8) of section 227 applies for the purposes of this section as it applies |
| |
for the purposes of that section. |
| 15 |
(10) | In this section, “relevant authority” means the Regulator, the Board or the |
| |
| |
(11) | In this section and section 229, “electronic communications network” has the |
| |
same meaning as in the Communications Act 2003 (c. 21). |
| |
229 | Timing and location of things done electronically |
| 20 |
(1) | The Secretary of State may by order make provision specifying, for the |
| |
purposes of any enactment contained in, or made under, this Act, the manner |
| |
| |
(a) | the times at which things done under that enactment by means of |
| |
electronic communications networks are done, and |
| 25 |
(b) | the places at which such things are so done, and at which things |
| |
transmitted by means of such networks are received. |
| |
(2) | The provision made under subsection (1) may include provision as to the |
| |
country or territory in which an electronic address is to be treated as located. |
| |
(3) | An order made by the Secretary of State may also make provision about the |
| 30 |
manner of proving in any legal proceedings— |
| |
(a) | that something done by means of an electronic communications |
| |
network satisfies the requirements of an enactment contained in, or |
| |
made under, this Act for the doing of that thing, and |
| |
(b) | the matters mentioned in subsection (1)(a) and (b). |
| 35 |
(4) | An order under this section may provide for such presumptions to apply |
| |
(whether conclusive or not) as the Secretary of State considers appropriate. |
| |
| |
230 | Overriding requirements |
| |
(1) | Where any provision mentioned in subsection (2) conflicts with the provisions |
| 40 |
of an occupational or personal pension scheme— |
| |
(a) | the provision mentioned in subsection (2), to the extent that it conflicts, |
| |
overrides the provisions of the scheme, and |
| |
|
| |
|
| |
|
(b) | the scheme has effect with such modifications as may be required in |
| |
consequence of paragraph (a). |
| |
(2) | The provisions referred to in subsection (1) are those of— |
| |
(a) | any order made by the Regulator under Part 1; |
| |
(b) | any regulations made under section 21(7); |
| 5 |
(c) | Part 2 (other than Chapter 1), any subordinate legislation made under |
| |
that Part and any direction given under section 106 or 119; |
| |
(d) | Part 3 and any order made by the Regulator under section 188; |
| |
(e) | any regulations under section 194; |
| |
(f) | sections 196 and 197, any regulations made under sections 196 to 198 |
| 10 |
and any arrangements under sections 196 and 197; |
| |
(g) | sections 200 and 201 and any regulations under sections 200 to 202; |
| |
| |
(i) | any regulations under section 231, 238(6) or 241(2) and any order under |
| |
| 15 |
(3) | Subsection (1) is without prejudice to section 28(1) (overriding effect of |
| |
freezing orders made by the Regulator) and section 119(9) (overriding effect of |
| |
requirement to wind up pension scheme under Part 2). |
| |
(4) | In the case of a company to which section 197 (requirement for member- |
| |
nominated directors of corporate trustees) applies, where any provision |
| 20 |
mentioned in subsection (5) conflicts with the provisions of the company’s |
| |
memorandum or articles of association— |
| |
(a) | the provision mentioned in subsection (5), to the extent that it conflicts, |
| |
overrides the provisions of the memorandum or articles, and |
| |
(b) | the memorandum or articles have effect with such modifications as |
| 25 |
may be required in consequence of paragraph (a). |
| |
(5) | The provisions referred to in subsection (4) are those of— |
| |
| |
(b) | any regulations made under section 197 or 198; |
| |
(c) | any arrangements under section 197. |
| 30 |
231 | Modification of this Act in relation to hybrid or multi-employer schemes |
| |
(1) | Regulations may modify any of the provisions mentioned in subsection (2) as |
| |
it applies in relation to— |
| |
| |
(b) | multi-employer schemes. |
| 35 |
(2) | The provisions referred to in subsection (1) are those of— |
| |
(a) | Part 1 (the Pensions Regulator), |
| |
(b) | Part 2 (the Board of the Pension Protection Fund), other than Chapter 1, |
| |
(c) | section 194 (combined pension forecasts), and |
| |
(d) | sections 203 and 204 (pension protection). |
| 40 |
| |
| “hybrid scheme” means an occupational pension scheme— |
| |
(a) | which is not a money purchase scheme, but |
| |
(b) | where some of the benefits that may be provided are— |
| |
|
| |
|
| |
|
(i) | money purchase benefits attributable to voluntary |
| |
contributions of the members, or |
| |
(ii) | other money purchase benefits; and |
| |
| “multi-employer scheme” means an occupational pension scheme in |
| |
relation to which there is more than one employer. |
| 5 |
232 | Offences by bodies corporate and partnerships |
| |
(1) | Where an offence under this Act committed by a body corporate is proved to |
| |
have been committed with the consent or connivance of, or to be attributable |
| |
to any neglect on the part of, a director, manager, secretary or other similar |
| |
officer of the body, or a person purporting to act in any such capacity, he as |
| 10 |
well as the body corporate is guilty of the offence and liable to be proceeded |
| |
against and punished accordingly. |
| |
(2) | Where the affairs of a body corporate are managed by its members, subsection |
| |
(1) applies in relation to the acts and defaults of a member in connection with |
| |
his functions of management as to a director of a body corporate. |
| 15 |
(3) | Where an offence under this Act committed by a Scottish partnership is proved |
| |
to have been committed with the consent or connivance of, or to be attributable |
| |
to any neglect on the part of, a partner, he as well as the partnership is guilty |
| |
of the offence and liable to be proceeded against and punished accordingly. |
| |
233 | Admissibility of statements |
| 20 |
(1) | A statement made by a person in compliance with an information requirement |
| |
is admissible in evidence in any proceedings, so long as it also complies with |
| |
any requirements governing the admissibility of evidence in the circumstances |
| |
| |
(2) | But in proceedings to which this subsection applies— |
| 25 |
(a) | no evidence relating to the statement may be adduced, and |
| |
(b) | no question relating to it may be asked, |
| |
| by or on behalf of the prosecution or (as the case may be) the Regulator, unless |
| |
evidence relating to it is adduced, or a question relating to it is asked, in the |
| |
proceedings by or on behalf of that person. |
| 30 |
(3) | Subsection (2) applies to— |
| |
(a) | criminal proceedings in which that person is charged with a relevant |
| |
| |
(b) | proceedings as a result of which that person may be required to pay a |
| |
financial penalty under or by virtue of— |
| 35 |
(i) | section 168 of the Pension Schemes Act 1993 (c. 48) (breach of |
| |
regulations) or section 10 of the Pensions Act 1995 (c. 26) (civil |
| |
| |
(ii) | any provision in force in Northern Ireland corresponding to a |
| |
provision mentioned in sub-paragraph (i). |
| 40 |
| |
| “information requirement” means any statement made in compliance |
| |
with any duty imposed by or by virtue of— |
| |
(a) | section 39 (duties of trustees or managers to provide scheme |
| |
| 45 |
|
| |
|
| |
|
(b) | section 45 (duty to report breaches of the law); |
| |
(c) | section 46 (requirement to provide information to the |
| |
| |
(d) | section 49 (inspection of premises: powers of inspectors to |
| |
| 5 |
(e) | section 52(2)(d) (power of inspector entering under warrant to |
| |
require a person to provide an explanation of a document); |
| |
(f) | section 152 (information to be provided to the Board); |
| |
(g) | section 153 (notices requiring provision of information to the |
| |
| 10 |
(h) | section 154 (entry of premises: powers of appointed persons to |
| |
| |
(i) | section 156(2)(d) (power of inspector entering under warrant to |
| |
require a person to provide an explanation of a document); |
| |
(j) | section 170 (power to make order enabling PPF Ombudsman to |
| 15 |
obtain information, documents etc); |
| |
(k) | section 173 or 174 (disclosure of information on references made |
| |
| |
(l) | section 185 (failure to make payments in accordance with |
| |
schedule of contributions); |
| 20 |
(m) | paragraph 19 of Schedule 1 (power to make regulations |
| |
enabling Regulator to summon persons to give evidence before |
| |
| |
(n) | paragraph 11 of Schedule 3 (the Pensions Regulator Tribunal: |
| |
| 25 |
| “relevant offence” means any offence other than one under— |
| |
(a) | section 51 (neglect or refusal to provide information etc to the |
| |
| |
(b) | section 54 (providing false or misleading information to the |
| |
| 30 |
(c) | section 155 (neglect or refusal to produce information etc to the |
| |
| |
(d) | section 157 (providing false or misleading information to the |
| |
| |
(e) | any provision in force in Northern Ireland corresponding to a |
| 35 |
provision mentioned in paragraphs (a) to (d); |
| |
(f) | section 5 of the Perjury Act 1911 (c. 6) (false statements made |
| |
| |
(g) | section 44(2) of the Criminal Law (Consolidation) (Scotland) |
| |
Act 1995 (c. 39) (false statements made otherwise than on oath); |
| 40 |
(h) | Article 10 of the Perjury (Northern Ireland) Order 1979 (S.I. |
| |
| |
| |
(1) | A person may not be required under or by virtue of this Act to produce, |
| |
disclose or permit the inspection of protected items. |
| 45 |
(2) | For this purpose “protected items” means— |
| |
(a) | communications between a professional legal adviser and his client or |
| |
any person representing his client which fall within subsection (3); |
| |
|
| |
|
| |
|
(b) | communications between a professional legal adviser, his client or any |
| |
person representing his client and any other person which fall within |
| |
subsection (3) (as a result of paragraph (b) of that subsection); |
| |
| |
(i) | are enclosed with, or referred to in, such communications, |
| 5 |
(ii) | fall within subsection (3), and |
| |
(iii) | are in the possession of a person entitled to possession of them. |
| |
(3) | A communication or item falls within this subsection if it is made— |
| |
(a) | in connection with the giving of legal advice to the client, or |
| |
(b) | in connection with, or in contemplation of, legal proceedings and for |
| 10 |
the purpose of those proceedings. |
| |
(4) | A communication or item is not a protected item if it is held with the intention |
| |
of furthering a criminal purpose. |
| |
| |
If a person claims a lien on a document, its production under any provision |
| 15 |
made by or by virtue of this Act does not affect the lien. |
| |
| |
(1) | In this section “the relevant provisions” means— |
| |
| |
| 20 |
(2) | The relevant provisions apply to a pension scheme managed by or on behalf of |
| |
the Crown as they apply to other pension schemes; and, accordingly, |
| |
references in those provisions to a person in his capacity as a trustee or |
| |
manager of, or person prescribed in relation to, a pension scheme include the |
| |
Crown, or a person acting on behalf of the Crown, in that capacity. |
| 25 |
(3) | The relevant provisions apply to persons employed by or under the Crown in |
| |
like manner as if such persons were employed by a private person; and |
| |
references in those Parts to a person in his capacity as an employer include the |
| |
Crown, or a person acting on behalf of the Crown in that capacity. |
| |
(4) | This section does not apply to any of the relevant provisions under or by virtue |
| 30 |
of which a person may be prosecuted for an offence; but such a provision |
| |
applies to persons in the public service of the Crown as it applies to other |
| |
| |
(5) | Nothing in the relevant provisions applies to Her Majesty in Her private |
| |
capacity (within the meaning of the Crown Proceedings Act 1947 (c. 44)). |
| 35 |
| |
237 | Breach of regulations |
| |
The following provisions of the Pensions Act 1995 (c. 26) apply to regulations |
| |
under this Act as if they were regulations made by virtue of Part 1 of that Act— |
| |
(a) | section 10(3) to (9) (power to impose civil penalties for contravention of |
| 40 |
regulations under Part 1 of that Act); |
| |
|
| |
|
| |
|
(b) | section 116 (power to provide for contravention of regulations under |
| |
that Part to be criminal offence). |
| |
238 | Subordinate legislation (general provisions) |
| |
(1) | Any power conferred by this Act to make subordinate legislation is exercisable |
| |
by statutory instrument, except any order-making power conferred on the |
| 5 |
| |
(2) | Any power conferred by this Act to make subordinate legislation may be |
| |
| |
(a) | either in relation to all cases to which the power extends, or in relation |
| |
to those cases subject to specified exceptions, or in relation to any |
| 10 |
specified cases or descriptions of case; |
| |
(b) | so as to make, as respects the cases in relation to which it is exercised— |
| |
(i) | the full provision to which the power extends or any lesser |
| |
provision (whether by way of exceptions or otherwise), |
| |
(ii) | the same provision for all cases in relation to which the power |
| 15 |
is exercised, or different provision for different cases or |
| |
different descriptions of case or different provision as respects |
| |
the same case or description of case for different purposes of |
| |
| |
(iii) | any such provision either unconditionally or subject to any |
| 20 |
| |
(3) | Any power conferred by this Act to make subordinate legislation— |
| |
(a) | if it is expressed to be exercisable for alternative purposes, may be |
| |
exercised in relation to the same case for any or all of those purposes, |
| |
| 25 |
(b) | if it is conferred for the purposes of any one provision of this Act, is |
| |
without prejudice to any power to make subordinate legislation for the |
| |
purposes of any other provision. |
| |
(4) | A power conferred by this Act to make subordinate legislation includes power |
| |
to provide for a person to exercise a discretion in dealing with any matter. |
| 30 |
(5) | Any power conferred by this Act to make subordinate legislation also includes |
| |
power to make such incidental, supplementary, consequential or transitional |
| |
provision as appears to the authority making the subordinate legislation to be |
| |
| |
(6) | Regulations may, for the purposes of or in connection with the coming into |
| 35 |
force of any provisions of this Act, make any such provision as could be made |
| |
by virtue of section 245(5) by an order bringing those provisions into force. |
| |
239 | Parliamentary control of orders and regulations |
| |
(1) | Subject to subsections (2) and (3), a statutory instrument containing regulations |
| |
or an order or rules under this Act is subject to annulment in pursuance of a |
| 40 |
resolution of either House of Parliament. |
| |
(2) | A statutory instrument which contains— |
| |
(a) | regulations under section 91(1) or (3) (administration levy in respect of |
| |
expenditure relating to the Board of the Pension Protection Fund); |
| |
|
| |
|