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| |
| | |
83 | Page 15, line 17, at end insert— |
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| “( ) | state that, if the third party fails to comply with the requirements of |
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| the notice, the Regulator may issue a fixed penalty notice under |
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| |
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84 | Page 15, line 25, leave out “unpaid relevant contributions” and insert “relevant |
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| contributions that have not been paid” |
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85 | Page 15, line 27, leave out subsection (3) |
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86 | Page 15, line 35, leave out “jobholders, or category of jobholders” and insert |
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| “workers, or category of workers” |
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87 | Page 15, line 43, at end insert— |
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| “(6) | In this section, “employer” in relation to a worker means the person by |
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| whom the worker is or, if the employment has ceased, was employed.” |
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|
88 | Page 16, line 3, after “of” insert “a contravention of section 2(1) or” |
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89 | Page 16, leave out line 8 and insert “are of a description specified in the notice |
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| (“unpaid relevant contributions”)” |
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90 | Page 16, line 10, leave out “due” and insert “appropriate” |
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91 | Page 16, line 11, leave out “33(3)(a)” and insert “(Meaning of “relevant |
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| |
92 | Page 16, line 13, leave out “due” and insert “appropriate” |
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93 | Page 16, line 17, leave out “jobholder” and insert “worker” |
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94 | Page 16, line 20, leave out “jobholder” and insert “worker” |
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95 | Page 16, line 21, at end insert— |
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| “( ) | if the contributions are payable to a money purchase scheme, a |
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| hybrid scheme or a personal pension scheme, a requirement to pay |
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| interest on the amount required by the notice to be paid in respect |
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| of unpaid relevant contributions, at a rate and in respect of a period |
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| determined in accordance with regulations.” |
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96 | Page 16, line 24, after “pay” insert “on behalf or” |
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97 | Page 16, line 25, leave out “jobholder” and insert “worker” |
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98 | Page 16, line 28, at end insert— |
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| “(5) | In this section, “appropriate date” means— |
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| (a) | in the case of a compliance notice, such date as may be specified in |
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| |
| (b) | in the case of an unpaid contributions notice, the due date within |
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| the meaning of section 33(4). |
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| (6) | In this section, “employer” in relation to a worker means the person by |
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| whom the worker is or, if the employment has ceased, was employed.” |
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|
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| |
| | |
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|
99 | Insert the following new Clause— |
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| “Meaning of “relevant contributions” |
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| (1) | In sections 33 and 34 “relevant contributions” are— |
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| (a) | in relation to a jobholder, employer contributions payable to a |
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| qualifying scheme in relation to the jobholder; |
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| (b) | in relation to a worker to whom section 8 applies, employer |
|
| contributions payable to a pension scheme which satisfies the |
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| requirements of that section. |
|
| (2) | In subsection (1), employer contributions means contributions payable by |
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| |
| (a) | on the employer’s own account (but in respect of the worker), or |
|
| (b) | on behalf of the worker out of deductions from the worker’s |
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| |
|
100 | Page 17, line 22, leave out “employer” and insert “person to whom the notice is |
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| |
101 | Page 17, line 23, leave out “appeal” and insert “referral to the Pensions Regulator |
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| |
|
102 | Page 17, line 37, leave out “appeal under section 39 against” and insert “referral to |
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| the Pensions Regulator Tribunal under section 39 in respect of” |
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103 | Page 17, line 38, leave out “appeal” and insert “reference” |
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104 | Page 18, line 18, leave out “appeal” and insert “referral to the Pensions Regulator |
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| |
|
105 | Page 19, line 2, leave out subsection (4) and insert— |
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| “( ) | On a review of a notice, the effect of the notice is suspended for the period |
|
| beginning when the Regulator determines to carry out the review and |
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| ending when the review is completed.” |
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|
106 | Page 19, line 10, after “may” insert “, if one of the conditions in subsection (1A) is |
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| |
107 | Page 19, line 13, at end insert— |
|
| “(1A) | The conditions are— |
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| (a) | that the Regulator has completed a review of the notice under |
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| |
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|
| |
| | |
|
| (b) | that the person to whom the notice was issued has made an |
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| application for the review of the notice under section 38(1)(a) and |
|
| the Regulator has determined not to carry out such a review.” |
|
108 | Page 19, line 13, at end insert— |
|
| “(1B) | On a reference to the Pensions Regulator Tribunal in respect of a notice, the |
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| effect of the notice is suspended for the period beginning when the |
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| Tribunal receives notice of the reference and ending— |
|
| (a) | when the reference is withdrawn or completed, or |
|
| (b) | if the reference is made out of time, on the Tribunal determining not |
|
| to allow the reference to proceed. |
|
| (1C) | For the purposes of subsection (1B), a reference is completed when— |
|
| (a) | the reference has been determined, |
|
| (b) | the Tribunal has remitted the matter to the Regulator, and |
|
| (c) | any directions of the Tribunal for giving effect to its determination |
|
| have been complied with.” |
|
109 | Page 19, line 14, leave out subsection (2) |
|
110 | Page 19, line 26, at end insert— |
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| “( ) | In section 103 of that Act (references to the Tribunal), after subsection (1) |
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| |
| “(1A) | A reference to the Tribunal under section 39 of the Pensions Act |
|
| 2008 must be made during such period as may be specified in rules |
|
| |
| ( ) | In subsection (2) of that section, at the end insert “or (1A)”. |
|
| ( ) | In Schedule 4 to that Act (constitution, procedure etc. of the Tribunal), in |
|
| |
| (a) | the words from “under this Act” to the end become paragraph (a); |
|
| |
| “(b) | under section 39 of the Pensions Act 2008 or any |
|
| provision in force in Northern Ireland |
|
| corresponding to that section.” |
|
| ( ) | In that Schedule, in paragraph 13— |
|
| (a) | after “a reference” (in both places where it occurs) insert “under this |
|
| Act, or any provisions in force in Northern Ireland corresponding |
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| |
| |
| “(3) | The Lord Chancellor may by regulations make provision |
|
| about the award of costs and expenses by the Tribunal on |
|
| a reference made under section 39 of the Pensions Act |
|
| 2008 or any provision in force in Northern Ireland |
|
| corresponding to that section.”” |
|
|
111 | Page 19, line 36, leave out “level 5 on the standard scale” and insert “the statutory |
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| |
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| |
| | |
|
|
112 | Insert the following new Clause— |
|
| “Offences by bodies corporate |
|
| (1) | Subsection (2) applies where an offence under section 40 committed by a |
|
| body corporate is proved— |
|
| (a) | to have been committed with the consent or connivance of an officer |
|
| of the body corporate, or |
|
| (b) | to be attributable to any neglect on the part of an officer of the body |
|
| |
| (2) | The officer, as well as the body corporate, is guilty of the offence and is |
|
| liable to be proceeded against and punished accordingly. |
|
| (3) | “Officer” in this section means— |
|
| (a) | a director, manager, secretary or other similar officer, or |
|
| (b) | a person purporting to act in such a capacity. |
|
| (4) | Where the affairs of a body corporate are managed by its members, this |
|
| section applies in relation to the acts and defaults of a member in |
|
| connection with the member’s functions of management as if the member |
|
| were an officer of the body corporate.” |
|
113 | Insert the following new Clause— |
|
| “Offences by partnerships and unincorporated associations |
|
| (1) | Proceedings for an offence under section 40 alleged to have been |
|
| committed by a partnership or an unincorporated association may be |
|
| brought in the name of the partnership or association. |
|
| (2) | For the purposes of such proceedings— |
|
| (a) | rules of court relating to the service of documents are to have effect |
|
| as if the partnership or association were a body corporate; |
|
| (b) | the following provisions apply in relation to the partnership or |
|
| association as they apply in relation to a body corporate— |
|
| (i) | section 33 of the Criminal Justice Act 1925 (c. 86) and |
|
| Schedule 3 to the Magistrates’ Courts Act 1980 (c. 43); |
|
| (ii) | section 70 of the Criminal Procedure (Scotland) Act 1995 |
|
| |
| (3) | A fine imposed on a partnership or association on its conviction of an |
|
| offence under section 40 is to be paid out of the funds of the partnership or |
|
| |
| (4) | Subsection (5) applies where an offence under section 40 committed by a |
|
| |
| (a) | to have been committed with the consent or connivance of a |
|
| |
| (b) | to be attributable to any neglect on the part of a partner. |
|
| (5) | The partner, as well as the partnership, is guilty of the offence and is liable |
|
| to be proceeded against and punished accordingly. |
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|
|
| |
| | |
|
| (6) | Subsection (7) applies where an offence under section 40 committed by an |
|
| unincorporated association is proved— |
|
| (a) | to have been committed with the consent or connivance of an officer |
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| |
| (b) | to be attributable to any neglect on the part of an officer of the |
|
| |
| (7) | The officer, as well as the association, is guilty of the offence and is liable to |
|
| be proceeded against and punished accordingly. |
|
| (8) | “Officer” in this section means— |
|
| (a) | an officer of the association or a member of its governing body, or |
|
| (b) | a person purporting to act in such capacity. |
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| (9) | “Partner” in this section includes a person purporting to act as a partner.” |
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|
114 | Page 20, line 1, after “information)” insert— |
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| |
115 | Page 20, line 2, at end insert— |
|
| “(b) | omit “or” at the end of sub-paragraph (iii).” |
|
|
116 | Page 20, line 10, leave out “of this Part, or this Chapter” and insert “or 2 of this Part” |
|
117 | Transpose Clause 43 to after Clause 57 |
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|
118 | Page 20, line 24, after “2008” insert “or section 50 of that Act” |
|
119 | Page 20, line 38, leave out from “employer” to “at” in line 39 and insert “is |
|
| contravening, or has contravened— |
|
| (c) | any provision of, or of regulations under, Chapter 1 of Part 1, or |
|
| section 49 or (Inducements), of the Pensions Act 2008, or |
|
| (d) | any corresponding provision in force in Northern Ireland,” |
|
120 | Page 21, line 3, leave out “employees of the employer are employed” and insert |
|
| “the employer employs workers” |
|
121 | Page 21, line 8, at end insert “or under any corresponding provision in force in |
|
| |
122 | Page 21, line 9, leave out “qualifying scheme” and insert “pension scheme that is |
|
| relevant to the discharge of those duties” |
|
123 | Page 21, line 13, leave out ““employee”” and insert ““worker”” |
|
124 | Page 21, leave out lines 15 and 16 |
|
125 | Page 21, line 16, at end insert— |
|
| “(D1) | In the application of subsections (A1) and (B1) in relation to any provision |
|
| mentioned in subsection (A1)(b) (a “corresponding Northern Ireland |
|
| provision”), references in those subsections to “employer” or “worker” are |
|
|
|
| |
| | |
|
| to be read as having the meaning that they have for the purposes of the |
|
| corresponding Northern Ireland provision.” |
|
126 | Transpose Clause 44 to after Clause 57 |
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|
127 | Transpose Clause 45 to after Clause 57 |
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|
128 | Transpose Clause 46 to after Clause 57 |
|
|
129 | Transpose Clause 47 to after Clause 57 |
|
|
130 | Page 23, line 29, after “1” insert “(and the safeguards in sections 49 and |
|
| |
131 | Transpose Clause 48 to after Clause 57 |
|
|
132 | Insert the following new Clause— |
|
| “Functions of the Pensions Ombudsman |
|
| Functions of the Pensions Ombudsman |
|
| (1) | Section 146 of the Pension Schemes Act 1993 (c. 48) (functions of the |
|
| Pensions Ombudsman) is amended as follows. |
|
| (2) | In subsection (7), after paragraph (ba) insert— |
|
| “(bb) | a person who has given notice in accordance with section 7 |
|
| of the Pensions Act 2008 (right to opt out of membership of |
|
| an automatic enrolment scheme);” |
|
| (3) | In paragraph (c)(i) of that subsection, for “or (ba)” substitute “, (ba) or |
|
| |
|
133 | Page 24, line 13, leave out from “section” to end of line 16 |
|
|
134 | Page 24, line 20, leave out from first “The” to “may” and insert “Regulator” |
|
|
135 | Insert the following new Clause— |
|
|
|
| |
| | |
|
| |
| (1) | An employer contravenes this section if the employer takes any action for |
|
| the sole or main purpose of— |
|
| (a) | inducing a worker to give up membership of a relevant scheme |
|
| without becoming an active member of another relevant scheme |
|
| within the period prescribed under section 2(3), or |
|
| (b) | inducing a jobholder to give a notice under section 7 without |
|
| becoming an active member of a qualifying scheme within the |
|
| period prescribed under section 2(3). |
|
| (2) | Section 31 applies in relation to a contravention of this section as it applies |
|
| in relation to a contravention of section 2(1), and sections 34 to 39 apply |
|
| |
| (3) | But the Regulator may not issue a compliance notice in respect of a |
|
| contravention of this section unless the contravention occurred within the |
|
| prescribed period before— |
|
| (a) | the time when a complaint was made to the Regulator about the |
|
| |
| (b) | the time when the Regulator informed the employer of an |
|
| investigation of the contravention, if no complaint was made before |
|
| |
| (4) | A compliance notice in respect of a contravention of this section may direct |
|
| the employer to take or refrain from taking specified steps in order to |
|
| prevent the contravention being repeated. |
|
| (5) | For the purposes of this section a worker gives up membership of a |
|
| relevant scheme if the worker— |
|
| (a) | takes action or makes an omission by which the worker, without |
|
| ceasing to be employed by the employer, ceases to be an active |
|
| |
| (b) | requests or authorises the employer to take such action or to make |
|
| |
| (6) | In this section, “relevant scheme” means— |
|
| (a) | in relation to a jobholder, a qualifying scheme; |
|
| (b) | in relation to a worker to whom section 8 applies, a scheme which |
|
| satisfies the requirements of that section.” |
|
|
136 | Page 26, line 13, leave out “a worker’s contract and” |
|
137 | Page 26, line 20, after “employee” insert “within the meaning of that Act” |
|
|
138 | Page 27, leave out lines 11 and 12 and insert— |
|
| “( ) | This section applies to any requirement imposed on the employer by or |
|
| under any provision of Chapter 1 of Part 1 of the Pensions Act 2008. |
|
| ( ) | In this section references to enforcing a requirement include references to |
|
| securing its benefit in any way.” |
|
|