C1Part 1Pension scheme membership for jobholders
Chapter 2Compliance
Reviews and references
I1C2C4C7C643Review of notices
1
The Regulator may review a notice to which this section applies—
a
on the written application of the person to whom the notice was issued, or
b
if the Regulator otherwise considers it appropriate.
2
This section applies to—
a
a compliance notice issued under section 35;
b
a third party compliance notice issued under section 36;
c
an unpaid contributions notice issued under section 37;
d
a fixed penalty notice issued under section 40;
e
an escalating penalty notice issued under section 41.
3
Regulations may prescribe the period within which—
a
an application to review a notice may be made under subsection (1)(a);
b
a notice may be reviewed under subsection (1)(b).
4
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 ending when the review is completed.
5
In carrying out a review, the Regulator must consider any representations made by the person to whom the notice was issued.
6
The Regulator's powers on a review include power to—
a
confirm, vary or revoke the notice;
b
substitute a different notice.
C3C5C8C944References to F1First-tier Tribunal or Upper Tribunal
1
A person to whom a notice is issued under section 40 or 41 may, if one of the conditions in subsection (2) is satisfied, make a reference to F2the Tribunal in respect of—
a
the issue of the notice;
b
the amount of the penalty payable under the notice.
2
The conditions are—
a
that the Regulator has completed a review of the notice under section 43;
b
that the person to whom the notice was issued has made an application for the review of the notice under section 43(1)(a) and the Regulator has determined not to carry out such a review.
3
On a reference to F2the Tribunal in respect of a notice, the effect of the notice is suspended for the period beginning when the 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when the reference is withdrawn or completed, or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.
4
For the purposes of subsection (3), 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.
F34A
In this section “the Tribunal”, in relation to a reference under this section, means—
a
the Upper Tribunal, in any case where it is determined by or under Tribunal Procedure Rules that the Upper Tribunal is to hear the reference;
b
the First-tier Tribunal, in any other case.
5
F4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
6
F5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7
F5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8
F4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9
F4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Pt. 1 applied (with modifications) (temp. 1.7.2012 to 30.6.2020) by The Automatic Enrolment (Offshore Employment) Order 2012 (S.I. 2012/1388), art. 2 (with saving in art. 5)