The Pension Protection Fund (Investigation by PPF Ombudsman of Complaints of Maladministration) Regulations 2005

Conduct of investigation: general

7.—(1) For the purposes of investigating the referred matter, the PPF Ombudsman may consider any evidence before him.

(2) The PPF Ombudsman may—

(a) conduct an oral hearing about the matter;

(b) investigate the matter on the basis of the written evidence before him without holding an oral hearing;

(c) consider evidence relating to the matter which was not before the Board or, as the case may be, the Investigation Committee;

(d) refer any question which arises out of the matter to a person who, in the PPF Ombudsman’s opinion, is able to provide an expert opinion in relation to that question; and

(e) without prejudice to his powers under regulation 15, where references are made on the same or substantially the same grounds and are supported by the same or substantially the same evidence, deal together with any issues arising in respect of two or more references made to him if those issues are the same or substantially the same.

(3) The PPF Ombudsman may by notice in writing require any person who in the PPF Ombudsman’s opinion is able to produce documents necessary for the purposes of the investigation, to produce such documents in such manner, at such place and within such period as is specified in the notice.

(4) But no person may be compelled for the purposes of any investigation or determination to give evidence or produce any document which he could not be compelled to give or produce in civil proceedings before the court.

(5) In paragraph (4) “the court” means—

(a) in England and Wales, a county court; and

(b) in Scotland, the sheriff.

(6) Subject to the provisions of this regulation and any provision to the contrary in these Regulations, the procedure for conducting an investigation of a referred matter is such as the PPF Ombudsman considers appropriate in the circumstances of the case and, in particular, he may––

(a) obtain information from such persons and in such manner;

(b) make such inquiries; and

(c) give such directions as to the conduct of any oral hearing,

as he thinks fit.