this Article and Article 2 (other than paragraphs (5) and (6));

in Part V, Article 213 (supply of housing benefit information);

in Part VI, Article 258 (exemption from statutory revaluation requirement);

the repeal by this Order of Article 47(2) of the 1999 Order.

shall come into operation on the expiration of seven days from the day on which this Order is made so far as is necessary for enabling the making of any regulations for which they provide, and

otherwise, shall come into operation on 6th April 2005.

to save the effect of any of the repealed provisions of any of those statutory provisions, or those provisions as adapted or modified by the order,

the functions transferred to it from the Occupational Pensions Regulatory Authority by virtue of this Order, and

any other functions conferred by, or by virtue of, this or any other statutory provision.

the exercise of other functions of the Regulator (except the non-executive functions which are exercised in accordance with section 4(2)(a) of the Pensions Act 2004 (c. 35) and functions which are delegated in accordance with section 4(2)(c) of that Act) may be delegated by the Regulator under paragraph 1 of Schedule 1.

to protect the benefits under occupational pension schemes of, or in respect of, members of such schemes,

to protect the benefits under personal pension schemes of, or in respect of, members of such schemes within paragraph (2),

to reduce the risk of situations arising which may lead to compensation being payable from the Pension Protection Fund (see Part III),

to maximise compliance with the duties under Chapter 1 of Part 1 (and the safeguards in sections 50 and 54) of the Pensions (No. 2) Act (Northern Ireland) 2008, and

to promote, and to improve understanding of, the good administration of work-based pension schemes.

the members who are employees in respect of whom direct payment arrangements exist, and

where the scheme is a stakeholder pension scheme, any other members.

the power to determine, in the circumstances described in paragraph (2), whether to exercise a reserved regulatory function, and

where it so determines to exercise a reserved regulatory function, the power to exercise the function in question.

where the Regulator considers that the exercise of the reserved regulatory function may be appropriate, or

where an application is made under, or by virtue of, any of the provisions listed in paragraph (6) for the Regulator to exercise the reserved regulatory function.

adding any function of the Regulator conferred by, or by virtue of, this or any other statutory provision,

omitting any such function, or

altering the description of any such function contained in that Schedule.

Article 16(10) (application to permit payments out of an account that is subject to a restraining order);

Article 22(2) (application for order validating action taken in contravention of freezing order);

Article 37(7) (application for the issue of a revised contribution notice under Article 37(9));

Article 46(7) (application for the issue of a revised contribution notice under Article 46(9));

Article 3(3) of the 1995 Order (application for revocation of prohibition order);

Article 4(5) of that Order (application for revocation of a suspension order);

Article 7(5A) of that Order (application for appointment of a trustee under Article 7(3)(a) or (c) of that Order);

Article 29(5) of that Order (application for waiver of disqualification);

Article 58(7) of that Order (power of the Regulator in prescribed circumstances to extend or further extend the period referred to in Article 58(6) of that Order in relation to a schedule of contributions);

Article 60(7) of that Order (power of the Regulator in prescribed circumstances to extend or further extend the period applicable under Article 60(3) of that Order in relation to securing an increase in value);

Article 69(1) of that Order (application for order authorising modification or modifying a scheme);

Article 71A(2) of that Order (application for modifying a scheme to secure winding up);

section 95(4A) of the Pension Schemes Act (application for extension under section 95(4) of that Act of a period for compliance);

section 97J(6)(a) of that Act (application for extension under section 97J(2) of that Act of a period for compliance).

adding any provision of this or any other statutory provision to the list in that paragraph, or

omitting or altering the description of any provision mentioned in that list.

any of the functions of the Regulator which are exercisable by the Panel on behalf of the Regulator, or

any of the functions of the Panel under Article 88(3) or 94(11) or paragraph 18(2) of Schedule 1 to the Pensions Act 2004 (c. 35) (procedure).

the administration of work-based pension schemes, or

advising the trustees or managers in relation to such schemes as to their operation.

employers in relation to work-based pension schemes,

persons involved in advising such employers as to the operation of such schemes, or

persons upon whom duties are imposed by or by virtue of Article 215 (information and advice to employees).

is contravening one or more provisions of the pensions legislation, or

has contravened one or more of those provisions in circumstances that make it likely that the contravention will continue or be repeated,

state that the Regulator is of that opinion and specify the provision or provisions of the pensions legislation in question,

contain a statement of the matters which it is asserted constitute the contravention and of the evidence on which that opinion is based, and

in respect of each step specified in the notice, state the period (being a period of not less than 21 days beginning with the date of the notice) within which it must be complied with.

may be framed to any extent by reference to a code of practice issued by the Regulator under Article 85, and

may be framed so as to afford the person to whom the notice is issued a choice between different ways of remedying or preventing the recurrence of the contravention.

the Pension Schemes Act,

Part II of the 1995 Order, other than Articles 62 to 66A of that Order (equal treatment),

Part II or Article 30 of the 1999 Order, or

this Order.

the contravention is or was, wholly or partly, a result of a failure of another person ( “the third party”) to do any thing, and

that failure is not itself a contravention of the pensions legislation,

state that the Regulator is of that opinion and specify the provision or provisions of the pensions legislation in question,

in respect of each step specified in the notice, state the period (being a period of not less than 21 days beginning with the date of the notice) within which it must be complied with.

“pension scheme” means an occupational pension scheme or a personal pension scheme,

“deposit-taker” has the meaning given by paragraphs (8A) and (8B) of Article 49 of the 1995 Order, except that, for the purposes of this definition, paragraph (8A)(c) of that Article has effect with the omission of the words from “or” to the end,

references to money liberated from a pension scheme are to be read in accordance with paragraph (2),

“liberated member”, in relation to money liberated from a pension scheme, means the member of the pension scheme who is referred to in paragraph (2)(a), and

“restraining order” means a restraining order under Article 16.

the trustees or managers of the scheme transferred the amount out of the scheme on the basis that a third party ( “the liberator”) would secure that the amount was used in an authorised way,

the amount has not been used in an authorised way, and

the liberator has not secured, and is not likely to secure, that the amount will be used in an authorised way.

section 90(1)(a), (aa) or (b) of the Pension Schemes Act (right to cash equivalent under Chapter 4 of Part IV of that Act);

section 97AB(1)(a) of that Act (right to cash transfer sum under Chapter 5 of Part IV of that Act);

section 97F(1) of that Act (right to cash equivalent of pension credit benefit).

where the amount concerned is transferred out of the scheme in pursuance of a provision mentioned in paragraph (3)(a), a way specified in subsection (2) or, as the case may be, subsection (3) of section 91 of the Pension Schemes Act;

where that amount is transferred out in pursuance of the provision mentioned in paragraph (3)(b), a way specified in section 97AE(2) of that Act;

where that amount is transferred out in pursuance of the provision mentioned in paragraph (3)(c), a way specified in subsection (2) or, as the case may be, subsection (3) of section 97F of that Act;

where that amount is transferred out in pursuance of a provision of the kind mentioned in paragraph (2)(a)(ii), a way that is authorised by the applicable rules for amounts transferred out in pursuance of that provision.

the money or any of it, or

property (of any kind and wherever situated) that, directly or indirectly, represents any of the money.

the property ceases to be recoverable property, and

no property that subsequently represents it is recoverable property.

towards a pension scheme,

towards an annuity or insurance policy, or

to the liberated member.

to take steps for the purpose mentioned in that paragraph;

to apply the property or money transferred, in such manner as the Court may direct, for the purpose of providing benefits under that scheme to or in respect of the liberated member.

it is satisfied that the account contains money which has been liberated from a pension scheme,

the order is made pending consideration being given to the making of one or more repatriation orders in relation to the account under Article 17.

specify the name of the deposit-taker in respect of which it is made,

identify the account in respect of which it is made, and

contain such other information as may be prescribed.

takes effect when the deposit-taker concerned is notified by the Regulator of the making of the order, and

(subject to paragraph (7)) ceases to have effect through expiry of time at the end of the six months beginning with the day when it is made.

when the deposit-taker concerned is notified by the Regulator of the making of the order, but

only if notification under sub-paragraph (a) occurs at a time when the restraining order concerned has effect.

the restraining order concerned does not cease to have effect through expiry of time until the end of the six months beginning with the time when it would have ceased to have effect through expiry of time had it not been extended, but

for so long as the extension order has effect, no further extension order can take effect before that time in relation to the restraining order.

that the money out of which the payment will be made is not money liberated from a pension scheme.

a restraining order has effect, and

the Regulator is satisfied that the restrained account contains an amount of money liberated from a pension scheme.

where it makes an order under sub-paragraph (a)(i), direct the trustees or managers of the scheme to apply the sum, in such manner as the Regulator may direct, for the purpose of providing benefits under the scheme to or in respect of the liberated member.

the trustees or managers of the scheme;

any person directly affected by the action.

the Regulator determines to make an order under Article 11 of the 1995 Order (power to wind up occupational schemes) in relation to a scheme ( “a winding up order”),

that determination is made during the period for which a freezing order has effect in relation to the scheme,

the case is not one to which the special procedure in Article 93 applies (immediate exercise of powers where immediate risk to assets etc.), and

the winding up order accordingly cannot be made until the expiry of the period specified in Article 91(5) (no exercise of powers during period of referral to the Tribunal etc.).

where the winding up order is made, it ceases to have effect under Article 24 from the time when that order is made, or

the determination to make the winding up order is revoked.

an order is made under Article 11 of the 1995 Order (power to wind up occupational pension schemes) in relation to a scheme, and

the order is made during the period for which a freezing order has effect in relation to the scheme.

the winding up of the scheme in pursuance of the order under Article 11 of the 1995 Order is to be taken as beginning at the time when the freezing order took effect, and

the freezing order ceases to have effect from the time when the order under Article 11 of the 1995 Order is made.

to take such specified steps as it considers are necessary as a result of the winding up of the scheme being deemed under paragraph (2)(a) to have begun at the time when the freezing order took effect, and

to take those steps within a specified period.

the Regulator revokes a freezing order in relation to a scheme or it otherwise ceases to have effect, and

at the time when the freezing order ceases to have effect, the Regulator has not made an order under Article 11 of the 1995 Order in relation to the scheme.

a requirement that specified benefits do not accrue to, or in respect of, a member or a specified member unless a contribution of a specified amount is paid by or on behalf of the member towards the scheme within a specified period;

a requirement that a contribution of a specified amount must be paid by or on behalf of the employer within a specified period;

a requirement that such contributions as are specified under sub-paragraph (a) or (b) are to be accepted for the period for which the freezing order had effect or any part of that period.

the direction does not affect any entitlement to that benefit, and

any benefit to which a member, or a person in respect of a member, remains entitled at the end of the period for which the freezing order had effect is an amount which falls due to the member or, as the case may be, the person at the end of that period.

an order is made under this Article in relation to a scheme,

the order contains a requirement as described in paragraph (3)(b) that a contribution of a specified amount must be paid by or on behalf of the employer within a specified period, and

the contribution is not paid within that period.

Article 10 of the 1995 Order applies to the employer if he has failed, without reasonable excuse, to secure compliance,

the amount which for the time being remains unpaid after the end of the specified period is to be treated as a debt due from the employer to the trustees or managers of the scheme, and

except in prescribed circumstances, the trustees or managers must, within a prescribed period, give notice of the failure to pay to the Regulator and to the member.

a freezing order is made in relation to a scheme,

an order is made under Article 22 validating action taken in contravention of a freezing order made in relation to a scheme,

an order is made under Article 24 directing specified steps to be taken following the winding up of a scheme, or

an order is made under Article 26 in relation to a scheme where a freezing order ceases to have effect.

the trustees or managers of the scheme, and

the employer in relation to the scheme,

all the members of the scheme, or

the members of the scheme specified in the order,

in spite of any statutory provision or rule of law, or any rule of the scheme, which would otherwise operate to prevent the order being made, and

without regard to any such statutory provision, rule of law or rule of the scheme as would otherwise require, or might otherwise be taken to require, the implementation of any procedure or the obtaining of any consent, with a view to the making of the order.

omit paragraph (4), and

in paragraph (2), after “ a scheme ” insert “ by virtue of paragraph (1) ”,

a money purchase scheme, or

a prescribed scheme or a scheme of a prescribed description.

to the trustees or managers of the scheme, or

where the Board has assumed responsibility for the scheme in accordance with Chapter 3 of Part III (pension protection), to the Board.

the Regulator is of the opinion that the person was a party to an act or a deliberate failure to act which falls within paragraph (5),

the Regulator is of the opinion that the person, in being a party to the act or failure, was not acting in accordance with his functions as an insolvency practitioner in relation to another person, and

the parties to an act or a deliberate failure include those persons who knowingly assist in the act or failure, and

the degree of involvement of the person in the act or failure to act which falls within paragraph (5),

the relationship which the person has or has had with the employer (including, where the employer is a company within the meaning of paragraph (11) of Article 4 of the Insolvency Order, whether the person has or has had control of the employer within the meaning of paragraph (10) of that Article),

any connection or involvement which the person has or has had with the scheme,

if the act or failure to act was a notifiable event for the purposes of Article 64 (duty to notify the Regulator of certain events), any failure by the person to comply with any obligation imposed on the person by paragraph (1) of that Article to give the Regulator notice of the event,

all the purposes of the act or failure to act (including whether a purpose of the act or failure was to prevent or limit loss of employment),

the value of any benefits which directly or indirectly the person receives, or is entitled to receive, from the employer or under the scheme;

the likelihood of relevant creditors being paid and the extent to which they are likely to be paid;

the financial circumstances of the person, and

such other matters as may be prescribed.

creditors of the employer, and

creditors of any other person who has incurred a liability or other obligation (including one that is contingent or otherwise might fall due) to make a payment, or transfer an asset, to the scheme.

Article 7 of the Insolvency Order (connected persons) applies as it applies for the purposes of any provision of Parts II to VII of that Order, and

Article 4 of that Order (associated persons) applies as it applies for the purposes of that Order.

a person acting as an insolvency practitioner, in relation to that person, in accordance with Article 3 of the Insolvency Order, or

an insolvency practitioner within the meaning of Article 105(9)(b) (persons of a prescribed description).

a person was a party to a series of acts or failures to act,

each of the acts or failures in the series falls within paragraph (5)(b) and (c), and

the material detriment test is met in relation to the series, or the main purpose or one of the main purposes of the series was as mentioned in paragraph (5)(a)(i) or (ii).

in the case of an act, the time of the act, or

the value of the assets or liabilities of the scheme or of any relevant transferee scheme,

the effect of the act or failure on the value of those assets or liabilities,

the scheme obligations of any person,

the effect of the act or failure on any of those obligations (including whether the act or failure causes the country or territory in which any of those obligations would fall to be enforced to be different),

the extent to which any person is likely to be able to discharge any scheme obligation in any circumstances (including in the event of insolvency or bankruptcy),

the extent to which the act or failure has affected, or might affect, the extent to which any person is likely to be able to do as mentioned in sub-paragraph (e), and

such other matters as may be prescribed.

the scheme, or

any relevant transferee scheme in respect of any persons who were members of the scheme before the relevant time.

“relevant transferee scheme” means any work-based pension scheme to which any accrued rights to benefits under the scheme are transferred;

any reference to the assets or liabilities of any relevant transferee scheme is a reference to those assets or liabilities so far as relating to persons who were members of the scheme before the relevant time.

“work-based pension scheme” has the meaning given by Article 4(3);

any reference to rights which have accrued is to be read in accordance with Article 67A(6) and (7) of the 1995 Order (reading any reference in those paragraphs to a subsisting right as a reference to a right which has accrued).

Chapter 3 of Part 3 (the Board of the Pension Protection Fund: pension protection), and

section 286 of the Pensions Act 2004 (the financial assistance scheme for members of certain pension schemes).

a warning notice is given to any person (“P”) in respect of a contribution notice under Article 34, and

the contribution notice under consideration would be issued wholly or partly by reference to the Regulator's opinion that the material detriment test is met in relation to an act or deliberate failure to act to which P was a party.

conditions A and C are met, and

where applicable, condition B is met,

“the relevant time” means the time at which the act occurred or the failure to act first occurred;

the reference to the circumstances mentioned in that condition is a reference to those circumstances of which P was aware, or ought reasonably to have been aware, at that time (including acts or failures to act which have occurred before that time and P's expectation at that time of other acts or failures to act occurring).

conditions A and C are met, and (where applicable) condition B is met, in relation to the act or failure, or

the act or failure was one of a number of acts or failures (a “group” of acts or failures) selected by P in relation to which the following matters are shown.

before becoming a party to the first of the acts or failures in the group, condition A is met in relation to the effect of the acts or failures in the group taken together,

condition B is (where applicable) met in relation to that effect, and

condition C is then met in relation to each of the acts or failures in the group (determined at the time at which each act or failure concerned occurred or first occurred).

the previous acts or failures in the group are to be regarded as a separate group for the purposes of paragraph (8), and

P may then select another group consisting of the particular act or failure concerned, and any subsequent act or failure, in relation to which P shows the matters mentioned in paragraph (9).

P is unable to show in the case of each of the acts or failures in the series that the matters set out in paragraph (8)(a) or (b) are met, but

does show in the case of some of them that those matters are met,

“a warning notice” means a notice given as mentioned in Article 91(2)(a);

any reference to an act or failure to which a person is a party has the same meaning as in Article 34(6)(a);

any reference to the accrued scheme benefits being received has the same meaning as in Article 34A;

in a case where, at the relevant time, a debt was due from the employer to the trustees or managers of the scheme under Article 75 of the 1995 Order (deficiencies in the scheme assets), the amount which the Regulator estimates to be the amount of that debt at that time, and

in a case falling within sub-paragraph (a) of paragraph (2), in the amount of the debt which became due under Article 75 of the 1995 Order being less than it would otherwise have been, or

in a case falling within sub-paragraph (b) of paragraph (2), in the amount of any such debt calculated for the purposes of that sub-paragraph being less than it would otherwise have been,

in the case of an act falling within paragraph (5) of Article 34, the time of the act, or

references to a debt due under Article 75 of the 1995 Order include a contingent debt under that Article, and

references to the amount of such a debt include the amount of such a contingent debt.

the accrued rights of at least two persons who were members of the initial scheme are transferred at that or any subsequent time to one or more work-based pension schemes (whether by virtue of the act or otherwise).

the initial scheme, and

the transferee scheme,

a scheme to which Article 75 of the 1995 Order does not apply, or

a scheme to which that Article does apply in a case where the liabilities of the scheme that would be taken into account for the purposes of that Article do not relate to the members of the initial scheme,

to which the accrued rights of at least two persons who were members of the initial scheme have been transferred, and

of which any of those persons are members at that time.

“work-based pension scheme” has the meaning given by Article 4(3);

any reference to rights which have accrued is to be read in accordance with Article 67A(6) and (7) of the 1995 Order (reading any reference in those paragraphs to a subsisting right as a reference to a right which has accrued).

is wound up as a result of any transfer falling within paragraph (1)(b) of that Article, or

otherwise ceases to exist at the time of the transfer or at any subsequent time.

the reference to a scheme to which Article 34 applies is a reference to a scheme which was such a scheme before the transfer;

the reference to any conditions in Article 34 being met is a reference to any conditions in that Article that, but for the transfer, would have been met in relation to the scheme.

the making of any payment at any time to or for the benefit of the scheme or other arrangement,

the transfer of any asset at any time to or for the benefit of the scheme or other arrangement,

the discharge (wholly or partly) at any time of any liability incurred by or on behalf of the scheme or other arrangement, or

the incurring at any time of any obligation to do any act falling within sub-paragraphs (a) to (c).

make provision having effect in relation to any case where rights are transferred or extinguished on or after the date on which the Department publishes a statement of the intention to make the regulations; and

without prejudice to Article 287(3), make consequential provision applying with modifications any provision of this Order which relates to contribution notices under Article 34.

contain a statement of the matters which it is asserted constitute the act or failure to act which falls within paragraph (5) of Article 34,

specify the sum which the person is stated to be under a liability to pay, and

identify any other persons to whom contribution notices have been or are issued as a result of the act or failure to act in question and the sums specified in each of those notices.

is issued as a result of the same act or failure to act falling within paragraph (5) of Article 34 as the act or failure as a result of which P's contribution notice is issued,

specifies the same sum as is specified in P's contribution notice, and

specifies that the person to whom the contribution notice is issued is jointly and severally liable with P, or with P and other persons, for the debt in respect of that sum.

to the trustees or managers of the scheme, or

where the Board has assumed responsibility for the scheme in accordance with Chapter 3 of Part III (pension protection), to the Board.

to the trustees or managers of the scheme in respect of any debt due to them by virtue of the contribution notice, or

to the Board in respect of any debt due to it by virtue of the contribution notice,

reduce the amount of the sum specified in P's contribution notice by an amount which it considers reasonable, and

issue a revised contribution notice specifying the revised sum.

the amount paid in respect of the debt due under Article 75 of the 1995 Order since the contribution notice was issued,

any amounts paid in respect of the debt due by virtue of that contribution notice,

whether contribution notices have been issued to other persons as a result of the same act or failure to act falling within paragraph (5) of Article 34 as the act or failure as a result of which P's contribution notice was issued,

where such contribution notices have been issued, the sums specified in each of those notices and any amounts paid in respect of the debt due by virtue of those notices,

whether P's contribution notice specifies that P is jointly and severally liable for the debt with other persons, and

such other matters as may be prescribed.

P's contribution notice specifies that P is jointly and severally liable for the debt with other persons, and

a revised contribution notice is issued to P under paragraph (9) specifying a revised sum,

references to a debt due under Article 75 of the 1995 Order include a contingent debt under that Article, and

references to the amount of such a debt include the amount of such a contingent debt.

the applicant would not be, for the purposes of paragraph (3)(a) of Article 34, a party to an act or a deliberate failure to act falling within paragraph (5)(a) of that Article,

it would not be reasonable to impose any liability on the applicant under a contribution notice issued under Article 34, or

such requirements of that Article as may be prescribed would not be satisfied in relation to the applicant.

may request further information from the applicant;

may invite the applicant to amend the application to modify the circumstances described.

determine whether to issue the clearance statement, and

where it determines to do so, issue the statement.

the circumstances in relation to which the exercise of the power under that Article arises are not the same as the circumstances described in the application, and

the difference in those circumstances is material to the exercise of the power.

a money purchase scheme, or

a prescribed scheme or a scheme of a prescribed description.

is a service company, or

is insufficiently resourced,

that financial support for the scheme is put in place within the period specified in the direction,

that thereafter that financial support or other financial support remains in place while the scheme is in existence, and

that the Regulator is notified in writing of prescribed events in respect of the financial support as soon as reasonably practicable after the event occurs.

the person is at the relevant time a person falling within paragraph (6), and

the Regulator is of the opinion that it is reasonable to impose the requirements of the direction on that person.

the employer in relation to the scheme,

a person, other than an individual, who is connected with or an associate of the employer.

the relationship which the person has or has had with the employer (including, where the employer is a company within the meaning of paragraph (11) of Article 4 of the Insolvency Order, whether the person has or has had control of the employer within the meaning of paragraph (10) of that Article),

in the case of a person falling within paragraph (6)(b) or (c), the value of any benefits received directly or indirectly by that person from the employer,

any connection or involvement which the person has or has had with the scheme,

the financial circumstances of the person, and

such other matters as may be prescribed.

the Regulator is of the opinion by reference to any time that the conditions in Article 39 for issuing a financial support direction are met in relation to a scheme (“the initial scheme”) in relation to which that Article applies (or, but for any transfer falling within sub-paragraph (b), would be met), and

the accrued rights of at least two persons who were members of the initial scheme are transferred at any subsequent time to one or more work-based pension schemes.

to which the accrued rights of at least two persons who were members of the initial scheme have been transferred, and

of which any of those persons are members at that time.

“work-based pension scheme” has the meaning given by Article 4(3);

any reference to rights which have accrued is to be read in accordance with Article 67A(6) and (7) of the 1995 Order (reading any reference in those paragraphs to a subsisting right as a reference to a right which has accrued).

is wound up as a result of any transfer falling within paragraph (1)(b) of that Article, or

otherwise ceases to exist at the time of the transfer or at any subsequent time.

the reference to a scheme to which Article 39 applies is a reference to a scheme which was such a scheme before the transfer;

the reference to any conditions in Article 39 being met is a reference to any conditions in that Article that, but for the transfer, would have been met in relation to the scheme.

the making of any payment at any time to or for the benefit of the scheme or other arrangement,

the transfer of any asset at any time to or for the benefit of the scheme or other arrangement,

the discharge (wholly or partly) at any time of any liability incurred by or on behalf of the scheme or other arrangement, or

the incurring at any time of any obligation to do any act falling within sub-paragraphs (a) to (c).

make provision having effect in relation to any case where rights are transferred or extinguished on or after the date on which the Department publishes a statement of the intention to make the regulations; and

without prejudice to Article 287(3), make consequential provision applying with modifications any provision of this Order which relates to financial support directions under Article 39.

E is a company F35as defined in section 1(1) of the Companies Act 2006,

E is a member of a group of companies, and

E's turnover, as shown in the latest available F36individual accounts for E prepared in accordance with F37Part 15 of that Act, is solely or principally derived from amounts charged for the provision of the services of employees of E to other members of that group.

at that time the value of the resources of the employer is less than the amount which is a prescribed percentage of the estimated Article 75 debt in relation to the scheme, and

condition A or B is met.

there is at that time a person who falls within Article 39(6)(b) or (c), and

the aggregate value at that time of the resources of the persons who fall within sub-paragraph (a) (or any of them) is not less than the relevant deficit.

what constitutes the resources of a person is to be determined in accordance with regulations, and

the value of a person's resources is to be determined, calculated and verified in a prescribed manner.

paragraph (2) of that Article applied, and

the time designated by the trustees or managers of the scheme for the purposes of that paragraph were the relevant time.

an arrangement whereby, at any time when the employer is a member of a group of companies, all the members of the group are jointly and severally liable for the whole or part of the employer's pension liabilities in relation to the scheme;

an arrangement whereby, at any time when the employer is a member of a group of companies, a company (F42within the meaning of section 1159 of the Companies Act 2006) which meets prescribed requirements and is the holding company of the group is liable for the whole or part of the employer's pension liabilities in relation to the scheme;

an arrangement which meets prescribed requirements and whereby additional financial resources are provided to the scheme;

such other arrangements as may be prescribed.

the liabilities for any amounts payable by or on behalf of the employer towards the scheme (whether on his own account or otherwise) in accordance with a schedule of contributions under Article 206, and

the liabilities for any debt which is or may become due to the trustees or managers of the scheme from the employer whether by virtue of Article 75 of the 1995 Order (deficiencies in the scheme assets) or otherwise.

the employer in relation to the scheme would not be a service company for the purposes of Article 39,

the employer in relation to the scheme would not be insufficiently resourced for the purposes of that Article, or

it would not be reasonable to impose the requirements of a financial support direction, in relation to the scheme, on the applicant.

may request further information from the applicant;

may invite the applicant to amend the application to modify the circumstances described.

determine whether to issue the clearance statement, and

where it determines to do so, issue the statement.

the circumstances in relation to which the exercise of the power under that Article arises are not the same as the circumstances described in the application, and

the difference in those circumstances is material to the exercise of the power.

whether the person has taken reasonable steps to secure compliance with the financial support direction,

the relationship which the person has or has had with the employer (including, where the employer is a company within the meaning of paragraph (11) of Article 4 of the Insolvency Order, whether the person has or has had control of the employer within the meaning of paragraph (10) of that Article),

in the case of a person to whom the financial support direction was issued as a person falling within Article 39(6)(b) or (c), the value of any benefits received directly or indirectly by that person from the employer,

the relationship which the person has or has had with the parties to any arrangements put in place in accordance with the direction (including, where any of those parties is a company within the meaning of paragraph (11) of Article 4 of the Insolvency Order, whether the person has or has had control of that company within the meaning of paragraph (10) of that Article),

any connection or involvement which the person has or has had with the scheme,

the financial circumstances of the person, and

such other matters as may be prescribed.

in a case where, at the time of non-compliance, a debt was due from the employer to the trustees or managers of the scheme under Article 75 of the 1995 Order (deficiencies in the scheme assets), the amount which the Regulator estimates to be the amount of that debt at that time, and

in the case of non-compliance with sub-paragraph (a) of paragraph (3) of Article 39 (financial support directions), the time immediately after the expiry of the period specified in the financial support direction for putting in place the financial support,

in the case of non-compliance with sub-paragraph (b) of that paragraph, the time when financial support for the scheme ceased to be in place,

in the case of non-compliance with sub-paragraph (c) of that paragraph, the time when the prescribed event occurred in relation to which there was the failure to notify the Regulator, or

where more than one of sub-paragraphs (a) to (c) apply, whichever of the times specified in the applicable sub-paragraphs the Regulator determines.

contain a statement of the matters which it is asserted constitute the non-compliance with the financial support direction in respect of which the notice is issued, and

specify the sum which the person is stated to be under a liability to pay.

is issued in respect of the same non-compliance with the financial support direction as the non-compliance in respect of which P's contribution notice is issued,

specifies the same sum as is specified in P's contribution notice, and

specifies that the person to whom the contribution notice is issued is jointly and severally liable with P, or with P and other persons, for the debt in respect of that sum.

to the trustees or managers of the scheme in respect of any debt due to them by virtue of the contribution notice, or

to the Board in respect of any debt due to it by virtue of the contribution notice (where it has assumed responsibility for the scheme in accordance with Chapter 3 of Part III (pension protection)),

reduce the amount of the sum specified in P's contribution notice by an amount which it considers reasonable, and

issue a revised contribution notice specifying the revised sum.

the amount paid in respect of the debt due under Article 75 of the 1995 Order since the contribution notice was issued,

any amounts paid in respect of the debt due by virtue of that contribution notice,

whether contribution notices have been issued to other persons in respect of the same non-compliance with the financial support direction in question as the non-compliance in respect of which P's contribution notice was issued,

where such contribution notices have been issued, the sums specified in each of those notices and any amounts paid in respect of the debt due by virtue of those notices,

whether P's contribution notice specifies that P is jointly and severally liable for the debt with other persons, and

such other matters as may be prescribed.

P's contribution notice specifies that P is jointly and severally liable for the debt with other persons, and

a revised contribution notice is issued to P under paragraph (9) specifying a revised sum,

references to a debt due under Article 75 of the 1995 Order include a contingent debt under that Article, and

references to the amount of such a debt include the amount of such a contingent debt.

Article 7 of the Insolvency Order (connected persons) applies as it applies for the purposes of any provision of Parts II to VII of that Order, and

Article 4 of that Order (associated persons) applies as it applies for the purposes of that Order.

he is one of the trustees or managers or appropriate persons who entered into the transaction as mentioned in paragraph (6) of Article 48, or

Article 7 of the Insolvency Order (connected persons) applies as it applies for the purposes of any provision of Parts II to VII of that Order, and

Article 4 of that Order (associated persons) applies as it applies for the purposes of that Order.

money, goods, things in action, land and every description of property wherever situated, and

obligations and every description of interest, whether present or future or vested or contingent, arising out of, or incidental to, property.

a restoration order is made under Article 48 in respect of a transaction involving assets of a scheme ( “the transaction”), and

a person fails to comply with an obligation imposed on him by the order which is not an obligation to transfer or pay a sum of money.

to the trustees or managers of the scheme, or

where the Board has assumed responsibility for the scheme in accordance with Chapter 3 of Part III (pension protection), to the Board.

contain a statement of the matters which it is asserted constitute the failure to comply with the restoration order under Article 48 in respect of which the notice is issued, and

specify the sum which the person is stated to be under a liability to pay.

a partnership or a partner in a partnership;

a limited liability partnership or a member of such a partnership.

Article 7 of the Insolvency Order (connected persons),

Article 4 of that Order (associated persons), and

F55section 1159 of the Companies Act 2006 (meaning of “subsidiary” and “holding company” etc.).

“partnership” includes a firm or entity of a similar character formed under the law of a country or territory outside the United Kingdom, and

references to a partner are to be construed accordingly.

a limited liability partnership registered under the Limited Liability Partnerships Act 2000, or

an entity which is of a similar character to such a limited liability partnership and which is formed under the law of a country or territory outside the United Kingdom,

Article 2(5) (power to extend the meaning of “employer”), and

Article 280 (power to modify this Order in relation to certain categories of schemes).

the debtor is the employer in relation to an occupational pension scheme, and

condition A or condition B is met in relation to the scheme.

has been adjudged bankrupt,

is a body corporate which is being wound up or is in administration, or

is a partnership which is being wound up or is in administration,

a trustee or member of the scheme, or

the Board.

make provision with respect to the disclosure of information obtained by virtue of the regulations.

information recorded in the register, and

the operation of the Regulator's functions in relation to the register.

the form in which, and

the times at which,

a registrable scheme is established, or

an occupational or personal pension scheme otherwise becomes a registrable scheme.

notify the Regulator that the scheme is a registrable scheme, and

provide to the Regulator all the registrable information with respect to the scheme.

the date on which the scheme is established, or

if later, the date on which it becomes a registrable scheme.

of that fact, and

of the new registrable information.

ceases to be a registrable scheme, or

is wound up (otherwise than under Article 145(2) (effect of Board assuming responsibility for scheme)),

must issue the first scheme return notice in accordance with paragraph (3), and

must issue subsequent scheme return notices in accordance with paragraph (4).

if the trustees or managers have complied with sub-paragraph (b) of Article 57(2), must fall after the end of the period of one year beginning with the date on which they provided the information required by that sub-paragraph to the Regulator.

within the period of three years, but

after the end of the period of one year,

the principal office used by it for the carrying out of its functions, and

such other offices (if any) of the Regulator or of the Department as the Regulator considers to be places where it would be reasonable for a copy of the register to be kept open for inspection.

to state whether a particular person identified in the request is a person appearing in the prohibition register as prohibited in respect of an occupational trust scheme specified in the request,

to state whether a particular person so identified is a person appearing in that register as prohibited in respect of a particular description of occupational trust schemes so specified, or

to state whether a particular person so identified is a person appearing in that register as prohibited in respect of all occupational trust schemes,

contains all the information described in paragraph (4),

arranges that information in the manner described in paragraph (5),

does not (except by identifying a person as prohibited in respect of all occupational trust schemes, in respect of a particular description of such schemes or in respect of a particular such scheme) identify any of the schemes in respect of which persons named in the summary are prohibited, and

does not disclose any other information contained in the register.

the full names and titles, so far as the Regulator has a record of them, of all the persons appearing in the register as persons who are prohibited,

the dates of birth of such of those persons as are persons whose dates of birth are matters of which the Regulator has a record, and

is the subject of any pending reference, review, appeal or legal proceedings which could result in that person's removal from the register, or

is a determination which might still become the subject of any such reference, review, appeal or proceedings.

is the subject of any pending reference, review, appeal or legal proceedings which could result in such a revocation or other overturning of a prohibition of that person as would require his particulars to appear in a different list, or

is a determination which might still become the subject of any such reference, review, appeal or proceedings.

the time for the making of an application for a review or reference, or for the bringing of an appeal or other proceedings, has not expired, and

there is a reasonable likelihood that such an application might yet be made, or that such an appeal or such proceedings might yet be brought.

a prescribed event in respect of an eligible scheme, or

a prescribed event in respect of the employer in relation to an eligible scheme.

must be in writing, and

subject to paragraph (5), must be given as soon as reasonably practicable after the person giving it becomes aware of the notifiable event.

a trustee or manager of an occupational or personal pension scheme;

a person who is otherwise involved in the administration of such a scheme;

the employer in relation to an occupational pension scheme;

a professional adviser in relation to such a scheme;

a person who is otherwise involved in advising the trustees or managers of an occupational or personal pension scheme in relation to the scheme.

a duty which is relevant to the administration of the scheme in question, and is imposed by or by virtue of a statutory provision or rule of law, has not been or is not being complied with, and

the failure to comply is likely to be of material significance to the Regulator in the exercise of any of its functions,

the trustees or managers of a work-based pension scheme,

any employer in relation to such a scheme, or

any person who is otherwise involved in the administration of such a scheme,

nominated or approved by the Regulator, and

appearing to the Regulator to have the skills necessary to make a report on the matter or matters concerned.

in a specified form;

before a specified date.

of a description specified in the notice, and

relevant to the exercise of the Regulator's functions.

to furnish the Regulator with an explanation of any document or information required under paragraph (1);

to attend before the Regulator at such time and place as may be specified in the notice under that paragraph to furnish any such explanation.

a trustee or manager of an occupational or personal pension scheme,

a professional adviser in relation to an occupational pension scheme,

any other person appearing to the Regulator to be a person who holds, or is likely to hold, information relevant to the exercise of the Regulator's functions.

any provision of, or of regulations under, Chapter 1 of Part 1, or section 50 or 54, of the Pensions (No. 2) Act (Northern Ireland) 2008, or

any corresponding provision in force in Great Britain,

the employer employs workers there,

the administration of the employer's business, or work connected with that administration, is being carried out there.

Article 5 of the 1999 Order (duty of employers to facilitate access to stakeholder pension schemes), or

any corresponding provision in force in Great Britain,

employees of the employer are employed there,

documents relevant to the administration of the employer's business are being kept there, or

the administration of the employer's business, or work connected with that administration, is being carried out there.

regulations made by virtue of Articles 237 and 238 (consultation by employers),

section 107A of the Pension Schemes Act (monitoring of employers' payments to personal pension schemes), or

any corresponding provision in force in Great Britain,

employees of the employer are employed there,

may make such examination and inquiry as may be necessary for the purpose for which he entered the premises,

may require any person on the premises to produce, or secure the production of, any document relevant to compliance with the regulatory provisions for his inspection,

may take copies of any such document,

may take possession of any document appearing to be a document relevant to compliance with the regulatory provisions or take in relation to any such document any other steps which appear necessary for preserving it or preventing interference with it,

may, as to any matter relevant to compliance with the regulatory provisions, examine, or require to be examined, either alone or in the presence of another person, any person on the premises whom he has reasonable cause to believe to be able to give information relevant to that matter.

anything is being or has been done or omitted which might by virtue of any of the regulatory provisions give rise to a liability for a civil penalty under or by virtue of Article 10 of the 1995 Order or section 164(4) of the Pension Schemes Act (or under or by virtue of any provision in force in Great Britain corresponding to either of them), or

an offence is being or has been committed under any of the regulatory provisions,

if the document is relevant to proceedings against any person for any offence which are commenced before the end of the retention period, until the conclusion of those proceedings, and

otherwise, until the end of the retention period.

the period of 12 months beginning with the date on which possession was taken of the document, and

any extension of that period under paragraph (8).

intentionally delays or obstructs an inspector exercising any power under Article 68, 69 or 70,

neglects or refuses to produce, or secure the production of, any document when required to do so under Article 70, or

neglects or refuses to answer a question or to provide information when so required,

on summary conviction, to a fine not exceeding the statutory maximum;

on conviction on indictment, to a fine or imprisonment for a term not exceeding two years, or both.