The Occupational Pension Schemes (Winding Up Notices and Reports, etc.) Regulations (Northern Ireland) 2002

Directions by the Authority for facilitating winding up

13.—(1) For the purposes of Article 72B(2)(c)(iii) (by virtue of which the Authority may give directions during the winding up of a scheme if they consider that it is being obstructed or unreasonably delayed by the failure of any person to provide information to a person of a prescribed description), the persons in paragraph (2) are prescribed.

(2) The prescribed persons are—

(a) any person who has exercised or is exercising functions in relation to the scheme by or under an enactment;

(b) any person acting as the custodian of any investments on behalf of the trustees or managers of the scheme;

(c) any person holding—

(i) documents relating to the payroll for pensions payable under the scheme or their payment;

(ii) payroll records relating to employment to which the scheme relates;

(iii) personnel pension records in respect of those who are or have been in such employment, or

(iv) other information relating to the past or present membership of the scheme;

(d) any person holding, or involved in the production or issue of, scheme documentation, announcements or written materials;

(e) any person who is obliged under a contract with a person falling within any of sub-paragraphs (a) to (d) to carry out on his behalf any function by virtue of the performance of which the other person falls or would fall within the sub-paragraph in question, and

(f) any person appearing to the Authority to hold information or documents relating to the functioning of the scheme.

(3) For the purposes of Article 72B(3) (under which, except in prescribed circumstances, the Authority’s power to give directions under Article 72B is limited to cases where periodic reports are required to be made under Article 72A and the first report has been made or is due), the circumstances in paragraph (4) are prescribed.

(4) The prescribed circumstances are that—

(a) the trustees or managers of the scheme have applied for the Authority to give directions under Article 72B;

(b) the circumstances of the scheme are such that its winding up is unlikely to be completed within a reasonable period unless the Authority give such directions, or

(c) the winding up began before 1st April 2006.

(5) For the purposes of Article 72B(5)(c) (by virtue of which a direction under Article 72B may impose a requirement on a person of a prescribed description), any person formerly involved in the administration of the scheme is prescribed.

(6) For the purposes of Article 72B(6)(c) (by virtue of which a direction under Article 72B may impose a requirement to provide information to a person of a prescribed description), any person exercising functions in relation to the scheme by or under an enactment is prescribed.

(7) An application under Article 72B(7) for the extension (or further extension) of a period within which steps required by a direction under Article 72B are to be taken shall be made in writing no later than 2 months before the date on which, apart from any extension (or further extension) as a result of the application, the period would end.