Part X Investigations: the Pensions Ombudsman

I1148 Staying court proceedings where a complaint is made or a dispute is referred.

1

This section applies where—

a

a complaint has been made or a dispute referred to the Pensions Ombudsman; and

b

any party to the investigation subsequently commences any legal proceedings in any court against any other party to the investigation in respect of any of the matters which are the subject of the complaint or dispute.

2

In England and Wales, where this section applies any party to the legal proceedings may at any time after acknowledgement of service, and before delivering any pleadings or taking any other step in the proceedings, apply to that court to stay the proceedings.

3

In Scotland, where this section applies any party to the legal proceedings may—

a

if the proceedings are in the Court of Session, at any time—

i

after appearance has been entered but before defences have been lodged or any other step in the proceedings has been taken; or

ii

(in procedure by petition) after intimation and service but before answers have been lodged or any other step in the proceedings has been taken; and

b

if the proceedings are in the sheriff court, at any time—

i

after notice has been given of intention to defend but before defences have been lodged or any other step in the proceedings has been taken; or

ii

(in summary cause procedure) after appearance has been made, or notice of intention to appear has been lodged, but before any defence has been stated or any other step in the proceedings has been taken,

apply to the court for a sist of process.

4

On an application under subsection (2) or (3) the court may make an order staying or, in Scotland, sisting the proceedings if it is satisfied—

a

that there is no sufficient reason why the matter should not be investigated by the Pensions Ombudsman; and

b

that the applicant was at the time when the legal proceedings were commenced and still remains ready and willing to do all things necessary to the proper conduct of the investigation.

5

For the purposes of this section the parties to an investigation are—

F1a

the person by whom, or on whose behalf, the complaint or reference has been made,

F1b

any person responsible for the management of the scheme to which the complaint or reference relates

F2ba

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F3bb

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

c

any person against whom allegations are made in the complaint or reference; and

d

any person claiming under a person falling within paragraphs (a) to (c).