(1)Where the Pensions Ombudsman proposes to conduct an investigation into a complaint made or dispute referred under this Part, he shall give—
(a)[F1any person (other than the person by whom, or on whose behalf, the complaint or reference was made) responsible for the management of the scheme to which the complaint or reference relates], and
(b)any other person against whom allegations are made in the complaint or reference,
an opportunity to comment on any allegations contained in the complaint or reference.
(2)The Department may make rules with respect to the procedure which is to be adopted in connection with the making of complaints, the reference of disputes, and the investigation of complaints made and disputes referred, under this Part.
(3)The rules may include provision—
(a)requiring any oral hearing held in connection with such an investigation to take place in public, except in such cases as may be specified in the rules; F2. . .
(b)as to the persons entitled to appear and be heard on behalf of parties to an investigation, as defined in section 144(4) [F3and].
[F3(c)for the payment by the Pensions Ombudsman of such travelling and other allowances (including compensation for loss of remunerative time) as the Department may determine, to—
(i)actual or potential beneficiaries of a scheme to which a complaint or reference relates, or
(ii)persons appearing and being heard on behalf of such actual or potential beneficiaries, who attend at the request of the Pensions Ombudsman any oral hearing held in connection with an investigation into the complaint or dispute]
(4)Subject to any provision made by the rules, the procedure for conducting such an investigation shall be such as the Pensions Ombudsman considers appropriate in the circumstances of the case; and he may in particular obtain information from such persons and in such manner, and make such inquiries, as he thinks fit.
[F4(5)The Pensions Ombudsman may disclose any information which he obtains for the purposes of an investigation under this Part to any person to whom subsection (6) applies, if the Ombudsman considers that the disclosure would enable or assist that person to discharge any of his functions.
(6)This subsection applies to the following—
(a)the Regulatory Authority,
(b)the Pensions Compensation Board,
(c)the Registrar,
(d)any Northern Ireland department or department of the Government of the United Kingdom,
(e)[F5Financial ServicesAuthority],
(f)the Friendly Societies Commission,
(g)the Building Societies Commission,
(h)an inspector appointed by the Department of Economic Development under Part XV of the Companies (Northern Ireland) Order 1986 F6,
(i)an inspector appointed by the Secretary of State under Part XIV of the Companies Act 1985 F7 or section 94 or 177 of the Financial Services Act 1986 F8,
(j)a person authorised under section 106 of the Financial Services Act 1986 to exercise powers conferred by section 105 of that Act,
(k)a designated agency or transferee body or the competent authority, within the meaning of that Act, and
(l)a recognised self-regulating organisation, recognised professional body, recognised investment exchange or recognised clearing house, within the meaning of that Act.
(7)The Department may by order—
(a)amend subsection (6) by adding any person or removing any person for the time being specified in that subsection, or
(b)restrict the circumstances in which, or impose conditions subject to which, disclosure may be made to any person for the time being specified in that subsection.]
Textual Amendments
F1Words in s. 145(1)(a) substituted (6.4.1997) by S.I. 1995/3213 (NI 22), art. 153(7); S.R. 1997/192, art. 2(b)
F2Word in s. 145(3)(a) omitted (23.7.1996 for certain purposes otherwise 6.4.1997) and repealed (6.4.1997) by S.I. 1995/3213 (NI 22), arts. 1(2), 154(b), 168, Sch. 5 Pt. IV: S.R. 1996/307, art. 2(b), Sch. Pt. II; S.R. 1997/192, art. 2(b)
F3S. 145(3)(c) and the preceding word “and” inserted (23.7.1996 for certain purposes only otherwise 6.4.1997) by S.I. 1995/3213 (NI 22), art. 154(a); S.R. 1996/307, art. 2(b), Sch. Pt. II; S.R. 1997/192, art. 2(b)
F4S. 145(5)-(7) added (6.4.1997) by S.I. 1995/3213 (NI 22), art. 155(1); S.R. 1997/192, art. 2(b)
F5Words in s. 145(6)(e) substituted (1.6.1998) by 1998 c. 11, s. 23, Sch. 5 Pt. IV, Chapter II para. 70(2); S.I. 1998/1120, art. 2