C1Part 1Pension scheme membership for jobholders
Chapter 2Compliance
Compliance notices and unpaid contributions notices
36Third party compliance notices
1
The Regulator may issue a third party compliance notice if it is of the opinion that—
a
a person has contravened one or more of the employer duty provisions,
b
the contravention is or was, wholly or partly, a result of a failure of another person (the “third party”) to do any thing, and
c
that failure is not itself a contravention of any of the employer duty provisions.
2
A third party compliance notice is a notice directing the third party to take, or refrain from taking, the steps specified in the notice in order to remedy or prevent a recurrence of the failure.
3
A third party notice may, in particular—
a
state the period within which any step must be taken or must cease to be taken;
b
require the third party to inform the Regulator, within a specified period, how the third party has complied or is complying with the notice;
c
state that, if the third party fails to comply with the requirements of the notice, the Regulator may issue a fixed penalty notice under section 40.
4
A third party notice may give the third party a choice between different ways of remedying or preventing the recurrence of the third party's failure.
Pt. 1 applied (with modifications) (temp. 1.7.2012 to 30.6.2020) by The Automatic Enrolment (Offshore Employment) Order 2012 (S.I. 2012/1388), art. 2 (with saving in art. 5)