On this page
- Automatic enrolment compliance and enforcement
- Defined benefit schemes
- Defined contribution schemes
- FCA and TPR joint strategy
- Master trust schemes
- Public service pension schemes
- Professional trustee description
- Prosecution and penalties
Automatic enrolment compliance and enforcement
Automatic enrolment compliance and enforcement strategy (PDF, 152kb, 27 pages)
Provides a framework for our regulatory approach, and explains the various options available to us to maximise employer compliance.
Compliance and enforcement policy (PDF, 1099kb, 62 pages)
Explains our approach to minimising non-compliance with the duties and safeguards, and associated legislation.
If employers fail to comply, we have various powers available to us, such as issuing a compliance or penalty notice. Employers can ask for a review of these notices.
For more information go to appealing an enforcement notice.
Defined benefit schemes
Defined benefit regulatory strategy (PDF, 163kb, 13 pages)
Sets out our approach to regulating trust-based defined benefit (DB) occupational pension schemes.
Defined benefit funding regulatory and enforcement policy (PDF, 319kb, 34 pages)
Our approach to regulating the statutory funding requirements as set out by, and under, Part 3 of the Pensions Act 2004 for trust-based DB occupational pension schemes.
Defined contribution schemes
DC compliance and enforcement policy (PDF, 140kb, 20 pages)
In relation to occupational defined contribution trust-based pension schemes.
FCA and TPR joint strategy
FCA and TPR: joint regulatory strategy (PDF, 945kb, 25 pages)
Our joint regulatory strategy for the pensions and retirement income sector.
Master trust schemes
Master trust supervision and enforcement policy (PDF, 224kb, 23 pages)
Sets out our supervision and enforcement approach for master trusts once they are authorised.
Public service pension schemes
Public service pension schemes regulatory strategy (PDF, 103kb, 13 pages)
Regulating governance and administration in public service pension schemes.
Public service pension schemes compliance and enforcement policy (PDF, 136kb, 23 pages)
Describes our expectations for compliance with relevant legal requirements and how we will proceed in cases of non-compliance, including when we may use our enforcement powers.
Professional trustee description
Professional trustee description policy (PDF, 42kb, 8 pages)
Sets out our description of a professional trustee.