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Number of disclosures 2017-18

We received 3,648 disclosures during the reporting period of 1 April 2017 to 31 March 2018 which fell within the remit of our statutory functions and objectives.

Number of disclosures and summary of actions

We took further action in relation to 809 of the 3,648 qualifying disclosures, with the majority of action taken as a result of disclosures reporting a suspected breach of, or failure to undertake, automatic enrolment duties or pay contributions.

In 123 of the instances where we took further action, we issued a Warning Notice or Unpaid Contribution Notice, Fixed Penalty Notice, Escalating Penalty Notice or Compliance Notice. Other actions we took as a result of disclosures included appointing new trustees, referrals to professional bodies, and supporting schemes to establish robust data improvement plans. Go to enforcement activity for more information on our work in this area.

The action we take is consistent with the principles set out in the Regulator’s Code. We are a risk-based regulator that must carry out our activities in a way which is proportionate, accountable, consistent, transparent and targeted. In this context, whistleblowing disclosures help us to inform our intelligence and enforcement action and take action where we see it as appropriate.

In instances where we didn’t undertake enforcement action due to a disclosure not meeting the qualifying criteria, the information gathered was used to inform our intelligence work, such as our strategic intelligence assessments or compliance validation work.

How disclosures impact on our objectives

All actions taken, either as a result of a disclosure or informed by a disclosure, contribute towards the achievement of our objectives.

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