Regulatory and enforcement policies

Automatic enrolment compliance and enforcement

How we maximise employer compliance with their automatic enrolment duties, including our enforcement options.

Pensions dashboards compliance and enforcement policy

Our policy for compliance and enforcement of governing body duties under the pensions dashboards regulations.

Scheme management enforcement policy

Our approach to enforcement relating to defined benefit, defined contribution, mixed benefit and public service pension schemes.

Master trust supervision and enforcement policy

Sets out our supervision and enforcement approach for master trusts once we have authorised a scheme.

CDC schemes supervision and enforcement policy

Sets out our supervision and enforcement approach for collective defined contribution (CDC) schemes once we have authorised them.

Monetary penalties policy

How we use our powers to impose monetary penalties under pensions legislation.

High fines policy: avoidance

Our approach to avoidance, dealing with avoidance-type penalties and failure to pay a contribution notice issued under section 38 of the Pensions Act 2004.

High fines policy: information requirements

Our approach to information requirements and dealing with penalties for notifiable events breaches and providing false and misleading information.

Prosecution policy

How we will approach the prosecution of workplace pension criminal offences and other types of related offences.

Criminal offences policy sections 58A and 58B of the Pensions Act 2004

Our approach to the investigation and prosecution of the criminal offences of avoidance of employer debt and conduct risking accrued scheme benefits.

Enforcement procedures

The procedures that our case teams, the Determinations Panel and our staff follow when using our powers.

How we publish information about cases

Our approach to publishing information about regulatory and enforcement decisions under section 89 of the Pensions Act 2004.