FOI reference - FOI-243
Date - 8 April 2024
Request
- How many third party applications has the Regulator received for the appointment of a trustee under section 7(3)(a) of the Pensions Act 1995 in the past twelve months?
- How many of such applications have proceeded to the issue of a warning notice?
- How many warning notices have been issued generally in the past twelve months?
- What is the average time that it takes the Regulator to determine regarding any such application whether or not a warning notice should be issued?
- Does the Regulator contact any directly affected parties for any reason whatsoever before determining whether or not a warning notice should be issued?
- Does the Regulator keep an applicant fully advised of the position during the determination process?
- What can an applicant do if it does not receive any update or response from The Pensions Regulator (TPR) Complaints and/or Customer Relations within the time period specified in an automated acknowledgement?
- What is the appeal procedure regarding a refusal by the Regulator to issue a warning notice?
Response
I confirm that we hold the information you have requested.
- TPR has received one third-party application for the appointment of a trustee under section 7(3)(a) of the Pensions Act 1995 in the past twelve months.
- None.
- 310 warning notices have been issued generally since 1 April 2023.
- Not applicable as we have not proceeded to the issue of a warning notice following receipt of third-party application for the appointment of a trustee under section 7(3)(a) of the Pensions Act 1995 in the past twelve months.
- All directly affected parties will have an opportunity to participate in the process after the warning notice is issued. Directly affected parties may be contacted in advance of the warning notice being issued if, for example, further information is required for possible inclusion in the warning notice. The extent to which this would occur is case specific.
- The TPR website has pages outlining our Case Team procedure and our Determinations Panel procedure.
- When you submit a complaint to our Complaints department, we aim to handle it promptly and respond as soon as possible adhering to our subject-level agreements. We send an acknowledgement with the response deadline and the response. If you do not receive a response from the TPR Complaints team within the time frame mentioned in the initial acknowledgement, we would recommend you follow up with the TPR Complaints team directly by contacting the mailbox again to inquire about the status of the complaint. You can find out more about our complaints procedure on our website.
- There is no established route of appeal as such, though if further evidence becomes available a party can provide this to TPR and request that the decision is reconsidered. Alternatively, a party can submit a complaint about us using our website or potentially seek to judicially review a decision of a public body.