Section 36 — Pensions Act 2008: Third party compliance notices

Third party compliance notices 36 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.