{
  "url": "https://openlegislation.uk/occupational-pension-schemes-scheme-administration-regulations-1996/regulation-39",
  "json_url": "https://openlegislation.uk/occupational-pension-schemes-scheme-administration-regulations-1996/regulation-39.json",
  "legislation": "uksi/1996/1715",
  "legislation_title": "The Occupational Pension Schemes (Scheme Administration) Regulations 1996",
  "legislation_url": "https://openlegislation.uk/occupational-pension-schemes-scheme-administration-regulations-1996",
  "path": "regulation/39",
  "kind": "regulation",
  "number": "39",
  "heading": "Penalty notices",
  "text": "(1) The Regulator may issue a penalty notice imposing a penalty on a person where the Regulator is of the opinion that the person—\n(a) has failed to comply with a compliance notice,\n(b) has failed to comply with a third party compliance notice, or\n(c) has contravened a listed provision.\n(2) The Regulator may determine the amount of the penalty to be imposed on a person.\n(3) But the amount of the penalty imposed on a person must not—\n(a) if the person is an individual, exceed £5,000;\n(b) in any other case, exceed £50,000.\n(4) A penalty notice must—\n(a) if it is issued to the trustees of a trust scheme, be issued to all the trustees of the scheme and specify their joint and several liability for the penalty;\n(b) state the Regulator’s decision to impose a penalty;\n(c) state the reasons for that decision including—\n(i) if the notice is issued under paragraph (1)(a) or (b), the failure to which the notice relates;\n(ii) if the notice is issued under paragraph (1)(c), the provision which has been contravened;\n(d) state the amount of the penalty;\n(e) state the date by which the penalty must be paid;\n(f) state the period (if any) to which the penalty relates;\n(g) notify the person to whom the notice is issued of the right to a review under regulation 43 and the right of referral under regulation 44.\n(5) The date specified under paragraph (4)(e) must be at least four weeks after the date on which the notice is issued.\n(6) See also regulation 41 (recovery of penalty from bodies corporate and Scottish partnerships).",
  "extent": null,
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "F",
      "label": "F1",
      "text": "Pt. 6 inserted (1.10.2022) by The Occupational Pension Schemes (Governance and Registration) (Amendment) Regulations 2022 (S.I. 2022/825), regs. 1(2), 2(2)"
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/uksi/1996/1715/regulation/39",
    "retrieved_at": "2026-10-29T12:39:59.158820+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}