# The Occupational Pension Schemes (Scheme Administration) Regulations 1996, Regulation 41: Penalty notices: recovery of penalty from bodies corporate and Scottish partnerships


(1) This regulation applies where—
(a) a penalty under regulation 39 is recoverable from a body corporate or a Scottish partnership by reason of any act or omission of the body or partnership, and
(b) the act or omission was done with the consent or connivance of, or is attributable to any neglect on the part of, any specified person.
(2) Where this regulation applies, the Regulator may impose a penalty on each specified person who has consented to or connived in the act or omission, or to whose neglect the act or omission was attributable.
(3) In this regulation “specified person”—
(a) in relation to a body corporate, means—
(i) a director, manager, secretary or other similar officer of the body, or a person purporting to act in any such capacity, or
(ii) where the affairs of the body are managed by its members, a member who has management functions;
(b) in relation to a Scottish partnership, means a partner of the partnership.
(4) If the Regulator imposes a penalty on one or more specified persons, the Regulator—
(a) may not also impose a penalty on the body corporate or Scottish partnership (as the case may be) in respect of the same act or omission, and
(b) must issue the penalty notice to each specified person on whom a penalty is imposed.
(5) The Regulator may notify the relevant body corporate or Scottish partnership of the Regulator’s decision under this regulation to impose a penalty on one or more specified persons.

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Source: https://www.legislation.gov.uk/uksi/1996/1715/regulation/41 (the official version)
Page: https://openlegislation.uk/occupational-pension-schemes-scheme-administration-regulations-1996/regulation-41
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.