{
  "url": "https://openlegislation.uk/pensions-act-2004/section-238G",
  "json_url": "https://openlegislation.uk/pensions-act-2004/section-238G.json",
  "legislation": "ukpga/2004/35",
  "legislation_title": "Pensions Act 2004",
  "legislation_url": "https://openlegislation.uk/pensions-act-2004",
  "path": "section/238G",
  "kind": "section",
  "number": "238G",
  "heading": "Compliance",
  "text": "(1) Regulations may make provision with a view to securing that the trustees or managers of a relevant occupational pension scheme comply with a provision of regulations under section 238D.\n(2) The regulations may, among other things—\n(a) provide for the Regulator to issue a notice (a “compliance notice”) to a person with a view to ensuring the person's compliance with a provision of regulations under section 238D;\n(b) provide for the Regulator to issue a notice (a “third party compliance notice”) to a person with a view to ensuring another person's compliance with a provision of the regulations;\n(c) provide for the Regulator to issue a notice (a “penalty notice”) imposing a penalty on a person where the Regulator is of the opinion that the person—\n(i) has failed to comply with a compliance notice or third party compliance notice, or\n(ii) has contravened a provision of regulations under section 238D;\n(d) provide for the making of a reference to the First-tier Tribunal or Upper Tribunal in respect of the issue of a penalty notice or the amount of a penalty;\n(e) confer other functions on the Regulator.\n(3) The regulations may make provision for determining the amount, or the maximum amount, of a penalty in respect of a failure or contravention.\n(4) But the amount of a penalty imposed under the regulations in respect of a failure or contravention must not exceed—\n(a) £5,000, in the case of an individual, and\n(b) £50,000, in any other case.\n(5) In this section “relevant occupational pension scheme” has the meaning given by section 238F.",
  "extent": null,
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "F",
      "label": "F1",
      "text": "Ss. 238D-238G inserted (11.2.2021 for specified purposes, 14.10.2022 in so far as not already in force) by Pension Schemes Act 2021 (c. 1), ss. 119(2), 131(1)(3)(a); S.I. 2022/1044, reg. 2(b)"
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/ukpga/2004/35/section/238G",
    "retrieved_at": "2026-10-28T17:07:44.200988+00:00",
    "licence": "OGL-UK-3.0",
    "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."
  }
}