{
  "url": "https://openlegislation.uk/pensions-act-2014/schedule-18/paragraph-3",
  "json_url": "https://openlegislation.uk/pensions-act-2014/schedule-18/paragraph-3.json",
  "legislation": "ukpga/2014/19",
  "legislation_title": "Pensions Act 2014",
  "legislation_url": "https://openlegislation.uk/pensions-act-2014",
  "path": "schedule/18/paragraph/3",
  "kind": "paragraph",
  "number": "3",
  "heading": null,
  "text": "(1) The Secretary of State may by regulations make provision with a view to ensuring compliance with a provision of regulations under paragraph 1 or 2.\n(2) The regulations may in particular—\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 paragraph 1 or 2;\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 regulations under paragraph 1 or 2;\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 has failed to comply with a compliance notice or third party compliance notice or has contravened a provision of regulations under paragraph 1 or 2;\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.",
  "extent": null,
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "I",
      "label": "I1",
      "text": "Sch. 18 para. 3 in force at 11.9.2014 by S.I. 2014/2377, art. 2(1)(a)(i)(2)(k)"
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/ukpga/2014/19/schedule/18/paragraph/3",
    "retrieved_at": "2026-10-29T09:07:37.828516+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."
}