OpenLegislation

Article 10 Civil penaltiesC1C2C3C4C5C6C7C8C9C10C11C12C13C14C15C16C17C18C19C20C21C22C23C24C25C26C27C28C29C30C31C32C33C34C35C36C37C38C39C40C41C42C43C44C45C46C47C48C49C50C51C52C53C54C55C56C57C58C59C60C61

Northern Ireland

Changes not yet applied. Later legislation changes this provision in ways not yet written into the text below:

(1)

Where the Authority are satisfied that by reason of any act or omission this Article applies to any person, they may by notice in writing require him to pay, within a prescribed period, a penalty in respect of that act or omission not exceeding the maximum amount.

(2)

In this Article, “the maximum amount” means—

(a)

£5,000 in the case of an individual and £50,000 in any other case, or

(b)

such lower amount as may be prescribed in the case of an individual or in any other case,

and the Department may by order amend sub-paragraph (a) by substituting higher amounts for the amounts for the time being specified in that sub-paragraph.

(3)

Regulations made by virtue of this Part may provide for any person who has contravened any provision of such regulations to pay, within a prescribed period, a penalty under this Article not exceeding an amount specified in the regulations; and the regulations must specify different amounts in the case of individuals from those specified in other cases and any amount so specified may not exceed the amount for the time being specified in the case of individuals or, as the case may be, others in paragraph (2)(a).

(4)

An order made under paragraph (2) or regulations made by virtue of paragraph (3) do not affect the amount of any penalty recoverable under this Article by reason of an act or omission occurring before the order or, as the case may be, regulations are made.

(5)

Where—

(a)

apart from this paragraph, a penalty under this Article is recoverable from a body corporate by reason of any act or omission of the bodyF1. . . , 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 persons mentioned in paragraph (6),

this Article applies to each of those persons who consented to or connived in the act or omission or to whose neglect the act or omission was attributable.

(6)

The persons referred to in paragraph (5)(b) are—

(a)

any director, manager, secretary, or other similar officer of the body corporate, or a person purporting to act in any such capacity, and

(b)

where the affairs of the body corporate are managed by its members, any member in connection with his functions of management.

(7)

Where the Authority requires any person to pay a penalty by virtue of paragraph (5), they may not also require the body corporate in question to pay a penalty in respect of the same act or omission.

(8)

A penalty under this Article is recoverable by the Authority.

F2(8A)

Any penalty recoverable under this Article shall, if a county court so orders, be enforceable as if it were payable under an order of that court.

(9)

The Authority must pay to the Department any penalty recovered under this Article.

F3(10)

The Authority may not require a person to pay a penalty under this Article in respect of an act or omission if the Authority have issued a notice to the person under Article 83A of the Pensions (Northern Ireland) Order 2005 (financial penalties) in respect of the same act or omission.

Annotations

Textual amendments

F1

2005 NI 1

F2

1999 NI 11

F3

Art. 10(10) inserted (1.10.2021) by Pension Schemes Act 2021 (c. 1), s. 131(2)(b), Sch. 8 para. 15; S.R. 2021/271, art. 2(4)(a)

Modifications

C1

Art. 10 applied (6.4.2007) by Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1)), arts. 1(2), 137(8), 141(8), 210A(7); S.R. 2006/352, art. 2(5), Sch. Pt. 2

C2

Art. 10 power to apply conferred (15.12.2008) by Pensions (No. 2) Act (Northern Ireland) 2008 (c. 13), ss. 59(2), 118(2)(j) (with s. 73)

C3

Art. 10 applied by S.I. 2005/255 (N.I. 1), art. 35A(7) (as inserted (15.12.2008) by Pensions (No. 2) Act (Northern Ireland) 2008 (c. 13), ss. 103, 118(3)(a)(v), Sch. 8 para. 9)

C4

Art. 10 applied by S.I. 2005/255 (N.I. 1), art. 39A(4) (as inserted (15.12.2008) by Pensions (No. 2) Act (Northern Ireland) 2008 (c. 13), ss. 103, 118(3)(a)(v), Sch. 8 para. 10)

C5

Art. 10 applied by 1993 c. 49, s. 20H(5) (as inserted (3.3.2009 for certain purposes otherwise 6.4.2009) by Pensions Act (Northern Ireland) 2008 (c. 1), ss. 12(3), 21(1)(a)); S.R. 2009/75, art. 2

C6

Art. 10 applied (24.7.2014) by The Pensions (2012 Act) (Transitional, Consequential and Supplementary Provisions) Regulations (Northern Ireland) 2014 (S.R. 2014/204), regs. 1(1), 22(12)

C7

Art. 10 applied (24.7.2014) by The Pensions (2012 Act) (Transitional, Consequential and Supplementary Provisions) Regulations (Northern Ireland) 2014 (S.R. 2014/204), regs. 1(1), 45(6)

C8

Art. 10: power to apply conferred (3.3.2015 for specified purposes, 6.4.2015 in so far as not already in operation) by Pension Schemes Act 2015 (c. 8), ss. 52(2)(c), 89(1)(b)(3)(b) (with s. 87)

C9

Art. 10 applied by S.I. 2005/255 (N.I. 1) art. 65A(3) (as inserted (1.4.2015) by Public Service Pensions Act (Northern Ireland) 2014 (c. 2), s. 37(2), Sch. 4 para. 7; S.R. 2015/3, art. 4(1)(b) (with art. 4(2)))

C10

Art. 10 applied (6.4.2015) by Pension Schemes Act 2015 (c. 8), ss. 51(6), 89(3)(b) (with s. 87)

C11

Art. 10 applied (6.4.2015) by The Pension Schemes Act 2015 (Transitional Provisions and Appropriate Independent Advice) Regulations (Northern Ireland) 2015 (S.R. 2015/165), regs. 1(1), 12(7) (with reg. 2)

C12

Art. 10 applied (11.2.2021 for specified purposes, 6.4.2024 in so far as not already in operation) by S.I. 2005/255 (N.I. 1), art. 200B(9) (as inserted by Pension Schemes Act 2021 (c. 1), s. 131(2)(d)(3)(c), Sch. 11 para. 2; S.R. 2024/89, art. 2(b))

C13

Art. 10 applied (11.2.2021 for specified purposes) by Pension Schemes Act 2021 (c. 1), ss. 58(2), 70(4), 71(8), 73(4), 74(5), 78(5), 79(8), 80(11), 84(14), 85(6), 87(9)(10), 88(6), 89(8), 90(5), 92(5), 93(3), 94(5), 96(7), 97(4), 131(2)(a)(3)(a), Sch. 5 paras. 1(8)-(10), 4(5)

C14

Art. 10 applied (10.8.2021 for specified purposes, 16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 25(7), 44(1)(a)(iv) (with transitional provisions in S.R. 2021/234, art. 3); S.R. 2022/110, art. 2(a)(b)

C15

Art. 10 applied (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 32(3), 44(2); S.R. 2022/110, art. 2(a)(b)

C16

Art. 10 power to apply conferred (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 24(9), 44(2); S.R. 2022/110, art. 2(a)(b)

C17

Art. 10 applied (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 30(5), 44(2); S.R. 2022/110, art. 2(a)(b)

C18

Art. 10 applied (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 28(5), 44(2); S.R. 2022/110, art. 2(a)(b)

C19

Art. 10 applied (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), s. 44(2), Sch. 1 para. 4(5); S.R. 2022/110, art. 2(a)(b)

C20

Art. 10 applied (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 26(8), 44(2); S.R. 2022/110, art. 2(a)(b)

C21

Art. 10 applied (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), s. 44(2), Sch. 1 para. 1(8)-(10); S.R. 2022/110, art. 2(a)(b)

C22

Art. 10 applied (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 3(2), 44(2); S.R. 2022/110, art. 2(a)(b)

C23

Art. 10 applied (10.8.2021 for specified purposes, 16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 22(10), 44(1)(a)(iv) (with transitional provisions in S.R. 2021/234, art. 3); S.R. 2022/110, art. 2(a)(b)

C24

Art. 10 applied (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 14(5), 44(2); S.R. 2022/110, art. 2(a)(b)

C25

Art. 10 applied (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 24(8), 44(2); S.R. 2022/110, art. 2(a)(b)

C26

Art. 10 applied (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 23(8), 44(2); S.R. 2022/110, art. 2(a)(b)

C27

Art. 10 applied (10.8.2021 for specified purposes, 16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 33(7), 44(1)(a)(iv) (with transitional provisions in S.R. 2021/234, art. 3); S.R. 2022/110, art. 2(a)(b)

C28

Art. 10 applied (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 15(5), 44(2); S.R. 2022/110, art. 2(a)(b)

C29

Art. 10 applied (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 16(6), 44(2); S.R. 2022/110, art. 2(a)(b)

C30

Art. 10 applied (16.3.2022 for specified purposes, 6.4.2022 in so far as not already in operation) by Pension Schemes Act (Northern Ireland) 2021 (c. 6), ss. 29(4), 44(2); S.R. 2022/110, art. 2(a)(b)

C31

Art. 10 applied (6.4.2022) by The Occupational Pension Schemes (Master Trusts) Regulations (Northern Ireland) 2022 (S.R. 2022/121), reg. 1, Sch. 5 para. 18

C32

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 74(5), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C33

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 71(8), 131(2)(a)(3)(a) (with s. 71(9)); S.R. 2022/197, art. 3(a)

C34

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 78(5), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C35

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 80(11), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C36

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 73(4), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C37

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 58(2), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C38

Art. 10: power to apply conferred (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 87(10), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C39

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 88(6), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C40

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 97(4), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C41

Art. 10 applied (1.8.2022) by The Occupational Pension Schemes (Collective Money Purchase Schemes) Regulations (Northern Ireland) 2022 (S.R. 2022/191), regs. 1, 29, Sch. 6 para. 22

C42

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 92(5), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C43

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 96(7), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C44

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 87(9), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C45

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 90(5), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C46

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), s. 131(1)(3)(a), Sch. 5 para. 1(8)-(10) (with Sch. 5 para. 1(1)); S.R. 2022/197, art. 3(a)

C47

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), s. 131(1)(3)(a), Sch. 5 para. 4(5); S.R. 2022/197, art. 3(a)

C48

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 70(4), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C49

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 93(3), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C50

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 85(6), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C51

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 84(14), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C52

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 94(5), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C53

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 79(8), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C54

Art. 10 applied (11.2.2021 for specified purposes, 1.8.2022 in so far as not already in operation) by Pension Schemes Act 2021 (c. 1), ss. 89(8), 131(2)(a)(3)(a); S.R. 2022/197, art. 3(a)

C55

Art. 10 applied (3.10.2022) by The Occupational Pension Schemes (Master Trusts) (No. 2) Regulations (Northern Ireland) 2022 (S.R. 2022/234), reg. 1, Sch. 5 para. 19

C56

Art. 10 applied (30.1.2023) by The Occupational Pension Schemes (Collective Money Purchase Schemes) Regulations (Northern Ireland) 2023 (S.R. 2023/7), reg. 1, Sch. 6 para. 22

C57

Art. 10 applied (28.7.2023) by The Occupational Pension Schemes (Collective Money Purchase Schemes) (No. 2) Regulations (Northern Ireland) 2023 (S.R. 2023/117), reg. 1, Sch. 6 para. 22

C58

Art. 10 applied (26.1.2024) by The Occupational Pension Schemes (Collective Money Purchase Schemes) Regulations (Northern Ireland) 2024 (S.R. 2024/15), reg. 1, Sch. 6 para. 22

C59

Art. 10 applied (27.3.2024) by The Occupational Pension Schemes (Master Trusts) Regulations (Northern Ireland) 2024 (S.R. 2024/78), reg. 1, Sch. 5 para. 18

C60

Art. 10 applied (11.2.2021 for specified purposes, 6.4.2024 in so far as not already in operation) by S.I. 2005/255 (N.I. 1), art. 200A(6) (as inserted by Pension Schemes Act 2021 (c. 1), s. 131(2)(d)(3)(c), Sch. 11 para. 2; S.R. 2024/89, art. 2(b))

C61

Art. 10 applied (31.7.2026) by The Occupational Pension Schemes (Collective Money Purchase Schemes) (Extension to Unconnected Multiple Employer Schemes and Miscellaneous Provisions) Regulations (Northern Ireland) 2026 (S.R. 2026/151), reg. 1(1), Sch. 6 para. 22

Notes on the whole Order

Textual amendments

F1

functions transf. by SR 1999/481

F2

functions transf. by 2005 NI 1